LORA, Doris Liechty, 1939- THE PERCEPTION OF THE MOTIVE IN THE BACH CHORALE PRELUDES.

The Ohio State University, Ph.D., 1971 Music

University Microfilms, A XEROX Company, Ann Arbor, Michigan

(c> Copyright by

Doris Liechty Lora

1971

THIS DISSERTATION HAS BEEN MICROFILMED EXACTLY AS RECEIVED THE PERCEPTION OP THE MOTIVE IN THE

BACH CHORALE PRELUDES

DISSERTATION

Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University

By

Doris Liechty Lora, B.S., M.A. « « * # •

The Ohio State University 1971

Approved by

ll/o ff-f i c r Q * - * - Adviser Department of Music PLEASE NOTE:

Some pages have small and Indistinct print. Filmed as received.

UNIVERSITY MICROFILMS. ACKNOWLEDGMENTS

I wish fco thank my organ teacher and friend, Professor Wilbur Held and also Professor Wave Shaffer for serving on the reading committee; special thanks also go to Professor Henry Cady, a member of the read­ ing committee, whose critical suggestions were most valuable and contributed to greater clarity of organi­ zation and expression. It is to my adviser, Professor William Poland, however, that I extend particular appre­ ciation. It was his creative ideas which first influ­ enced me to think critically about musical analysis and its relationship to musical behavior and consequently to psychology and numerous other disciplines. It was his unique combination of scholarly expertise, musical sen­ sitivity, and skillful communication of ideas, which helped to generate many of the ideas In this study. So to this distinguished teacher and friend, I am most grateful. Any errors or weaknesses in logic In this study, however, are entirely my responsibility. Finally, my warmest thanks go to my husband, Ron, whose love, encouragement, and support, and more practically, his time with the children which delayed for a time his own research and writing, enabled me to complete this study. ii VITA

September 2, 1939 • • Born - Berne, Indiana 1961 ...... B, M. Ed., Bluffton College, Bluffton, Ohio

I9 6 I-I963 ...... Organist, First Baptist Church, Lima, Ohio Graduate Assistant, School of Music The Ohio State University, Columbus, Ohio Organist, King Ave. Methodist Church

1 9 6 3 ...... M. A. The Ohio State University ; Columbus, Ohio 1 ' 1 9 6 3 -1 9 6 6 ...... Instructor, Assistant Professor, Bluffton College, Bluffton, Ohio 1 Organist, First Mennonite Church Bluffton, Ohio

1 9 6 6 -1 9 6 7 ...... Organist, St. Stephen's Episcopal Church, Columbus, Ohio 1968 ...... Organist, Pilgrim Congregational Church, Toledo, Ohio RECENT ORGAN RECITALS November 17, 1968 . .St. Marks Lutheran Church, Toledo, Ohio

May 2, 1971 . . » . . Associated Mennonite Seminaries Chapel Elkhart, Indiana May 16, 1971 .... Grace Mennonite Church, Pandora, Ohio

iii FIELDS OF STUDY Major Field: Music Theory Studies in Psychology of Music and Contemporary Theories of Music. Professor William Poland Studies in Organ and Organ Literature. Professor Wilbur Held ^..Studies in History of Theory. Professor Norman Phelps Studies in Music History. Professor Richard Hoppin

. . I

iv

4 TABLE OP CONTENTS Page

ACKNOWLEDGMENTS...... 11 VITA ...... Ill LIST OF MUSICAL EXAMPLES ...... vill INTRODUCTION ...... 1

CHAPTER I. SCIENTIFIC METHODS, OP SOLVING MUSICAL PROBLEMS ...... 6 Psycho-musicological Issuea The Process of Theory Formulation Questions of Value in Scientific Inquiry The Empiricist Philosopher A Perceptual Theory of Meaning and Value in the Motivic Structure of the Bach Chorale Preludes ^ II. THE PROBLEM OF MUSICAL ANALYSIS AND THE THEORIST'S T A S K ...... 18 The Expanding Task of the Music Theorist Limits of Speculative Discourse Philosophical Inquiry and Empirical Investigation Psychologically-oriented Studies- by Musicians A Synthesis of Method Summary III. PSYCHOLOGY AS A TOOL FOR STUDYING MUSICAL BEHAVIOR ...... ill Transition from Speculation to Empiricism Auditory Perception

v Vi CHAPTER Page Pattern Perception Gestalt Ideas Information Theory Summary IV. THE MUSICAL MOTIVE AS A PERCEPTUAL UNIT - I 63 Body of Music Used Definition of Motive The Suitability of Bach Chorale Preludes for Motivic Analysis The Motive as Primary Material Questions for Pattern Perception Analysis Structure as a Percept Empirical Investigations of Melody Melodic Organization of the Motive Rhythmic Studies Rhythmic Organization of the Motive Harmonic Considerations Summary V. THE MUSICAL MOTIVE AS A PERCEPTUAL UNIT - II -135- Interpretation of Factual Data Motivic Organization at the Elemental Level Interrelationships of the Elements as a Cue to Pattern Organization Perception of Groups Perceptual Effects of Accent Musical Motion as Related to Tension and Release In Life Forces Factors Contributing to Unity-Varlety Balance Summary VI. SOME APPLICATIONS OF INFORMATION THEORY CONCEPTS TO MOTIVIC ORGANIZATION ...... 183 Abstract of InformationJTheory Concepts Meyer's Application of Information Theory Measurement with Bits and Chunks Exploratory Applications of Information Theory to Music Predictability and Unpredictability Periodicity and Redundancy Recoding Elements of a Rich Stimulus Summary vii CHAPTER Page VII. THEORIES, HYPOTHESES,AND CONCLUSIONS ...... 218 Chapter Summaries and Hypotheses A General Theory of Meaning and Value Hypotheses and Conclusions APPENDIX ...... 2?5 REFERENCES ...... 240 A SUPPLEMENTARY BIBLIOGRAPHY ...... 252 LIST OP MUSICAL EXAMPLES Bach Chorale Preludes

Example Page 1. Mlt Fried1 und Freud* lch fahr* d a h l n ... 65 2. Christ lag in Todesbanden...... 65 3. Christ, unser Herr, zum Jordan k a m ... 66 4. 0 Lamm Gottes (verse 3 ) ...... 67

5 . Wer nur den lieben Gott lasst walten . . . . 69 6. Aus tiefer Not schrei lch zu d i r ..... 71 7. Herr Christ, der ein'ge Gottes-Sohn... 73 8. Mit Fried' und Freud' lch fahr' dahln .... 84 9> Christ lag in Todesbanden ...... 85 10. Lobt Gott, ihr Christen, allzugleich .... 86 11. Herr Christ, der ein'ge Gottes-Sohn.... 101 12. 0 Lamm Gottes (verse 2) ...... • 102 13. Kyrie, Gott heiliger G e l s t ...... 103 14. In dir 1st Freude ...... 104 15. Nun kornm' der Heiden Hellana ...... 104 16. Nun komm, der Heiden Helland (Leipzig Chorale) ...... 105 17. Durch Adam's Fall 1st ganz verderbt .... 106 18. In dir 1st F r e u d e ...... 106 viii Ix Example Page 19. Christ, unser Herr, zum Jordanka m ...... 109 20. Herr Christ, der ein'ge Gottes-Sohn .... 117 21. Wir Christenleut' ...... 117 22. Christ, du Lamm Gottes ...... 117 23. Wer nur den lieben Gott lasst walten .... 119

2 k , Nun danket alle Gott ...... 121

25. Komm, Heiliger Geist ...... 12k 26. JesU, meine Freude ...... 127

2 7 . Wir Christenleut' ...... 1*40

28. Allein Gott in der Hoh sei Eh r ...... Ik 2 29• Alle Menschen mussen sterben ...... 148 30. 0 Lamm Gottes (verse 2 ) ...... 1449 31. 0 Lamm Gottes (verse 3 ) ...... 1*49

32. Wer nur den lieben Gott lasst walten .... 163 33- Nun komm* der Heiden Helland ...... 177 3*4. Wir Christenleut' ...... 19*4 35. Herr Christ, der ein'ge Gottes-Sohn .... 196

3 6 . Herr Jesu Christ, dich zu uns wend' .... 198 37. Der Tag, der 1st so freudenreich ...... 201

3 8 . Wir glauben all an elnen Gott ...... 206 39* Christ 1st erstanden ...... 208 440. Herr Jesu Christ, dich zu uns wend' .... 212 1 * 1 9 j t

1 INTRODUCTION

Purpose

The purpose of this study is to try to discover more

precisely why music has meaning and value by studying human

perceptual responses to pattern as reported by psychological

• «. ' t studies and then applying these findings wherever possible

to patterns which emerge from analysis of motivic structures’

in the Bach chorale preludes for organ. In these composi­

tions we find a body of music which makes frequent and com­

prehensive use of the motive as a structural device, hence

the selection of this group of compositions for study. To

give coherence to this study, I will formulate a theory as

to how or why motivic perception can give meaning and value

to this body of music. This initial theory, which will be

stated at the end of Chapter I, will be applied only to the i , Bach chorale preludes. On the basis of the data from this

study, a more general theory, applicable to other bogles of music, will be formulated. 9 . \ r \

Type of Analysis

As much analysis arid scrutiny1 as Bach's musical 2

style has been subjected to, surprisingly little has been done In the area of pattern analysis. Identification of motives In music has been done (Alden, 1956), but nothing to my knowledge has been done with motivic analysis of music from a psychological perspective. Milton Babbitt has aptly noted that "the problem of analysis, of course, is that of significance, not identification" (Porte, 1967» P* 38). In this study, my primary concern Is significance, so there is no attempt to Identify, label, and categorize each melodic, harmonic, and rhythmic event in these preludes, nor even to i examine each one. This departure, from the more conventional kind of analytic study Is due mainly to a difference In final goal. The purpose is. not to have a tabulated, annotated record of what the chorale preludes consist of. It is rather to explore how one perceives musical patterns in general and attributes meaning to them, using the motivic structure of the chorale preludes to test the validity of some of the

Ideas which have evolved from psychological pattern analysis.

The procedure will be to begin with psychological observations and then turn to representative musical examples for application of the concepts emerging from psychological studies. A part of the overrarchlng purpose, then, is to seek plausible explanations of how the motives in these 3

compositions are significant, for one's aesthetic perception.

Intuitively, it appears that the motive is highly signifi­

cant, and I believe this can be shown explicitly by objec­ tive observations.

Chapter Outlines

Chapter I is Intended to clarify the direction in which the study will lead by discussing the overall purpose and presenting In some detail the processes necessary f o r theory formulation, culminating in the statement of the spe­ cific theory of musical behavior which forms the baBis for this study. With this theory in mind, the reader can then evaluate the evidence as it unfolds.

Chapter II is an appraisal of the methods and results of music theory In its more traditional role of

♦ analyzing music itself and a discussion of new approaches which combine musical analysis with musical behavior. X discuss the merits of philosophical and empirical methods of musical research and their possible synthesis, citing recent studies by musicians who are bringing creative insights to musical theorizing by relating musical analysis to human perceptual response.

Chapter III Is an attempt to show why psychology is a useful tool for the musical .scholar by presenting a brief survey of developments In the field of perception and

behavior over the last one hundred years. This survey

includes those facts which help to explain the relevance of

psychological ways of looking at things to problems which

musibians meet in trying to understand musical behavior.

This section, dealing primarily with psychology, is particu­

larly useful in stating my case to musicians who tradition­

ally have sought insights mainly from the music itself. The

supplementary bibliography (p. 259) will be helpful to those

who wish more detailed information.

Chapters IV and V . the core of the study, relate

psychological experiments in aural pattern perception to

motivic patterns which are present in the music. In Chapter

IV, the musical analysis focuses on the more conventional

kinds of questions— what takes place melodlcally, rhythmic­

ally and harmonically, while in Chapter V the analysis deals

with the speculative and intuitive aspects of the musical

experience.

Chapter VI is an investigation of some of the con­

cepts from information theory and a consideration of their

relevance for understanding pattern perception in the Bach

chorale preludes.

Chapter VII, finally, is a summary of data from this

! study. On the basis of this data, a theory is formulated

about meaning and value as related to the motivic structure

in music in general. In my opinion, the initial theory con­

cerning the Bach chorale preludes is supported by the evi-

; dence in this study and the final, general theory will be i useful in applying data, from this study to other bodies of i' music.

1 i .

\ 1 CHAPTER I

SCIENTIFIC METHODS OF SOLVING

MUSICAL PROBLEMS

Psycho-musicological Issues

Today, many scholars In the arts are of the opinion that the most significant Insights about the artistic experience will come from the study of the observer and listener and how he organizes stimuli. I will begin this investigation by seeking answers to questions about pat­ terns, because it is a widely-acknowledged psychological fact that a person organizes visual and aural phenomena into patterns. Further, in order for sounds to become music, a person must find patterns In those sounds. The following are some of the questions which will be Investigated in this study, each of which will be expanded and discussed in detail in subsequent chapters:

(1) How are patterns perceived in a musical composi­ tion and what does this kind of perception have to do with ' V/ .• • « * the value we attach to certain works? (2), What is the relationship between patterns

analyzed on the page and patterns heard?

(3) In music, what is the unit of pattern organiza­ tion? What are the salient features .of this unit?

(4) What conditions are necessary for a person to form a concept of a pattern?

(5) How much and in what way can a pattern be altered and still be recognized as the original pattern?

(6) What is the relationship between pattern organi­ zation, its variations, and the unity-variety balance in music?

It is evident that some of these questions are diffi­ cult and complex and It will not be possible to provide com- plete answers to all of them. However, that is no reason to avoid struggling with such problems. They are, I believe, of central Importance In trying to understand music and our musical experiences. Using the analysis of the motive as the focal point around which to formulate hypotheses and look for relationships between aural pattern perception and the motivic pattern organization in the music will provide a method for attacking these problems.

The' Process of Theory Formulat ion

Karl Popper (1962)j in his thoughtful and orderly discussion of scientific knowledge, pointed out that formu­

lating a theory is a trial and error method of attacking a ♦ problem by offering a tentative solution (p. 313). Good theories, he observed, contain "risky predictions . . .

which can be criticized and tested . . . in order to bring out those points which may be vulnerable" (p. 313). Thus,

"every genuine test of a theory is an attempt to falsify it, or to refute it" (p. 36).

William Poland (1 9 6 3 ) has discussed some of the « problems of theory formulation for musicians. He pointed out that musical theorists in the past, particularly natural law theorists, have sought to formulate universal theories, valid for all times and all places. This appears to be an impos­ sible task and leads to strange statements such as Paul

Hindemith's (1945) assertion that "music as long as it exists will always take its departure from the major triad and return to it" (p. 22). Poland proposed a "more limited goal", citing the scientist J. R. Pierce's ideas about what a theory does, namely, "tells us in a fresh and new way what aspects of our experience can profitably be related and simply understood" (p. 156). Prom this relationship, Poland continued, theories and hypotheses can be formulated, which, though containing generalities, must be explicit enough to 9

be "accessible to observational disproof" (p. 157). Theories are useless unless they can be tested by events and, subse­ quently, upheld or disproved. In addition to the risky process of formulating theo­ ries of music, particularly of musical behavior, there are special problems in formulating a theory of meaning and value. Peter Caws (1967) maintained that value Judgments have been and still are "largely ad hoc or based on authority or prejudice" (p. 50). Perhaps this observation is true in many cases, but does not hold here for reasons which will become clear as this study progresses. To formulate a theory of motivic perception related to meaning and value, the method will be to follow the techniques recommended through­ out this study, that is, to use whatever insights are avail­ able whether they emanate from speculative-intuitive or empirical studies. This study has recorded a body of per­ ceptual data which fumlsheB the basis for the conjectures herein. Popper noted that "intellectual intuition and

imagination" are most Important, that is, more important than observation or reason in formulating theories. Obser­ vation and reason enter at the point where one wishes to critically examine and test one's "bold conjectures" (p. 28). Thus Caws' concern about the prejudicial nature of value

i theories must be qualified* Popper also noted that "if we

are doubtful about an assertion, then the normal procedure 1b

to test it . . ." (p‘. 23). The concern need not be with the

truth or origin of a theory, but with its testability. So

» - V * •. the point is to seek to formulate a testable theory.

A. H. B. Allen (1967) attempted to formulate a theory

of aesthetic value, postulating two different aspects, the

feeling of satisfaction or sense of pleasure, goodness, or

worthwhileness of an object and the conviction that our per­

ception is right, conforms to a standard of what Is good, and

that others at least ought to agree with us (p. 43).

A sense of pleasure or even goodness is not the man­

ner in which X use the term value. I use the term meaning

as a near synonym for value in my theory of value. In this

sense, value can be pleasant or unpleasant. The Random House

Dictionary (1968) gives considerable help in sorting out the

definitions of meaning and value which apply to. theorizing In

this context. The definition of meaning is "that which is

' v ■ ■ Intended to be, or actually is, expressed or Indicated; sig­

nification; Import . . . the end,- purpose or significance of

something . . . full of significance, expressive." The sig­ nificance part of fhis definition is the part that is most

useful for my purposes• The dictionary continues under the heading;. ’ meaning, synonym; . "Significance refers particu­

larly to a meaning that is implied rather than expressed

. . . or to a meaning the importance of which may not be

easy to perceive immediately." This is particularly apt in

describing meaning in music, since meanings are never con­

cretely expressed in Instrumental compositions; they are

implied and, as a result, usually not perceived immediately

because of their elusiveness, because of the unfolding of

the composition in time, and because of the complexity of

musical stimuli.

Questions of Value in Scientific Inquiry

How then does the concept of value enter into this

■ r scheme? The Random House Dictionary defines: value as "the

relative worth, merit, or importance . . . import or meaning;

force; significance. ..." The word "relative" stands out

as an indicator of the subjective nature of a concept such as

value. The dictionary also uses meaning as a synonym to

clarify the idea of value. So with this authority, perhaps

it is legitimate to draw out the parts of each definition which coincide— in this case significance-— and use the terms

interchangeably# The idea of significance, then, beBt expresses the concepts of meaning and Value in this study; I will use significance in the sense of importance, commanding 12

attention, and signifying or pointing out rather than In the

context of pleasurable or desirable, although these traits

are often Incidentally present. Tftat which has meaning,

value, or significance In our perception, then, Is that

which we notice, which elicits a response, which communi­

cates In some way. Further, that which has meaning and

* value is Intriguing, often creating the desire, for repeti­

tion and always for further clarification. This excludes

the responses to aspects which are banal; a listener may notice the banalities but dismisses them with indifferencg

and attributes no meaning or. value to them.

To formulate a theory of meaning and value, I will

draw primarily, although not entirely, on sense perception

data. Philosophers have always been suspicious of data derived from sense perception, as Hans Relchenbach has pointed out (1966), They are aware, as are the empiricists, of mirages, sticks bent in water, and apparent fluctuations in metronomic clicks. But the scientist is impatient with picture language. He believes that a statement has greater potential for uncovering a new truth if it can be tested in. some way, as well,as being intuitively revealing. But

Relchenbach noted that the philosopher's purpose differs from that of the scientist. The speculative philosopher.

■ . /.j.■.■;•/.c' ' L , ; / ■' - . phrases his conceptions obscurely, or in picture language,

"because his primary interest is not an understanding of knowledge, but something else. He wishes to construe knowl­ edge in such a way that it supplies a basis for moral directives" (p. 75). This approach is not entirely foreign to the purposes of this study*, for the task is to specify certain conditions which must be present for meaning and value to emerge.

The' Empiricist Philosopher

My approach fits best that category which Relchenbach calls the "empiricist philosopher", rather than the specu­ lative philosopher. The empiricist philosopher

does not claim to discover a new kind of knowledge inaccessible to the scientist ’ [or to the philosopher for that matter]; ^ he merely studies or analyzes observa- r tional knowledge [whichsis chiefly, though not exclusively, sense perceptive knowl­ edge], be it scientific or commonplace, and tries to understand Its meaning and its implications (p. 75).

So the purpose here is to abstract from the intuitive and temper it with reason, a reason that is organizational and predictive on the basis of past and present observational data.

George Blrkhoff (1^33)f, the mathematician, combined these approaches in; a description of the. aesthetic u

experience which, he said, has "three successive phrases11!

(1) a preliminary effort of attention, which is necessary for the act of per­ ception, and which increases in pro­ portion to what we shall call the com- ' plexlty (C) of the object; (2) the feel­ ing of value or aesthetic' Measure (M) which rewards this effort; and finally (3) a realization that the object is characterized by a certain harmony, sym­ metry, or order (0), more or less con­ cealed which seems necessary to the aesthetic effect (p. 4).

Birkhoff saw the importance of including.both the "feeling"

and the "realization", that is, the reasoned recognition

that there is a definable order and pattern which con­

tributes to the. feeling of value. Caws (1967) showed how

transcendental theories are inadequate and unsatisfactory

in constructing a theory of value (pp. 1-12),. At the

present level of our knowledge of perceptual behavior, we

are also unable to construct a satisfactory theory of mean­

ing or value from empirical evidence alone. Another reason

scientific studies alone are inadequate, even if there were

a larger and more complete body of relevant data, is

because there is a fundamental difference between factual » i ' 4 ' ' • r descriptions andmeaning-value descriptions; In Caws' words 1 • ’ 1 1 " [values] do not come to us. from the world Cas a direct

result of sense perception], but they go. from us to the world; they refer not to what Is or was the case, but to 15 what will or may be. the. case" (p.. 5*0 . So any body of knowledge, regardless of Its origin, will be considered a legitimate source, and will be examined for insights into the problems in this study.

There is a sense, however, in which meaning and value can be considered factual. Human behavior has become more and more an arena for factual observation. Poland

(1963) spoke to this point:

[Music] is more than that part which can be captured in musical notation. It is the result of a composer’s behavior. J It is transmitted to us by a performer through some acoustic jchannel. It impinges on our ears, usually our eyes as well, and sometimes other senses. And it has mean­ ing only to the extent that it influences the behavior of the audience. . . . If we view a notated composition as a message, ; we must agree that the composer's behavior j as he generates the message, the perform­ er's behavior as he transmits the message, and the audience's behavior as it receives the message are all indispensable objects for our analysis (pp. 1 6 7 , 1 6 9 ).

To the extent that behavior is a result of that which one perceives as having meaning and value, the elusive quallty~of meaning and value are minimized. Meaning is objectified in the behavior of the individual. A person's responses to complex stimuli, to the parts of the stimulus that are singled out sb meaningful, reveal a great deal about the stimulus, as well' as about the human perceptor. So we have 16

the three areas ,of behavior which Poland suggested! analy­

sis of the music in this study tells us about the composerfs

behavior; our observations about the performer's influences

in interpretation tell us about his behavior; and studies . j , of human pattern perception tell us about the audience's

behavior.

A Perceptual' Theory of Meaning and Value in the Motivlo structure of the Bach' Chorale' Preludes

Studying a single unit such as the motive appears

to be more fruitful than either harmonic or contrapuntal

analysis alone, because all of the elements of music may be

subsumed under the .concept of the motive. Xn examining the

motive, it is necessary'to take into account harmony,

counterpoint, and rhythm, as well as melody. Xn addition, * . it is necessary to relate these elements to pattern organiza-

tlon which is part of the perceptual behavior of persons.

The relationship, then; which I am formulating into a theory is that which exists between patterns in music and a personT8 need for perception of order and structure in the environ­ ment. The theory Is as follows: 11 1 t- 'i Because persons need to organize all stimuli • in their-environment into some kind of struc­ ture or pattern in order to store it for -future decision-making data, and because in addition,-persons structure this data in as,

. V -■Y;’ I, ‘ "■'■■j--' . 1. t. > ■ . .. ' simple and economical way as possible, it follows that in the Bach chorale preludes, the motive, particularly the rhythmic struc­ ture of the motive, is the single most sig­ nificant organizing force in these works and consequently is the basic element from which meaning and value arise in onefs perception of this body of music.

In this study, this theory can serve two purposes: (1) it can summarize succinctly all the data that is contained in this study and (2) it is sufficiently precise to be a test- able theory, open to further observational proof or dis­ proof.

This psycho-muslcologlcal approach to analysis will not yield a complete theory of musical perception. To study ' • * : one factor of musical organization such as the motive, even though it implies other elements, can only provide informa- i ■ ( tlon about that factor and one may not be able to generalize from the findings. However, perhaps it is not too optimis­ tic to assume that as a result of s.uch a study, other theo­ ries will be generated and new IdeaB will emerge which open doors to more imaginative ways of understanding music and musical behavior. • CHAPTER II

THE PROBLEM OP MUSICAL ANALYSIS

AND THE THEORIST'S TASK

The Expanding Task of the Music Theorist

The music theorist in 1971 has before him an over­ whelming array of data from which to draw conclusions about music. The literature on musical analysis which has appeared in the last two decades indicates that more musicians are aware that studying only symbols on the page yields very limited information about music. The music theorist now has at his disposal a wide variety of scientific studies which illuminate aspects of musical behavior relevant to a greater understanding of music. On the basis of his knowledge and practice of musical analysis and his awareness of empirical studies of human behavior, his task is expanding to Include the formulation and reformation of theories about music and musical behavior. His task is not only to know music but to seek new relationships between musical knowledge and other knowledge and to discover more precisely how persons respond to music.’ The music theorist, then, must be Interested in 19 ! human behavior, the behavior of composer, performer, and

listener; for music is a creative act, a uniquely human

■ t ; • activity and has significance only insofar as persons inter- ► •r ' act with it. • * ; . ■ .■ Purely metaphysical speculation about the unspeak- i able mysteries of music will continue to take place. The , . painstaking codification of Western harmonic practices and contrapuntal techniques will continue to be done and redone.

But as long as counting and classification take place with- J out Interpretation or without reference to human response, the results for musical insight will be grossly incommensu­ rate with time and energy expended. The time has come, and is .long overdue, for musical scholars to sift through musical studies which are merely speculation or codification and glean that which is relevant. Then their task is to plunge into paths still largely uncharted by musicians, such as psy­ chology, linguistics, and mathematics, and there they will discover that scholars in these fields share their concerns: the search for meaning and significance, how a person responds to form and pattern, how a person's perceptual 1 apparatus and his behavior give clues to defining the object, to which he is respondingt

No musloal soholar can afford to ignore these kinds 20

of pursuits. • In the past, musicians have viewed scien­ tific methods of testing and measurement of artistic problems with suspicion. By and large they have not recognized that scientific tasks are not limited to the laboratory, that formulating new hypotheses from intro­ spective experiences as well as from data produced in laboratories is a scientific endeavor. This blind spot has been due in part to the relative unsophistication of the tools and in part to the parochialism of musi­ cal scholars with their insistence upon studying only the art object itself. Now there is a growing awareness on the cre­ ative edge of musical scholarship that much can be

learned about our world from studying people's reac­ tions to it; more precisely, new insights are emerging into whjat makes organized sound music, by studying those who can tell us: the composers, performers, and listen­ ers. Pew musicians today are intimidated by the false analogy between a musical work and a cat: that to dissect a composition and measure its parts as precisely as pos­ sible is to destroy it or render it useless for further perusal or enjoyment. So as tools of measurement become more sophisticated and workings of the mind less and less of an enigma, new insights are bound to emerge in the field of music, as well aB in countless other disci­ plines.

t

Limits of Speculative Discourse

The speculative philosophers are no longer precise enough for a scientific age in which experiments measure reactions of persons to the various elements of music.

It is difficult to argue against John Dewey (1934) or

Susanne Langer (1942) that structures of music and the other arts seem to bear a resemblance to certain life patterns (p. 3), or that we all have reactions to music which we ourselves can scarcely verbalize, much less measure (Langer, pp. 142, 143). Yet such abstract ideas are hard to use. There are elements of the artistic ~ experience, on the other hand, which can be measured: responses to pattern, strength of rhythmic elements as opposed to harmonic or melodic elements, and perception of musical relationships which seem to be evident only in analysis of the score. Also, better descriptions are now available regarding the way in which people perceive patterns• It might be- profitable to concern 22

ourselves with these kinds of problems for the present,

“■ i although not to the exclusion of insights from other . 1 ' realms. Philosophical aesthetlclans have enunciated

generalizations which sound plausible and from which the

empiricists have derived hypotheses to test. For

example, philosophers have held that music evokes and :

parallels certain emotional and visceral changes in the1

listener, and many experiments testing emotional and

kinesthetic responses have supported this contention ,

(Ellis and Brlghouse, 1952; Goldensteln, Kiang and

Brown, 1959; Mainwaring, 1933; Vernon Lee, 1918; P. E.

Vernon, 1930, 1933).

Philosophically-oriented scholars have been occu­

pied particularly with questions of form and structure.

But often their contentions are vague and obtuse, even

meaningless. For example, Pratt (1954) stated that

"only in music is the meaning of the form identical with

the form itself . . • content and form are one . . ."

(p. 289)# or as Max Schoen (1931), put it "The beautiful

in music lies . . . not in the associations, images . . .

emotions,,that it ipqw arouse, (as secondary derived

effects, but .In the experiencing of the 'thing itself!, 23

the musical form" (p. 107). These observations are

eloquent and even poetic but they tell us nothing about

how these forms are perceived or why they have signifi­

cance*

Form is indeed an Important aspect of the percep­

tion of music as these scholars sensed. Scientists have

clarified some of these observations with studies in

pattern perception, by testing people's reactions to

form and structure. I will endeavor to show in this

study that progress has been made in understanding the

"mysteries" of great art and new paths for further dis­

covery are opening up, perhaps because scholars have

begun to ask the question of how music communicates

rather than what it communicates. Endless energy has been expended in trying to determine what emotions are expressed by absolute music, prqgram music, choral music; in trying to determine what "unfulfilled wishes"

and "unspeakable longings" are satisfied by music.

Writings on aesthetics are full of these kinds of phrases. But muBlc is abstract, non-verbal, non- referential; what it communicates, if one Is justified

In speaking of oto jectifloation in musical communication,

• ^ ,-y 'a'.:' ; \7r■ ;v:;v. ‘ * . r - . * :. r ■ •; r - s., i-. • . • .■ • . v - , ,. ' -|'* • - V.- i”. ■ •• • ? ‘ ; ’ ■ ' . . >. • - ,-V. ’ —.■' • I .■■.'■■■ . v. ; . ■ ■; • • >,■. • • ;^V:= '-V':- ■ . S w

V- '-''

• \ 24

will vary with each listener. On the other hand, the , ;

question of how listeners respond, how persons per- V. ceive organized sounds as music (Vernon, 1930, 1934,

1935; Poland, 1963) brings into focus the question of

human responses and from that perspective offers hope

for more precise answers and for new insights into

music itself. The preoccupation with studying symbols

on a page has obscured the realization that this is not

the music, but merely ink marks representing music. Ve

would do well to heed the advice of John Redfleld (1941) •

. ■ . i and “begin to peer behind and beyond the symbols of !

music and courageously undertake a study of music Itself j

rather than of Its lame and halting hieroglyphics.“ ,

(p. 6). . ■ :

# * ■’ Philosophical Inquiry and Empirical Investigation

Do the philosophers then have anything to say of

importance to musicians in an age of experimentation?

Hans Reichenbach, in his book The Rise of Scientific

Philosophy (1951). succinctly stated the coming of age of [

philosophy, which c?n be taken to Include philosophical

aesthetics, when he offered the thesis that ^\

.• .'' ! :;V'' , •>. ■' '■'. ; '■''V- . '' T> 1’; / \ 1' , i ' i I #; / j I" ■ \ ... * /'»■ .■ '< ■ ■' : ' 1 ' . n 25

philosophic speculation is a passing stage, occurring when philosophic problems are raised at a time which does not possess the V logical means to solve them . . . there is, and always has been, a scientific approach to ' ; philosophy . . . from this ground has sprung a scientific philosophy which, in the science of our time, has found the tools to solve those problems that in earlier times have been the subject of guesswork only . . . phi­ losophy has proceeded from speculation to science (p. vii).

He went on to describe the picture language or analogies which philosophers have traditionally UBed, when means for specific explanations were not available. In many philosophical systems

a picture is put in the place of an explana­ tion, and a world of independent and 'higher1 reality is invented because the philosopher proceeds by analogy rather than by analysis . . .the literal interpretation of an analogy becomes the root of a philosophical miscon- : ception" (p. 21).

Books about music are full of word pictures and analo­ gies, because it has been.believed that the mysteries of art were inaccessible to precise measurement and quanti­ fication, that one cannot measure qualitative phenomena by scientific methods.

Here and there have appeared,'however, valiant ■ * ■ * . efforts to measure aspects of music. Matthew Shirlaw

(1955) reported that. Pythagoras measured string lengths, ' 26 : ... ' ' r deducing the ratios of 2:1 for the octave arid 3:2 for j the fifth, from which one can generate all the notes of i the diatonic scale in a succession of perfect fifth j

(p. xiii). Shirlaw pointed out that Rameau also used

• t the measuring device of mathematical ratios, finding ♦ "natural” relationships between the intervals of a vibrating string to support his theories of harmonic generation (pp. 185-1&9)* Paul Hindemith (1937) as well, beginning with the "chord of nature," sought to measure the tension of chords by the synchronization or non-synchronization of the root and bass tones and the presence or absence of tritones (pp. 115-131 )• Recently, however, scientific methods of approaching musical problems have gone beyond measurement of supposed acous­ tical phenomena to measuring the relationships of musical stimuli to behavioral response. ,The Increase in preci­ sion results from careful scrutiny of sense perception data. Reiehenbach defined the difference in the specula­ tive arid .scientific approaches:

’ Speculative philosophy is characterized by i a transcendental conception of knowledge, according to which knowledge transcends the observable things and depends upon the uses -. of other sources than sense, perception. Scientific philosophy has constructed a / ■; : '' ■■V'';';-/-' 27

functional conception of knowledge, which regards knowledge as an instrument of pre- n dictions and for which sense observation is the only admissible criterion of nonempty truth (p. 252).

But there are those who argue that art is in a completely

different realm from science and contains a different

levrcl of truth Inaccessible to laboratory tests. The

creative, aesthetic experience, they say, is character­

ized by certain qualitative elements, known and felt

from wordless experience and centuries of wide agree­

ment.

Peter Caws, in his book, Science and the Theory

of Value (1967), discussed some of the controversies

surrounding questions of quality, quantity, opinion, and value. Although his concern was not specifically with |

cultural values such as the art of music, he pointed | out some of the fallacies that pure speculative thought engenders. Facts, he said, can be secured by perception

(p. 42), and Judgments of value too often are not only

i 1 1 non-factual but false, ad hoc, largely based on author­ ity or prejudice (p. 50). He sought to formulate an empirical value theory which is more than a description of preferential, behavior. For example,, a legitimate ! j task for psychologists is, to -describe attitudes and : V

■ ■' ■■■' V.v'i ' ■VV ‘ • •' .’::V J ■

^ 28

preferences: "X reports that he prefers P to Q." This

is a different kind of observation than the physicist's

"factual description.11 that "A is B." Value Judgments

* are closer to "factual prescription . . . A should be B,"

in light of such and Buch data (p. 52). This is indeed

a problematical kind of theory-formulation. Yet it might be a very useful one for the musician whose facts_

are often intricately bound up with value Judgments.

Another problem in experimentation with aesthetic phenomena is pointed out by Wolfgang Kohler in his book.

The Place of Value in a World of Facts (1966). One can make objective statements about an object or event which are correct, but one may be commenting on an Insignifi­ cant aspect, or a, static feature, which has nothing to do with the essence of the object, its uniqueness, or that which gives it value (pp. 25-29). It is easier to be precise and objective about trivial, surface elements.

In*spite of the Infinite number of chord classifications which fill our theory books, for example, and the com­ plicated hybrid and strait-Jacketed forms into which

.V ' .'•» most form arid analysis studies flt^Western music, what have we learnedabout musiothat Is significant? Too 29

well we know that following the most carefully distilled compositional rules, which often have been derived ex post facto in an effort to generalize about a stylistic period, do not produce great music. In fact it may be that those musical aspects and compositional structures which have not yet been codified or given a formal framework are responsible for what we perceive to be great music— not a new idea, but one which has been investigated too little.

Psychologic'a'lTy-oriented Studies ' by' Musicians Not only have philosophers, psychologists and logicians endeavored to bring new light to artistic analy­ sis, but many musicians themselves are realizing the poverty of much of what has passed for musical analysis. Grosvenor Cooper and Leonard Meyer (I960) have attempted to fill a gap in the literature by concentrating on rhythm. They speak of the psychological fact of this or that element or pattern and look for interrelationships which are usually bypassed (p. 6). While still largely concentrating on the music itself, they have moved away from the form for form's sake approach to one Intended 30

to take cognizance of the effects of patterns on the

listener. In their detailed discussions of poetic feet

which they believe to be found in rhythmic patterns, they

proceeded on the premise that "rhythmic grouping is a

mental fact, not a physical one," and regularly indi­

cated how a particular pattern is altered from what

appears in the score by our perception of it (p. 9)*

William Newman (195*0 made a statement rich with

implications when he spoke of form as being a "genera­

tive process" (pp. 301-309). Here is an effort to under­

stand how one perceives form. If the concept of struc­

tured motion toward a goal is significant, for understand­ ing music's appeal, then studying the generators of this motion, such as, motives or phrases, should be profitable.

Newman saw the motive as the chief element which provides unity (p. 303). Its transformation and varied repeti­ tions, on the other hand, are a primary means of variety.

However, Just where this ideal balance between unity and variety lies is an Important question and will be dis­ cussed in this study.

Roger Sessions' insightful little book, IThe

Musical Experience of Composer. Performer.' Listener 31

(1930), begins with the pertinent question, "Is music a

matter of tones sung or played, or should we consider It

rather from the standpoint of the listener1' (p. 4)? He noted the importance of form and structure, of pattern, but solely from the point of view of the listener. A significant observation is his belief that music moved from Improvisation to composition when patterns emerged which were recognized by the listener. "... com­ posers began to exist when music began to take shape" .

(p. 303)*

As a result of the work of Schenker, analysts have become Increasingly cognizant of the function of chords In the total harmonic fabric, rather than their mere labeling. As enunciated by his disciple Felix

Salzer (1932), our perception of where a chord has come from and our expectations as to Its goal depends almost entirely on Its context and, morej specifically, what size chunk of the composition we are hearing as the reference level. Despite the rigorous and logical establishment of this fact, there are those who still endeavor to defend,the thesis that certain pitches, chords: and scales have "inherent emotional characters". 32

(Deryck Cooke, 1959, pp. xi, xii). But the validity of this contention has been greatly weakened If not obliter- ■ <*. , ated as a result of experimental studies by psychologists as well as musicians. Ernst Toch (1958), the composer, stated the belief, found frequently in the current liter­ ature of musical analysis, that chords of the same har­ monic Identity are nevertheless different In that they have a definite Afunctional mission11 (p. 3). He said that In any kind of composition and in. the teaching of theory, what must be uppermost is the concept that each voice has an "Inherent urge" toward "linear self- preservation" (p. 5)* What he meant, perhaps, by assign­ ing a personality to a musical line, is that one might perceive a musical line.as moving toward a goal and maintaining its identity despite the contrapuntal com-

j plexity of which it may be a part. He alBO alluded to the importance of the balance between unity and variety:

we are apt to take for mere repetitions what the master, in pursuit of continuous flow, may present in constantly changing appear­ ance, giving us Just enough of the repetition to enjoy the acquaintance* and at the same time Just enough of variation to enjoy sub­ consciously the constant renewal (p. 197).

Another musician who has built and expanded on

Scheiiker's ideas ^s Alan Walker (1963). He has supported 33

his theories with his own experimental evidence and has

attempted to be scientific and open to Insights from

various directions. As a result, his work is particu-r

larly important for the music theorist interested in

perception* His purpose shows the relevance of his

research:

This book is primarily concerned with the unity of contrasting themes, and with the principles (both musical and psychological) behind such unity. . . . I am able to pre­ sent for the first time experimental proof “t of the audibility of the mirror forms; it has also been possible for me to present some evidence in support of unconscious musical perception (pp. 9, 10).

Walker was interested in pointing out principles of

structural integrity in music and wished to "inquire into the psychological causes of' such integrity" (p. 11).

He wished to find out why we believe. It is also impor­ tant, in my opinion, to find out how we believe. Along with Rudolph Reti (1951), Walker has studied unity of contrasting themes, looking for what he believed to be their underlying or subconscious relationships. How- j ■ l ever, he rejected the method of comparing’two or more

i I • . ' * ' • ■ compositions, believing each work must be judged from I i 4 I 1 » i • : , within (pp. 22, 23)•< * 1 ' : • i 1 ' 34

Walker postulated two levels of perception, the

conscious and the unconscious, and believed that the

latter might well be the most sensitive and perceptive

(p. 64). At the Guildhall School of Music in London,

he conducted experiments to determine whether Schonberg's

twelve-tone compositions were musically meaningful. One method was to test recognizability of mirror forms. He reported the results of a series of audibility tests designed to answer the following questions:

(1) Can we prove objectively that the mirror forms are related? (2) In those cases where mirror relation­ ships are not consciously perceived Is it not possible to prove that they might never­ theless be heard on an unconscious level (p.

"Students were asked," he continued, "to listen to melodic lines of increasing length and complexity

* followed by their three mirror forms, and then requested to name the exact order in which such derivatives appeared" (p. 65). Five different melodic lines and their mirror forms were presented, all but the first being atonal. After thirty-six such tests and 1,479 recorded Judgments, percentages of correct identifica­ tion for all three mirror forms ranged from 53 percent

. . ' ■ * . ' * l . . ■ * ’ ■ to 75 percent

Ehrenzweig who wrote a book entitled The Psycho-analysis of Artistic Vision and Hearing (1953). Ehrenzweig sought to develop a theory of unconscious perception which will be examined in Chapter V.

Other musicians have broken, out of the confines of simple labeling and codification. Richard Goldman

(1965)* talked about determining factors in "hearing rather than analysis" and, while acknowledging the aid of visual stimuli, noted that "what is significant in harmonic progression is what one,hears" (p. xil)„

Leonard Ratner (1966) discussed the psychological aspects of music, particularly its point of departure, sound* and its motion in time (p,. 2). A provocative 36 and significant contribution to the theory of music is Jan La Rue's book, Guidelines for Style Analysis

(1970). He recognized the "special power" of music, tied up as it is with emotional responses, yet demanded objective analyses of its content. His plea for keep­ ing in mind meaning and significance in the analytic process echoes the orientation of this study. He said that

we must try to understand the. functions and interrelationships of these [musical] ele­ ments, so that we can make meaningful interpretations, identifying the significant aspects . . . we must concentrate on sig­ nificant observation. .... Otherwise we will quickly accumulate such quantities of observations that we will drown in our own data . . . (pp. 2, 4).

A Synthesis of Method

It is evident from the foregoing summary that music theorists are asking questions which go beyond the boundaries of muslcological and muslco-theoretical information formerly included under "music theory."

Musical horizons are widening at a greatly accelerating rate to Include Insights from outside the specific domain of the arts• There is increasingly wider accept­ ance of the notion that one must study Ideas rather than 37 disciplines and that no body of knowledge is .off limits in the search for clarification and documentation of those ideas. This point is important for scientists as well as for philosophers. The speculative and intuitive realms of insight need not now be Ignored just because there are available more precise tools for measurement.

In the first place, the study of music as a perceptual phenomenon by psychologists, for .example, is relatively undeveloped and a certain amount of caution is prudent in drawing conclusions. Psychology holds every promise of achieving greater understanding of the human mind in the next generation, however, though at the present time, there are many gaps in our knowledge. So the scholar dealing with ideas does well not to limit him­ self only to empirical evidence. One can profit from the attitude of Robert Maclver as reported by Seyom

Brown in a review of Maclver's essays in the Saturday

Review (May 17» 1969):

[He] sensed the dangers in . . . trying too hard for scientific purity - the fascination with technique over substance, with formal neat mathematical statement over social pertinence, with the narrowly, framed research question (where the evidence was something that could be counted) over the wide-ranging issue on which speculative discourse was still in order (p. 25).

I i Technology and its reams of concomitant data,, far from

providing all the answers, has brought with it much

bewilderment. Summarizing Max Weber's observation,

Michael Harrington wrote in The Accidental Century

(1967):

Technological progress was achieved by a radical method of breaking life up into specific functions which could be measured and engineered. In such a subdivided existence, there was no vantage point for comprehension of the whole. Bureaucratic, scientific man was losing his intellectual hold on reality even as he pragmatically conquered it (p. 29).

And he quoted Nietzsche, in an 1888 "polemic against

Wagner" (one could substitute musical terms for literary ones):

What characterizes the literary decadence? It is that the whole no longer has life. The word becomes sovereign and leaps up out of the sentence, the sentence reaches out and obscures the page, and the page comes to life at the expense of the whole . . . (p. 35).

Thus, although there are many shortcomings in the speculative realm of theorizing about musical phe­ nomena, complete answers do not now lie in the scien­ tific realm either. The empirical aesthetlclan, the systematic musicologist, or whatever title is appropri­ ate , needs to nurture the ability, to stand apart from 39

his work and view objectively the developments of the

last several decades. To discard all philosophical

assertions* conjectures, speculations, and intuitions,

as implausible or useless is the reckless activity of

the short-sighted and culture-bound. One needs the

sensitivity to recognize artistic perception wherever

it occurs, whether the experience is recorded in picture

language, analogy, statistical data, or mathematical formulas. Some musical knowledge can be tested; some offers insight when simply taken at face value.

Summary

In this chapter, I have delineated the expanding role of the music theorist in relation to the large amount of data available from other disciplines which, together with musical knowledge, can shed some new light on psycho-muslcologlcal problems. I have discussed the limitations of abstract and speculative knowledge such as Dewey, Pratt, Schoen, and Langer expounded, and have noted their contributions to hypothesis,-formation, that is, furnishing ideas that can be tested for empirical verification. I have also discussed the positive con­ tributions which musicians such as Cooper and Meyer, I 1 ! I . .. . ■■ . I I :v.' ■ ! ; • 1 40

Newman, Sessions,. Toch, Reti, Walker, Goldman, Ratner,^

and La Rue have made to expandlngs6ur musical horizons, i V

I have made a case for the necessity of music scholars \

to be sensitive and receptive to relevant knowledge, how­

ever diverse its origins. This is, I believe, the task

of the music theorist. His problem is to decide which

parts of this sum of knowledge are valid, which are

relevant, and then create a synthesis of related ideas

based on his technical skills and musical insight. This

is a difficult task, but a creative one, and therefore

very much at the center of the artist's domain. CHAPTER III

PSYCHOLOGY AS A TOOL FOR STUDYING

MUSICAL BEHAVIOR

In this year, 1971, an elaborate rationale for using psychology in the study of music should not be necessary. However, as recently as the mid-Forties,

Neil Daniels (1946) maintained that "of the more than

400 harmony textbooks and treatises on harmony published in the twentieth century, not one takes full cognizance of the implications of modern psychology for the theo- : t . retical bases of harmony" (p. 1). Richard Colwell

(1966), in his study of Meyer’s theory of expectation, w surveyed over 200 music appreciation texts and found only a dozen which he felt offered some original insightb into listening (pp. 33, 34). In the last two decades there have been a greater proportion than In the past of theoretical studies by musicians which grapple with the psychological implications of listening to music (Bupra,

Ch.One, pp. 29r36). But it appears that,further

• • . , - : ■ • t - 1 ». 41 * "

, . ‘" 1 . * ' '4 1 ' ■ 1 1 ’

■ . • ■ ■,■ i ■ 11 1 1 • ’ • 1 ; 1 i < * - 42

evidence needs to be presented for the usefulness of

psychology and related disciplines for musical scholars.

Transition from Speculation to Empiricism

The philosophical versus empirical controversy

among musicians and philosophers discussed in the pre­

vious chapter, also raged for many decades among

psychologists, particularly with the rise of technology

in the nineteenth century. Although few if any scholars

in psychology now question the superiority of the

empirical as opposed to introspective method of solving

psychological problems, the pendulum has continued to

swing from one extreme to the other in recent decades and the place of introspection in the psychological 1 process has never completely lost a foothold.

At one time, of course, introspection was the principal method of psychology; self-observation and » reflection as a method was further refined and given continuing status by the phrase systematic experimental introspection (H. Mlsiak and V. S; Sexton, 1966, p. 47).

This consisted of breaking down an experience into dls-~ crete parts and describing each separately. At the

t ■ . i i 43

turn of the century and through the. Twenties, this

atomistic approach came under heavy, fire particularly

with the rise of Gestalt psychology and to some extent

from the behaviorists. Nevertheless, introspective

methods were the primary target because of their unrelia­

bility and conflicting results. We have now come full

circle again. Breaking down an experience into dis­

crete parts is the method now being employed in much of

the research on perception of auditory phenomena. But

replacing intuitive and introspective description is

precise tabulation of results of scientific tests, with

complex statistical data and analysis.

The experimental method in psychology came into

its own in the latter part of the nineteenth century with the developments in the new .discipline of psychophysics, as initiated in the work of Ernst Weber (1795-1878),

Johannes Muller (1801-1858) and G. T. Pechner (1801-1887).

Psycho-physical studies of particular interest to musici­ ans were conducted by Hermann von Helmholtz (1821-1894) and his Sensations of Tone published in 1863 is a land­ mark among pioneering efforts to understand music, from a combination of physiological-psychological points of

1 . t ■. . 1 > ■ ■ ' . ' ' ■ 1 ' » I I . ' 1 . ' ‘ '« • AM

view. Even a rigorous scientist such as Helmholtz was

acutely aware of the enigma of Intuitive judgments, of

the element of personal experience and Its strength as

an influence In responses of individuals. He felt that

two different responses both could be correct. His con­

cern with introspective observation (SeIbstbeobachtung)

colored all his judgments on perception (E. G. Boring,

1950, p. 311). !

The most hard-hitting criticism of introspective j

methods came from the behaviorists, under the leadership i of John B. Watson. With the publication of his article,

"Psychology.as the Behaviorist Views It," published in

the Psychological Review in 1913, a new objectivity was

brought to psychological research. The behaviorists

studied all animal behavior, man being only one area of

study. The method consisted of observing the reaction i of the organism to a stimulus,. Studying the vague con­

cept of "consciousness" was deemed unscientific and

futile. One could only comment on what was visible, that

is, the outward behavior of the organism. Being at first a reactionary movement, many of the positions of Its advocates were extreme. But a somewhat modified

. .* ' >.i.i » . . i ■

' - ' . , ' ' ' I ; :.' . I ' -V I . 45

behaviorism has continued to hold sway In the work of

scholars such as Max Meyer, (1950) S. S. Stevens (1951)

and B. P. Skinner (1938).

Among psychologists, it Is primarily the behavi­ orists who have opened doors for musicians to understand music in new ways by studying musical behavior* Early attempts by musicians to apply psychological methods to their research was hampered by their clinging to so- called natural law theories to explain musical phenomena.

But as Poland (1963) has observed:

The search for natural laws is a fruitless search. There is no known method for find­ ing such absolute truth. Whether we are con­ cerned with music or the most advanced regions of physics we can only deal with our experiences (p. 156 ):

Our experiences become concrete in our behavior and it follows that the study of musical behavior offers possi­ bilities for learning how persons perceive sound as music, and might even open doors to learning more about music Itself.

Audit ory Perception

The psychological concept which seems to have special relevance for musical problems 1 b that of 46 •

perception, particularly auditory perception. The

subject of perception has Interested psychologists

throughout the history of the discipline. In the

latter part of the nineteenth century, many experiments were conducted on what might be called the physiologi­

cal aspects of perception, or sensations, especially the work of Helmholtz (I8 6 3 ). In his work on percep­ tion, he distinguished between a pure sensory pattern derived from a stimulus, which he called a Perzeption. and an Anschauung which included elements of contem­ plation and intuition. .If sense impressions are absent or weak the experience is more like a Vors tellung. that is a concept or idea. Perzeptionen alone seldom occur, but as Boring (1950) pointed out, Helmholtz saw that "the key to perception lies in the AnschauUhgen which Involve both sensation and imagery, both stimula­ tion and unconscious inference" (p. 3 1 1 )**

With the increasing emphasis on perception throughout this century, scholars.have continued to move away from the concept of merely sensations to that of including the values* attitudes and previous experi­ ences a person brings to the perceptual experience.

1 1 !» I

I A7 The place of learning and environmental, factors has

gained In Importance* But as Howard Bartley (1 9 6 9 )

stated, the sensation-perception distinction Is largely

an artificial one. He saw perception as a series of

reactions, as the total of many factors: the process

of knowing by thought, awareness, consciousness, refer­

ence, or sensation of an external object, and a judgment

generated by a stimulus (p. 11). However, he said,

this is rather vague for scientific purposes. So he

offered a more succinct definition In which perception

Is an Immediate discriminatory form of behavior,

resulting from patterns reaching "energy-activating

sense organs” (p. 11). James Gibson (1966) made the j

* 1 observation that sense perception is not the same as

having sensations. The former is sensitivity to

information. His theory of information-based percep­

tion takes two forms: information about an object or

of a certain nature, and information as' structure, that

is, discrimination (pp. 266, 267).

Pattern Perception

The psychological focus of this study is audi­

tory pattern perception* Wendell Garner (1962) ■ categorized the experimental literature in this area into two approaches: (1) the more traditional psycho­ physical approach, dealing with discrimination, recog­ nition, and learning of patterns; here several stimuli are always used, that is, sets of stimuli rather than a single stimulus; then the person distinguishes between the stimuli of a set and reproduces a certain number of stimuli; (2) the Gestalt approach, which is not concerned with patterns, but a pattern, its good­ ness of figure, simplicity, continuation; the experi­ menter is f,not concerned about' in t e rs tlmulus differ­ ences, but . . . Intrastimulus characteristics" (p. 176). ! Robert Petzold (1966) delineated three broad areas of perception studies which can be subsumed

# under the headings acoustics, psychology, and aes­ thetics: 1. Studies, concerned with physical and acoustical properties of sounds, [which] seek to analyze, measure and identify the components [sic] of pure tones as well as those of actual musi­ cal sounds. 2. Psychological studies concerned with ways in which.individuals react to, or their musical responses are Influenced by, one or more of these characteristics. ; 49

3. Studies in the field of aesthetics • , .which by utilizing the data provided by phy si caiman d psychological studies move beyond the object analysis . . . to build a theoretical structure that is concerned with broad musical sen­ sitivity and responsiveness (pp. 115- 116). Number three, which is a synthesis of the first two categories (acoustics and psychology) most nearly describes the approach of this investigation.

Ges t'a'l'f Ideas Particular attention was focused on perception with the Gestalt psychologists’ theories of visual pattern perception. A great deal more research, conse­ quently, has been done in visual perception than in auditory perception, but principles derived from visual i studies may be valuable for any study of perception in i general. The Gestaltlsts saw perception not as a con­ glomeration of unorganized elements, later associated in some meaningful pattern, but as an entity, a whole. According to Misiak and Sexton (1966), they were radi­ cally opposed to the elementistlc or atomistic approach in psychology (p. 3^9). Gestalt concepts were first applied to the i , i . ., i ■ ... visual perception of motion, particularly in * 1 . . . . • , i • i | . . • 1 . ■ 1 . . . .' . . .

, •> i •. • • 1 l ■ ■ i • • . ""

. I I . ! ■ I . I I , " 1 • . . , . ' . ■ I ■ * 't I ■ " ■ I I ' .

. 1 I . I . . I ■ • * , • . ' I • ■ 1 . I • i . . 1 . ! ’ . ■ I. • .

i I ...... ; t ■ ■ v i I i ;. i i < ■. • . • i. « . • • i •>' . . i • • . . . . ; . Wertheimer's studies of what he called the phi- phenomenon (the motion perceived when stimuli are presented in rapid succession) (Boring, p. 591; Mislak and Sexton, p. 3^9). Another significant factor in Gestalt ideas of perception was the concept of closure, the tendency of a person to overlook gaps or diminutive differences in a field of.similar objects and to see them all as the same, in spite of the slight variations. Garner (1962) noted that this phenomenon works as fol­ lows: if a person looks at a set of four figures, four squares, for example, each of which has a gap in the same place at the bottom, and a week later is asked to reproduce the figures, closure of the gap will occur i without any problem since it is a non-differentiating J factor and causes no uncertainty. However, if the gap is situated at different points in each of the four squares, on later recall, the gap will not be closed because it is the only differentiating factor; actually the gap will be magnified in. the person's mind, instead of leveled (p. 3^2). Related to this phenomenon is the principle of Pragnanz. that is "the tendency of a figure to assume to the observer the most characteristic 51

shape for its kind, or the best possible Gestalt"

(p. 353)* This phenomenon also takes place in the

auditory field.

The Gestaltists explained much of their theory

in terms of the "field" of perception, a concept bor­

rowed from physics; for example, a wire conducting an

electric current or a magnet creates an electrical

field or a magnetic field. A field is characterized by

the interaction of all of its parts. Kurt Koffka (1922)

explained:

Structures phenomenally are not composed of constituent elements, their numbers being what they are by virtue of their 'member- character', their place in the whole; their essential nature being derived from the whole whose members they are (p. 531).

Another important aspect of a field, according to Misiak

and Sexton, is the concept of equilibrium, one of the

most useful concepts to the Gestaltists for explaining psychological phenomena i

The dynamic equilibrium of a field has the natural tendency to maintain itself. Because of this tendency a disturbance of the equilibrium by another, force is only temporary; the equilibrium is soon again restored and stabilized. Percepts manifest this property because they tend to stabi­ lize themselves and to remain stable if not disturbed (p. 355)> ' 52

Gestalt concepts ,of perception, it appears, may have

particular value for this study.

Vernon (193*0 observed that in the area of audi­

tory perception, there had been little advance from

Helmholtz, noting that an account of auditory sensations

does not explain perception (pp. 123, 12*0, to which

Helmholtz would have agreed. However, since Vernon*s

writings, a great deal has been done and certainly a por­

tion of it has shed new light on the problem of percep­

tion. At least precision of scientific method has been

improved, although perhaps scholars have reverted again

to nineteenth-century atomism, using ever greater pre­

cision to measure ever more minute and discrete parts.

There is some virtue in not losing sight of the Gestalt

ideas in order to place in perspective some of the

present research.

Information: Theory

Another area which has potential, for clarifying musical problems is that of information theory and its

application to auditory perception. Scholars in this

field have claimed to measure phenomena by. tabulating

amount of Information transmitted,: working in areas \ \ s '

53 ■ ■ > which hitherto had been thought to be qualitative in

nature and out of bounds of scientific measurement. A

few of these concepts will be summarized here, with

more detailed discussion in Chapter VI (infra, pp.183-

23.7).

Fred Attneave, in his book Application of

Information' Theory to Psychology (1959)* defined informa- t. tion as "that which removes or reduces uncertainty"

(p. 1) which is the standard definition of information

used in this sense. In this context, the human observer

or receiver is considered a channel, .capable of holding

a certain amount of Information. The unit of measure­

ment of information is called a bit (contraction of i

binary digit). One bit is equal to the uncertainty j

Involved in a situation with two possible and equally-

likely outcomes (Garner, 1962, p.- 4). A bit means that

one unit of information is the amount- necessary to make * a binary choice. Garner explained that

If we have an existing uncertainty speci­ fied in bits, then it is possible for us to ask a series of questions which can be answered dichotomously (yes or no), and each question can reduce the uncertainty by 1 bit* if the question is properly asked. In turn, each binary answer gives us 1 bit ! of Information (p. 5). • i • • • •.; 1 • .,\ ■■ • * • •

. i . i •... i • >i ' , i

• ;.r '■ i . ' I ' ; i . ; . 54

George Miller (1956) has made the interesting observa­ tion that the number 7 plus or minus 2, seems to emerge very frequently when determining the channel capaclty. of persons tested for a wide range of one-dimensional stimuli. Generally, the channel capacity seems to range from ”1.6 bits for curvature to 3.9 bits for posi­ tions in an interval”, again in unidimensional Judgments i (pp. 93, 94). One bit is the amount of information needed for a choice between two alternatives, 2 bits for a choice among 4 equally likely alternatives, 3 bits for eight alternatives, and so tsh. He pointed out, how­ ever, that for multi-dimensional stimuli, such as most real-life situations, the channel capacity is consider­ ably higher, more like 7 bits, but accuracy of dlscrimi—

f . nation decreases with Increase of independent dimensions of the stimulus (p. 94). For example, he cited the experiment of Pollack and Ficks (1954), one of the few multl-dimenslonal studies, using six different acoustic,, variables. Here the capacity was 7±2 bits. This kind of stimulus resembles more closely complete stimuli found in whole situations, such as a musical composition

(p. 93). However* six variables Is a long way from all . ■ I ' . i'.

* " 55 ' !; : _ ■ : • ' i ■' of the predictable or unpredictable variables in a i

.i musical composition.. If the number of alternative ' i -1 choices cannot be limited to a feasible number that would require, for example, no more than 8-12 bits of information, is the information concept of any value?

At first thought, It does not appear to be. However, ^ there is the possibility of taking the atomistic approach and singling out a specific element, such as one aspect of acoustics or of rhythm, and by limiting the field, limit t h e amount of information.

Leonard M e y e r (1957) saw information theory as clarifying the concept of meaning in music. He explored the hypothesis t h a t "the psycho-stylistic conditions which give rise to musical meaning, whether affective or intellectual, a r e the same as those which communicate information” (p. 412). Joel Cohen (1962), in his expla­ nation of information theory and music, outlined the concept'of the stochastic Markov process.

The o u t p u t of an information source . . . is considered a stochastic process, i.e. a ran­ dom s ource emitting signs according to proba­ bilities. . . . Markov chains are. stochas­ tic sources in which sequential dependencies exist among the letters of the output- sequences .(P» 1**0)*

I : : . , 1 I > ■ - ■ 1 I t ■' ' 56

Attneave (1959) explained that "the simplest kind of

complete redundancy occurs when one symbol has a proba­

bility of one, and others have zero probability, so

that the sequence is of the form AAA AAA . . .M (p. 14).

This is redundancy, or a Markov chain, of the first

order. He explained further:

A simple alternation of the form ABABABAB . . . is also completely redundant. . . . Such a sequence, in which prediction of a given symbol is possible if the Immediately preceding symbol is known, is said to have second-order redundancy. A double alterna­ tion of the form AABBAABBAABB . . . has third-order redundancy, since prediction of a given symbol depends upon a knowledge of the two preceding ones. . . . [In other words] a sequence has Nth order redundancy wherever some of the possible patterns of N successive symbols are more probable than others (p. 14).

Meyer believed, then, that "the probabilistic nature of musical style" and its operation in the musi­ cal experience is in substance a Markov process (p. 412).

The trained musician is prepared to view a musical style as a complex system of probabilities. He sees probabili­ ties and tendencies as a result of his knowledge of the design and purpose of, particularly, Western tonal music, which is the concern here. The probabilities give rise • t i to expectancies which are either fulfilled, delayed or blocked. In Meyer's view, "meaning arises when an individual becomes aware, either affectively or intel­ lectually, of the implications of a stimulus in a particular context" (p: ^15). Or in the standard terminology of information theory, "musical meaning arises when an antecedent situation, requiring an esti­ mate as to the probable modes of pattern continuation, produces uncertainty as to the temporal-tonal nature of the expected consequent" (p. 4l6).

Implicit in Meyer's statement is reference to the syntactic structure of music. There are parallels in music to linguistic structure as explored and formu­ lated by Noam Chomsky (1957)- He said that the impor­ tant question, to which linguistic theorists must address themselves is: "How are the syntactic devices available in a given language put to work in the actual use of this language?" (p. 93). In this study, we too are Interested In how musical syntax results in great masterpieces and, in addition, how listeners perceive the syntactic structure and attach significance to its results. But the complex concept of meaning aside, information theory has other, principles which seem * to 58 have particular applications to musical structures.

For example, the complementary concepts of redundancy and periodicity. Abraham Moles (1966) opened up some intriguing paths for applying these Ideas to the measurement of aesthetic phenomena in his provocative book, Information Theory and Esthetic Perception.

Redundancy occurs, he said, particularly In the simple forms, musical or otherwise. It expresses what is

»superfluous in the message . . ." (p. 5*0. Or there is redundancy when the message being transmitted is continued longer than necessary for comprehension. To hear expected patterns and repetitions, stylistic cliche's as it were, provides temporary relief from try-

r ing to comprehend the new, original, or unexpected. i Within traditional Western harmony, there is a high degree of redundancy. There are predictable patterns and progressions which are an expected part of the musical language.

A phenomenon which contributes to redundancy is that of periodicity-. This takes place when a phenome­ non "repeats itself at the end of an interval of time, called the period* or of space, called the wavelength"

i •••*.. 1 i * * • • r t 1 .*

. i * . ’ 1 - J I * I > 1 > '

; ■■ ■/ ■ t ■' 59

(Moles, p. 67). If a listener comprehends a period, and recognizes that it is periodic (i.e. repeats itself), the information transmitted subsequently Is zero. Music is uniquely characterized by periodicity and when it is continuous, this kind of repetition leads to rhythmic patterns. It furnishes order to music’s temporal organization* (p. 69 ). But Moles candidly pointed out that concepts from information theory do not necessarily unlock the door to the enigmas of the aesthetic experi­ ence. Information theory is "simplistic in dealing with esthetic perception. . . . Lacking nuances, it studies some of the grossest most obvious , . . aspects of perceptual behavior. . ." (p. 19*0. The esthetic message as a whole is extremely rich and complex; 1 probably never Is it comprehended Immediately or as a whole. The listener is always limited by his experi­ ence and "attention potential."

' ‘ ' In order for a message to be intelligible '' . . ., the complexity that It conveys must, on the average, not be' too' rich. However, artistic messages are practically always too rich. Consequently, the receiving sub­ ject Is obliged to' exhaust these messages by successive re-presentations (p. 200)..

Perhaps certain of these concepts1 from Information theory have potential for helping to solve musical

■ : . . . 1 , ■ .

■ . ■ . " ■ . ' V ' V ■; ' I. 1 ■' 60 < problems. I will attempt to apply some .of these tools

In discussion of specific compositions.

‘ Summary

In this chapter, I have given a brief overview

of the developments in psychology and related fields which make them useful tools for music scholars. In

this abstract of developments, the initial stages of the psychological method which consisted of self- observation and "systematic experimental introspec­ tion" were noted. Then came the new discipline of psycho-physics with the work of Weber, Muller, Pechner, and also Helmholtz, firmly establishing the experimental approach. The behaviorists, notably John B. Watson and including Max Meyer, S.'S. Stevens and B. F. Skinner, formulated a branch of psychology particularly useful to musicians. Under behaviorism; perception received

Increasing attention. Auditory pattern perception studies profited from the Gestaltist Ideas on visual perception. The icontributions of Bartley, Gibson and

Garner to perceptual phenomena, a person’s response to sensual stimuli, and his organization of his perceptions were noted.

i 4

61

In the Fifties, the concepts of Information theory became very popular, as psychologists saw its potential for illuminating certain problematic areas In their discipline. Perhaps the most balanced view of communication theory's potential for solving psychologi­ cal problems appeared with Attneave's book Application of Information Theory to Psychology (1959) and for musi­ cal problems, Abraham Mole's book Information Theory and Esthetic Perception (tr. 1966). Some fundamental con­ cepts of Information theory were introduced as a back­ ground for exploring in some detail its pertinence to . perception. of music. It was shown that psychology and related fields i • may offer valuable tools for musical scholars who are I interested in understanding music from the perspective of an Individual's responses as indicated by his behav­ ior. Not only should this approach Illumine aspects of the music itself, but should begin to show why we attribute value to certain compositions above others. Included in the supplementary bibliography is a list of references for anyone who wishes to explore the 62 history of psychology as It relates to behavioral con­ cepts such as perception, in greater detail. CHAPTER IV

THE MUSICAL MOTIVE AS A PERCEPTUAL UNIT - I

Body of Music Used

The musical motive is the subject of the analyti-/ cal part of this study. Since the amount of music characterized by motivic structure is vast, I have limited this investigation to an examination of the motive in the Bach chorale preludes for organ which are found primarily in three collections, the Orgelbuchleln (Liturgical Year), the' Leipzig' chorales (Great Eighteen), and the double settings of the' Clavier ubung, Part III. For the Leipzig chorales and the Clavier((bung settings,

I have used the Neue'-Bach Aus'gabe (1958, 1 9 6 9 )» However, to date it is still Incomplete and the volume containing the Orgelbuchleln has not yet appeared. For this collec­ tion, I have used the Peters edition (1928) in preference to the Bach OeselTschaft for the practical reason that some of the chorale preludes in the latter edition use a variety of clefs which are an obstacle to some readers; *

63 There are miscellaneous chorale preludes not Included In these collections which I have omitted for the sake of brevity, and because all representative types of* chorale

% preludes can be found in the three major collections. "

The chart in the Appendix contains analytical facts about the motives in a representative sampling of the chorale preludes.

Definition of Motive

I define the motive in these chorale preludes as: the musical grouping which is most susceptible to organi­ zation into patterns and which is a convenient length for comprehension as a unit. It is a subdivision of what is usually called a phrase (in these pieces, one line of the chorale tune) and may be repeated several times within a phrase. It is set apart and heard as a small unit because of this repetition and because of its melodic shape, its rhythm, and in some cases its harmonic base.

The Suitability of Bach Chorale

Preludes for Motivic Analysis

The Bach chorale preludes,, are particularly appropriate for studying the motive because the 65

contrapuntal fabric is made up almost entirely of one or

two motives and their variants. Examples 1, 2, 3, and 4

show the opening portions of four typical preludes.

Ex. 1. From the Orgelbflchlein

MH Fried' iiih I Freud' icli falir* dnhin.

Ex. 2, From the Orgelbuchlein

Christ lug- iii Todcsbaiidon.

6.

In Exs. 1 and 2, the chorale tune is in the

soprano; in Exs. 3 and 4 the chorale tune • is in the pedal. Each excerpt extends to the end of thev first phrase of the chorale melody. Ex. 3* From the Clavierubung, Part III

Christ, unser Herr, zum Jordan kam 1 2 CUv. • Canto ftnuo in Pcdalt 1 T V » » Ex. 4. Prom the Leipzig Chorales

0 Lamm Gottes (verse 3) h'Fi-rrrrf

b ».___ . * lT*«g - .

c.t. 68

The primary motive, that which dominates the piece by occurring most frequently, is enclosed in solid horizontal brackets and labeled "a"; occasionally another motive occurs consistently throughout the composition, and if so, it is enclosed in broken brackets and labeled "b". Extensions of motives are indicated by short-line, short-space extensions of the bracket. The chorale tune .is labeled "c.t." Since the rhythm of the motive appears to be its most consistent characteristic, only repetitive rhythmic units are noted here. Pitch variations of the motive occur frequently. These melodic variations will be discussed in several different contexts throughout this study. It will be noted that melodic variations do not significantly disturb identification of the motive i because of its rhythmic strength and repetition. Fur­

thermore, at this point, it is important only to know how the motive is defined and to see it in context, as these examples show. About 20 percent of the eighty-five preludes in these three collections do not fit the category of motivlc organization, These are the ornamented chorales in which the structural principle is prolongation and elaboration of the tune by ornate ornamentation, with primarily chordal accompaniment.

The chorale preludes are distinguished as a class by several characteristics. They have a common origin, of course,-in their genesis from chorale tunes

(in three or four cases, plalnsong themes), which furnish the melodic and frequently the harmonic framework.

Most of the chorale preludes are miniatures, from one to three minuteB In length, particularly those in the

Orgelbuchleln, and the second settings of the

Clavierubung. A very' few exceed five minutes in length.

The two types of motivically-organized chorale preludes in these collections are found in Exs. 5 and 6. J ■

Ex. 5» Prom the Orgelbuchleln

Wcr nur (leu licbcn Golt lasst wnltcn. 70 *

Ex. .5 shows a prelude in which the motive is the structural principle, furnishing nearly the entire contrapuntal fabric. The chorale tune is intact. Ex. 6 shows a prelude in which the motive consists of a dim­ inution of the chorale tune, stated first in the tenor, then imitated by the bass and the alto. This motive

furnishes the contrapuntal fabric for the chorale tune which appears in augmentation in the soprano, meas. 6. This is the pattern for each phrase throughout the chorale. Motivic organization characterizes much of baroque music and much of Bach's composition, but the chorale preludes are unique in that they are entirely

instrumental organ compositions, as opposed to the ; chorale contatas, for example.

The Motive as Primary Material

Edgar Alden (1956) suggests two related meanings of the term motive which assist in defining it further. It is "a structural unit" or "an essential musical idea," (p. 12). The structural unit concept is the more fitting for these compositions. The motives in the Bach chorale preludes are structural units because they are like building blocks which succeed each other and pile up Ex. 6. From the Clavierubung, Part III

Aus tiefer Not schrei ich zu dir *4 ■lio modo auaualitcr BWtir

m m

s a f e B B a j S 72

Into a larger structural whole. Alden's second meaning

suggests a germ motif which is elaborated and varied,

perhaps obscured by other voices, or expanded from a

small cell, to a giant idea. This second meaning is

illustrated by the primary motive of the first movement

of Beethoven*s Fifth Symphony. This kind of development ■*> is not typical of the Bach chorale preludes. Alden

notes, and examination of the music indicates, that in

the baroque period there are many forms which exploit

the motive as a structural unit and that probably the

prelude is the chief example. With the exception of the

ornamented chorales, preludes are typically "based upon

a single idea maintained without interruption to the

end. . . . [this single idea] is the one propelling

force that animates the whole (p. 163)*

Ex. 7 shows a typical prelude in its entirety.

The chorale tune is intact in the soprano voice. The

motive can be seen here as the structural unit, the

single idea that forms the contrapuntal fabric of the

prelude. The closed brackets labeled, "a" and the broken

brackets labeled "b" indicate the two main versions of

the motive. The labels a* and b* Indicate rhythmic alterations. The "a" and "b" versions of the motive are Ex. 7. Prom the Orgelbuchleln

Herr Christ, der ein’ge Goltes-Sohn very similar because of the anacrusis of three sixteenth-notes a third apart, followed by a change of note value on the downbeat. The l?b,f or pedal version Is distinguished, however, by the octave leap on the down­ beat which continues even in its sequential form in meas. 3. However they differ, the unifying quality of the "a" and "b" versitpns is established by their rhythm and by the intervals of a third which the sixteenth-notes take most frequently. The fact that the interval follow­ ing the three sixteenth notes varies between a fourth and a fifth makes little difference, apparently, in one’s perception of the motivic figure. What takes place is a process related to the Gestalt concept of closure d is­ cussed earlier (supra, pp. 50-51). Because of the general consistency of the pitch contour and note value pattern, interval variations are not heard as differences to the extent o f 1 confusing motivic identification. This three sixteenth-note anacrusis to the downbeat is the key to the pattern. The downbeat may consist of a quarter-note, two eighth-notes or a dotted eighth-note. The most common variant of this pattern is the continuation of the sixteenth-notes in a sequence rather than a change of note values on the downbeat such as in the tenor voice in meas. 6, 7, and 8. Each 'time three sixteenth-notes pre­ cede a beat, they constitute a repetition of the initial 75 motive as stated in the first three beats of the prelude. The continuous repetition of this pattern furnishes the main character of the composition. In fact, there is not a beat in the entire prelude in which the anacrusis of three sixteenth-notes fails to appear. Because these three sixteenth-not.es were established early In the piece by their rhythm and intervallic shape, that is, as a repetitive durational pattern, they are part of an estab­ lished pattern whenever they occur, regardless of pitch variants. The pedal version of the motive is quite consistent in its intervallic shape as well as In Its rhythmic character. The octave skip, followed by a rest, i sets it off clearly. In the upper voices, although the melodic content continually changes, not only by trans­ position but by Interval alteration, the motive, because of its generally consistent Intervallic contour and Its durational repetition, is identifiable as the unit which provides a coherence to the structure. This prelude is typical of the manner In which the motives furnish almost the. entire contrapuntal fabric of the composition. *

Questions for Pattern Perception Analysis

Several .questions about pattern perception, to which psychologists can furnish partial answers, can now be raised. These questions are complex and suggest vari­ ous ways in which answers could be found. In this 76 chapter, we will begin the search for answers by examin­ ing pattern perception studies and their application to musical patterns. The following questions, then, help to set into focus the main issues: (1) Does the listener organize a stimulus such as music into patterns? (2) What conditions are necessary for a person to form a concept of a pattern? (3) In this study, what unit of pattern organiza­ tionappears to be the most important to explore? (4) What are the salient features of the unit > fx" of pattern organization?

(5) What is the relationship between patterns analyzed in the score and patterns heard? (6) In what ways can a pattern be altered and still be recognized as the original pattern? To begin this inquiry, we will turn to general studies in the psychology of pattern perception.

Structure as a Percept

Question (1) Is: does the listener organize a stimulus such' as music into patterns? A wide range of perceptual studies indicate that the need for and per­ ception of structure Is part of human mental processes. There are numerous studies which show that a person 77 describes or encodes a stimulus In as simple and problem- free a form as possible (Attneave, 1 9 5 ^ a 1955, Attneave and Arnoult, 1956; Hake, 1957). Further, a person selects those aspects which "lead to the greatest appar­ ent consistency of stimulation, consistency both of the parts of the total pattern with respect to each other, and consistency with respect to past experience and expected future experience" (Garner, 1962, p. 200). Gerner*s own studies led him to believe that "the search for structure is inherent In behavior" (p. 3^0; Garner, 1952, 1958); This, he said, is an assumption based on his experience and one which Is implicit In many experiments having to do with structure. A person searches for a limited’number of variables, and if no coherence can be perceived, a certain measure of anxiety is the result.

Herbert Simon and Richard Summer (1967 ), in a study of various patterns including musical ones, found that in different types of tasks such as binary-choice, switch-setting, or series-rcompletion, people view the particular problem at hand as one of finding simple temporal patterns. With random stim­ uli, subjects are prepared to treat certain elements as * exceptionalf if they violate what appears other­ wise to be an orderly sequence. Thus, people appear . to persist strongly in seeking pattern even in the presence of noise (pp. 3, 4).

Rosser (1 9 6 7 ) found that "patterns can be a salient feature of auditory sequences and that Ss can form a

■ ' ‘ • ! * ••' • J • * • ' ’ •

■ " ■ * , ■ i'' ' . : , T . \ concept of a pattern even if they receive no feedback and seldom hear it undistorted11 (p. II). Numerous other studies, from both the visual and aural standpoint, document the pattern-forming tendencies of the human mind. Merle Lawrence (1968) recorded the study done by R. Plomp who found that a constant tone (one that is just audible) seems to come and go; there is a periodic fluctuation, the periods being organized into i lengths of about ten seconds (p. 5). H. Woodrow (1909), working with perception of rhythmic phenomena, discussed the human tendency to perceive stimuli in groups. As a result of his experiments, he concluded that "the essen­ tial thing in the perception of rhythm is the experienc­ ing of groups," that is, a repeated series of patterns (p. 53). R. B. Stetson (1905) agreed that the experienc­ ing of groups is important. In his study of motor reac­ tions to rhythm, he found that "the simplest form of the rhythm-experience seems simply a perception of a peculiar type of likeness and repetition in a movement-series" (p. 256). The likeness and repetition form a pattern or grouping which persons immediately grasp as an order- producing characteristic. He noted that the position of a series of equal clicks in the time series is modified by our perception of the clicks. We organize series of equl-distant sounds into patterns. In one study, for 79 example, he found that his listeners invariably organized the regular ticks of a metronome into groups or units with accented and unaccented ticks (pp. 256-258). William

Paisley (1 9 6 7 ) spoke of pat tern-format ion as "encoding behavior" (p. 26). He noted that most encoding behavior is characterized by a purposefulness in deliberately

selecting one pattern over another; a person is motivated to encode a stimulus in a certainvmanner by his belief that the pattern will continue to be coherent and by his expectation that it will be useful in some way, for example, for understanding or simply enjoyment (p. 26). So Garner's studies on structure, Simon and Sumner on pattern-formation, Rosser on auditory sequences, Woodrow and Stetson on grouping and Paisley on encoding behavior indicate that the pattern-forming tendencies of the mind seem to be very strong indeed. Question (2) is: what conditions are necessary to form a concept of a pattern? H. A. Simon and K, Kotovsky

(1 9 6 3 ) found some answers in their study of pattern per­ ception. They wished to discover how people "induct [from a remembered concept or rule] a pattern description from the pattern segment that is presented to them" (p. 5^0). Behavioral evidence indicating a person has formed a concept, they concluded, lies In his ability to separate parts of a stimulus embodying that concept from ' 1 ■ ' ; ’ ' . 80 parts that do not. He does this by "discovering a periodic- ity in the sequence" (p. 5^1), that is, by finding a coher­ ent grouping of elements which repeats - itself periodically. So some kind of pattern is necessary for a listener to form a concept of the stimulus. And, as Stetson has shown, if. none exists, a person will impose a pattern. Question (3) is: in this study, what unit of pat­ tern organization appears to be the most important to explore? Some aspects of this question already have been dealt with in Examples 1 and 2 (supra, pp. 65, 66). There are many elements in music which might be perceived as pat­ terns; there are many ways to structure so complex a stimu­ lus. In addition to individual elements which can be struc­ tured, there are many combinations of elements, to say nothing of different structural levels which can be orga­ nized by the listener. His method of pattern perception may depend to some extent on where his attention is directed or what previous training and experience he brings to the listening process. A person may direct his listeners to attend to the motive, the phrase, or the period. He can suggest that they note each chord change or the underlying harmonic rhythm of an entire section. He can instruct them to listen for melodic Bhape or rhythmic organization* In this study, the unit of pattern organization is the motive, because of its function as the structural 81 * material in these preludes. The examples of Bach chorale preludes which have been examined so far, and which are representative of these pieces (see chart, Appendix, pp. 236-239), Indicate that the motive Is a primary structural factor. That is, the motives here are subdivisions of the phrase and occur several times within a phrase. It would be difficult to break down these compositions into coherent units smaller than the motive. Not only is the motive a rather clear- cut unit, with a characteristic shape and rhythm, but it is highly repetitive, confirming and re-enforcing one's initial impression of what the pattern is. It appears, then, that the motive In these preludes forms the factor with the greatest consistency of parts of the total ^ - i r pattern, as Garner phrased It, and is the most easily identifiable unit In these pieces on an Initial exposure. Question (M) Is: what are the salient features of the unit of pattern organization? This question will arise frequently and will be dealt with from various per­ spectives. Aspects of its saliency which have been described, include It^ continuous repetition, its melodic shape and rhythm, its contribution to coherence and 82

stability in the listener's perception, and its impor­

tance to the contrapuntal fabric of the composition.

Question (5) is: what is the relationship

between patterns analyzed in the score and patterns

heard? This question should help to set into psychologi­

cal perspective the analytical information’ gained by

” studying the score. Music is an aural event and relation­

ships found in the musical score are meaningful, that

is, one can assess their perceptual significance, only

insofar as they are heard. This does not mean that

information gained by reading the score is unnecessary

or without value, but it means that looking at the notes

is only a partial way to discover what is there. One

must ask if and how the relationships extracted from the

score affect one's perception of the composition.

For example, thousands of chords, harmonic pro­

gressions, and contrapuntal techniques have been analyzed

and classified by Bach scholars. The well-known,

detailed, and comprehensive tabulation of the chorale

harmonizations of Bach by Allen McHose (1947) is a case

in point. He noted that

Bach's harmonizations of the chorales are largely composed of tonic, first classification function [chords built on either the dominant or leading tone 8 3 and progressing normally to the tonic] and second classification function [chords which have their roots on the subdominant or supertonic and progress­ ing normally to chords of the first classification]. Less than ten percent of the entire harmonic equip­ ment utilizes chords of the third and fourth classi­ fication functions (p. 307).

Further, the great majority of Bach's chorale settings follow what McHose called a "normal progression," a chord moving from one classification to the next classification nearer the tonic (p. 308). The chorale preludes, as well, with a few exceptions, follow the conventional harmoniza­ tions which characterize the original chorales. Exs. 8 to 10 each show the first phrase^bf a prelude, together with the first phrase of the original chorale, as har­ monized by Bach.

The analyses in Exs. 8 and 10 are from McHose and the analysis in Ex. 9 is mine.’ Upper case and lower case letters indicate major and minor keys, respectively, and are my additions. Chord identification in the preludes is limited to structural harmonies as opposed to essenti­ ally contrapuntally determined chordal embellishments.

As a rule, the structural harmonies of the preludes cor­ respond to those of the chorale, except, for differences such as Inversions of. the same chord and. embellished or 8k

Ex. 8. Prom the Orgelbuchleln

Mil Fried* mid Freud' icli Fnlir’ 55 * \* .

M anual*. fr**-

PtdaU.

Prelude d: I *6 ^ I VI7 II . As v . i^ v g i v i 115v i£xr i

Orig. Chorale d: I is V IV2 vg I I3| V I

Bac 1 harmonization from McHose, 19*17, p. 210

5 t & 4 f m 7 r $ V ) ) f )

g = p • I I IX d: I C6 % as V Bfe^Dgl % I^V I 85

Ex. 9-. Prom the Orgelbuchleln

Christ lag In Todcslmiuh'.:).

5.

Proludo a V X / I Orig, Chorale a: IV V Ig Vg I Vg I I ^ 5

Original chorale (Rieminschnelder)

i a: IV V X 86

Ex. 10. Prom the OrgelbHchleln

Lob t Got I, II ir Cliriylon, nllzugloich.

M tn u a lo .

Prelude G: 1 Vg V7 3g I IVg V? I

Orig. ■ f III Chorale G: I Vg V I Ig IV Vg^, I

I Bach harmonization from McHose,. 19^7, p. 5

G I v6 v x ig jy V Q7 1

1 passing harmonies between the structural harmonies in the preludes.

It appears, then, that Bach’s use of harmony in itself is not a distinctive feature in these compositions; that his harmonic vocabulary, in fact, is not especially significant when considering the appeal of these works.

Therefore, it may be that the time and effort expended on harmonic score reading alone is^out of proportion to its importance as a clue to his genius. The harmonic score- readers, for the most part, (e.g. McHose, 19*17; Piston,

1962) have not asked whether their chord classifications are perceptually Important, whether their. findings are significant.

Part of the problem lies in the failure to relate these harmonic facts to the other elements of the composi­ tion and to relevant knowledge from other fields. It is true that Bach's fusion of the contrapuntal and harmonic techniques of his predecessors was a step forward in the more skillful use of the elements, but after analysis of his fugal techniques and their harmonic implications, one is still largely in the dark as to how these techniques achieve their astonishing aesthetic results. To say that * * he took the techniques of his predecessors and added his

own spark of genius, creating a higher synthesis of

skillful harmonic and linear writing, does not explain

the effect of his music on the listener.

Heretofore, most music theorists have proceeded

in their analyses as if the score was the thing, as if

the notes were the essence. But music*s primary sig­

nificance lies in what is heard, which is to say that

what is aurally perceived is most important. So this

prompts the question about relationships between material

read and material heard. In this study, the purpose is

to focus on that which is perceived aurally, that which

distinguishes itself in the mind of the listener as value,

that which seizes and holds the attention. Obviously,

the very correct and very Bachian harmonic progression,

I-Vg-I-V-VI-II6-V-I will cause few to sit up and take notice that here is great art; and the same can be said

for the most Hcorrectf1 fugue In the student*s notebook.

Even the combination of the correct textbook eighteenth-

century horizontal and vertical rules might well leave one artistically cold. So we must search for other aspects of the musical fabric, for the effects of combined 89

melodic, harmonic and rhythmic factors and try to dis­

cover In what way these are perceptually significant

elements.

Robert Tusler, in his study, The Style of J. S .

Bachrs Chorale Preludes (1956), stated his position in a

single sentence, which might point up the major problem

of conventional musical analysis when it turns in on

itself alone for insight. His study, he said, "is based

only upon the purely factual aspect which can be found in

the music [score] itself, without the confusion of

aesthetic problems, which, at best, are personal, improv­

able, unresolvable in the medium of words" (p. 83). But

one must protest that wordB are what humans have to work

with if we wish to describe, teach, or conceptualize our

musical experiences. Some aesthetic problems may be per­

sonal and unsolvable., But one of the purposes of this

study is to demonstrate that others are not insoluble or

beyond the reach of measurement. Admittedly, attacking

aesthetic problems is not neat, precise, or mechanical.

But neither is the human mind, and its creative potential

^ should be applied to more than mechanical tasks. Tusler

asserted that there is no way to attack the problem of

the essence of personal musical experience. But in his 90 chapter on the rhythmic and melodic patterns which mark the uniqueness of the chorale preludes, he launched such an attack. His key summary question is relevant: "What in essence is the style of the chorale preludes of Bach?”

(p. 138). His answer, logically, is that it is the treatment of rhythmic patterns and melodic figures. But the question which must naturally follow is, not only, what is this treatment, but how does it communicate so effectively with the listener? One reacts positively to

Tusler's observations that Bach's figural treatment has„. power and drive, that there is constant motion toward a climax, that there is energy and clarity, that there is a force which propels all the elements forward. But then one must go on to ask how all these characteristics are achieved and what the effect is on the listener.

Patterns and their variations are evident in the musical score, but how does the listener perceive, them? It is this aspect of analysis which psychologists, from their studies of human pattern perception, can illuminate for the music scholar.

The final question, number (6), is; in what ways can a pattern be altered and still be recognized as the 1 ' , '

A/ 91 original pattern? The remainder of this chapter will deal primarily with this question^by exploring melodic,- rhythmic and harmonic studies which have been done by psychologists and then examining these same aspects, respectively, of the motivic organization in the music.

Empirical Investigations of Melody

Psychologists who have studied musical phenomena have been most interested, it appears, in the element of melody. They have studied perceptual characteristics of melody such as length and shape of patterns, alterations of the pattern, and effects of pitches, frequencies and intervals.

G. Burroughs and J. Morris (1962) conducted an experiment which tested a listener's ability to learn a musical theme. They wished to construct a tune which an average student could learn in a reasonable number of trials. They were interested in the fact that there is a low correlation between pitch discrimination and rhythmic perception. Their subjects were able to reproduce or identify the melody of a tune played on the piano more quickly than its rhythm. Further* they found that per­ ception of the harmonic factor and rhythmic pattern 92

"continue to Improve with repeated trials (up to eight or more) while marked Improvement In melodic perception » drops off after the third trial" (pp. 19-25).

Otto Ortmann (1933), working with the memory aspect of perception, sought to define the types of tonal patterns common In music and categorize them according to difficulty of recall. His listeners heard five-tone patterns and then wrote what they heard, a test designed for persons with extensive musical training. He found that the small intervals were easier to reproduce than the large ones. Most listeners Were accurate In noting repe­ tition and pitch direction;, they were more accurate in reproducing stepwise motion than wide skips. Disjunct patterns with frequent directional changes were the most . difficult (p. 461).

Rosser (1 96 7)» in her study of discrimination and categorization of tones,, also found that classification of melodic patterns was more accurate with the stepwise melody, C-D-E-F^-G/!1, than with the Jagged melody,

C-E-F#-D-G# (p.c ). She also noted that length of melodic sequences affected discrimination. Sequences of up to thirty notes were easier to identify than just ten * . * • I 93 notes. But above thirty notes, discriminatory accuracy decreased.

In another study, Ortmann (1926) tested the "psy­ chological status” of individual tones within motives and analyzed typical test errors. Among his results, he found that (1) the final tone of a melodic' segment seems to be the strongest (more easily reproduced), stronger than the initial tone, perhaps because it occurs last and can be remembered easily (2) the topmost and lowermost tones of a pattern assume prominence perhaps because they outline the melody (3) the reaction to any given tone is not constant in the perception because it is altered when associated with other factors in the melody (p. 39)*

Ortmann’s findings concerning the highest and lowest tones of a pattern suggest another factor in motivic recpgnltlon. Cooper and Meyer (1963) talked about a motive being "marked for consciousness" because of its pattern of accent (p. 8). This is a concept par­ ticularly important to a study in auditory perception, and will be examined at some length in relation to rhythm. There are other ways, however, in which motives are marked for consciousness. One of these is the melodic 94

shape, particularly of a jagged motive. The highest

and lowest notes are prominent, as Ortmann stated, because

of their isolation and limits they Impose on the range of

the tune, and because of the particular melodic shape of a jagged line. An angular shape may facilitate identifi­

cation of the motive. G. A. Miller and G. A. Helse.(1951) i / found another perceptual phenomenon of pitch, noting that when a variable tone in a pattern is isolated from the others, by a large skip it is heard as "an isolated 'pop*” with the remainder of the pattern assuming more of a background function (pp. 68-77).

In another study of pattern perception, Benja­ min W. White (I960) used distorted melodies to measure * the extent of pattern recognition ability. Taking familiar folk melodies such as "On Top of Old Smoky,"

"Yankee Doodle" and "Bicycle Built for Two," he trans­ formed them in various fashions: transposition, playing them backwards, altering Interval Bize by "multiplying the intervals by a positive Integer, subtracting or adding an integer" (p. 101), arid random interval transformation by maintaining the set of intervals found in the original >' ' * melody, but; changing their temporal sequence. He found 95 that simple transposition of the tune had little or no effect on recognition. Techniques which impaired recog- nizability least were those which left intervals their original size or left the sequence of ups and downs unchanged. "Transformations which disturbed either of these, . . . for example, which preserved the sequence of ups and downs, but sacrificed the information in the relative sizes, had a much more serious effect on recog­ nition" (p. 104). Random Interval transformation had about the same effect on accuracy of recognition as did altered Intervals. Playing tunes .backwards greatly dis­ turbed recognition. One of White's main conclusions, then, was that "those transformations are the least disruptive which preserve the relative magnitudes of the intervals between successive notes and do not change the temporal sequence (pp. 105-107).

Though the aural factor is the important consid­ eration in a musical study, musicians, especially per­ formers and conductors, will always perceive music as a combination of the visual and aural stimuli. Jo Ann S.

Kinney (1961) conducted a two-fold experiment: to learn something about perception of temporal differences in 96

auditory patterns and secondly, to compare results with

visual experiments. She noted that using temporal dis­

crimination to measure aural pattern perception has

several advantages: first, "auditory stimuli are

patterned in time." She suggested that the Miller and

Heise experiment (supra, p. 9*0 implies that if a tone Is

separated from the rest of the pattern by a wide skip,

"its temporal position.with respect to the rest of the pattern should be more difficult to judge. Temporal discrimination therefore could be used to measure which tones are included in a perceptual group" (p. 529).

Secondly, one can compare auditory patterning with data from visual patterning, time "being- comparable to the horizontal dimension . . . while pitch becomes the verti­ cal dimension" (p. 529). Her spectrographic transforma­ tions were made on a Bell Telephone Sound Spectrograph which has shown in a number of instances that there is a preserving of "the patterning or organization of stimuli between the two senses" (p. 530). The Pattern Playback developed by Haskins Laboratories is the reverse of the

Sound Spectrograph (p. 5.30), changing visual data into sounds. 97

Kinney's experiment, specifically, was to test the effect of two major variables on auditory temporal discrimination. The first variable, shown by Pig. 1, was a frequency-separation of the tones in the pattern, , with the purpose of determining whether "the dependence of perceptual grouping upon pitch-relatlonshlps, found

* / by Miller and Heise, could be repeated for temporal dis­ crimination1' (pp. 530, 531)* The second variable, shown

Pig. 1. Prom Kinney (p. 531)

N ■ -L -J, B ■ H Vr A I •R * T TT 1 2 0 ms«c 30 MStc. 40 MStc Standord Oitplac• mtnt From Standard F 3600 m 4 » i 1 ■ A R

1200 i ■ ■ ■ It ■

1 90 do eo 00 D O D O oo ioo no 90 100 190 w no no l MStc. MStc. MStc. MStC. MStc. I

FM. I. ScalI'Drawing of the Two Erequency*Gondition3 o r . nu Basic Elements fo r the Standard and Variables IN THE AUMTORY PATTERNS.

by Pig. 2, waB in the type of pattern, changing the manner in which the tones were combined. ' In the case of the ■ .■ ■ ■ . 98 first variable, the two degrees of frequency, variation were 1200 and 1440 cycles per second and 1200 end 3480 cycles per second. Six different patterns of each of the two-tone groups are shown in Fig. 2.

Fig. 2. From Kinney (p. 532)

NEAR fiOR ■ Pattern ■ ■ ■ Basic ■ • o Pyramid ■ a II a o ° « 0 •

Ascending

•

Triad • > a * a ■ •

Repeated (2) ■ ■ ■ ■ ■ ■ a ■ ■ a

flepeoted (4) • ■ ■ ■

BO MStc. Fro. 2. Schem a^ Diagram op the Stim uius-Patterns

♦

Each of the six patterns had two versions, one with the smaller frequency separation and one with the larger.

The filled in squares in Fig. 2 show the two frequency variables. The presentation of the tones were carefully regulated and spaced by mllll-seconds. Kinney’s results confirmed that "temporal discrimination Is poorer for the 99 tone separated from the rest of the pattern by a greater difference in frequency" (p. 532). The same result emerged in the visual experiment. Results for the second variable were not as clear-cut. "Tem­ poral discrimination also varied with the type of pattern in which the discrimination was Imbedded", the auditory triad pattern being the most difficult to dis- criminate and the visual triad the easiest (p. 532). "One repetition of the basic elements improved dis­ crimination, but there was no further increase with further repetitions. . . . The additional elements [white squares] provided in the non-repeated patterns, such as the triad and pyramid, did not aid discrimina­ tion in audition, but did improve it in vision" (pp'. 5^0- 5^1). Thus she found that Interval differences do alter perception of a pattern, particularly the time element, one aspect of rhythm.

Melodic Organization of the Motive

The above studies give some insights into our reactions to melodic shape and interval distance in musical motives; they provide information as to ease of 100

Identification of various types of patterns. The logi­ cal next step is to examine t he melodic characteristics of the motives in the chorale preludes to determine if the foregoing data from perception studies furnish any insights concerning our responses to these pat­ terns .

Rosser (1967) found length of motlvic sequences to be a significant factor in perceptual accuracy (supra, p. 92). The great majority of the motlvic sequences in these preludes fall within the optimum length which Rosser noted, that is, ten to 30 notes (see chart, Appendix, pp. 236-239). A typical motlvic sequence enclosed In vertical brackets is found in Ex. 11, meas. 6 and 7* Here the motive "a" in the tenor voice, middle score is repeated as an ascending, sequence, totaling 24 notes. These two measures constitute one phrase of the- chorale. Another sequence on the motive "a" in meas. 6 and 7» found in the alto voice, consists of 12 notes. Other typical motlvic sequences are shown in Ex. 12. The motive, as set forth in meas. 5 7 , is treated in sequences

1 ■ 1 ' * of various lengths: beginning in meas* 59» beat 4, Ex. 11. From the Orgelbuehlein

Herr Clirist, dcr cin’ge GoUes-Solm oder Herr Gott.nun sel gej>r?Jset. Ex. 12. From the Leipzig; Chorales

"O Lamm Gottes”

o

m 102 103

16 notes Including the three pick-up notesj beginning in meas. 64, beat 1, 16 notes; beginning in meas. 65, beat 4, and extending to meas. 66, 32 notes. In most cases where the pattern organization is sequential, the sequences fall within the optimum length which Rosser found for perceptual accuracy. The studies on melody also reveal varying responses to conjunct and disjunct melodies and to patterns with wide skips and isolated notes. The p r e ­ ludes contain a variety of both step-wise or conjunct motives and zig-zag or disjunct motives. (See chart, Appendix, pp. 236-239). Exs. 13 and 14 show two p r e ­ ludes with conjunct motives.

Ex. 13. Prom the Clavlerubung, Part III

i Kyrie, Gott heiliger Geist a ! Canto ferroo in Dauo Cufa Organo piano U W V 671 104

Ex. 14. Prom the OrgeibuchTein

i In dir tat Freudo. !

Exs. 15 and 16 show two preludes with zig-zag or dis­

junct motives.

Ex. 15. Prom the Orgelbuchlein

N m i komiri dcr Ileiricn Hciland.

About 50 percent of the motives are primarily conjunct (see chart, Appendix, pp. 236-239). According to Ortmann, Rosser, and Kinney, the motives in Exs. 13 and-14 will be perceived more accurately than those, in Exs. 15 and 16 105

Ex. 16. From the Leipzig Chorales

Nun Itomrn, dcr Hcidcn Hciland in urcjitn plrno/ilcintv lYrmo ncl pcdalt

because of their conjunct motion. This is not always

true. In Ex. 13, where the motive is part of a larger

stepwise line, it can be buried or lost to one's per­

ception. Unless it is set off clearly by rests, whether

it is heard as the motive remains indeterminate. In addition, Ortmann pointed out the psychological status of

Individual tones, concluding that the highest and lowest

* tones are prominent in our perception, and that the final tone Is retained better than the others. So ease of identification and pattern perception do not depend merely on the shape of the motive. If a motive contains very wide skips, that is, very high and very low tones ' 106

In relation to other parts of the motive, It might be readily Identified or recalled for that reason.

There are numerous motives in this wide-skip category which seem to be "marked for consciousness” by a unique character resulting from Jagged melodic inter­ vals as shown in Exs. 17 and 18.

i / Ex. 17. From the Orgelbuchlein

Durch Adam’s Fall 1st ganz vorderbt.

Ex. 18. From the' Orgelbiichlein

111 dir ist Freudo. 107

The Bach motives contain many skips of fifth,

sixth, seventh, and octave leaps, as evidenced in these

examples. In'some cases, the rhythmic individuality con­

tributes as much to the uniqueness of the motive as the i intervallic shape and this aspect will also be explored.

Frequently, however, the large skips in these motives are

followed by stepwise motion or a small interval, so that ■

the "pop" effect described by Miller and Heise does not

appear to be an important perceptual factor in such

cases. . It is questionable in the light of these disjunct

motives whether melodic fragments made up of adjacent or t primarily stepwise tones are necessarily easier to com­

prehend, as Rosser and others reported. It would seem

that a motive with a distinctive skip or rhythmic charac­

ter would implant itself in the memory as readily as a

scalar or stepwise pattern.

White's study is revealing for th,e:manner in

which alterations affect our perception of patterns.

' The melodic variations of Bach motives consist largely

of transposition by sequence, displacement to another

range, or alteration of one or two notes in the pattern. 108

Ex. 19 Is typical for the manner In which motives are

treated melodically in the preludes. There are two

motives, "a" and "b", which comprise the contrapuntal

fabric. Motive "a" consists of three eighth-notes mov- « ^ ing in wide skips to a downbeat of,'usually, a quarter-

note, eighth-note, or half-note tied to an eighth-note.

t Motive "a" is rarely repeated without some interval

alteration as shown in each of the first four measures.

Yet the motive remains perceptually coherent because of

its note value pattern and consistency of motlvic place­

ment, that is, three anacrusis notes moving to an t accented note. Motive "b" is a nearly continuous pattern

of groups of four stepwise sixteenth-notes. There is

some consistency of interval pattern as well as note

value pattern, but the line ascends and descends, as in

meas. 1 to 3, continually varying the pitch information.

Motives "a" and "b", then, are continually altered in

some manner on nearly every occurrence, yet there is a

• consistency of pattern throughout. As White observed,

the continuous pitch displacement seems to affect

identification of the patterns very-little. Ex. 19. From the Clavierttbung, Part III

Christ, unser Herr, zum Jordan kam ) 2 Ci»- « Citito ftmio in fn lilt B T V iH

L - ^ — Ji--- (1— 11--- 1 i _ _ j I___ 1 1___ i l T 3 I--- I U - J L

L_

J 'j i iZ i ^ ^ T T " 3 .k

3 5 109

( ‘ 110 Rhythmic Studies

Turning now to rhythm, a different and more elusive aspect of question (6), we find that fewer psy­ chologists have studied this area of musical perception. Scholars such as Bukofzer (19^7), Blume (1968), Newman (195*0 and Tusler (1956), who have studied music from the baroque period agree, however, that rhythmic patterns and organization are an Important factor, perhaps the most Important aspect of its style. Bukofzer (19*+ 7) said that the "unique musical intensity" of the preludes i in the Orgelbuchlein lies in three factors: "the unity of the rhythmic figure, the unity of the melodic motive, and the unity of affection" (p. 283). He believed that B a c h fs melodies "owe their linear energy to the consis-, tency of rhythmic patterns ..." His melodic climaxes "occur successively in the various contrapuntal voices, not simultaneously as they do in music dominated exclusively by harmony" (pp. 303, 304). Friedrich Blume (1968) pointed out that it was in the baroque period that fixed measures were, established, that is, "the mechanical repetition of heavy-light groupings" and Ill

composers constructed their compositions "on a definite

rhythmic motif." In the late baroque there evolved

"that motoric element which relentlessly repeats a

rhythmic motion [pattern] established at the beginning

of a piece . . . and which overpowers the hearer by its

merciless persistence" (pp. 130-132). y The rhythm is an overpowering feature of Bach's

art, and its organization and relentless drive in the

chorale preludes appear to be centered in the motive.

According to Newman (1954)* the rhythmic repetition of

the motive furnishes a primary vehicle for generating t ' motion toward a goal, and its repetition in various forms

throughout the entire piece makes it the primary organiz­

ing factor (p. 303). Tusler (1956) observed that these

constant rhythmic patterns provide a continuous flow and relentless motion "by exchange of the rhythmic pattern or patterns among the different voices" (p. 126). Roger

Sessions (1950) expressed in the strongest terms of all his belief in the.effect of musical motion and rhythm on a listener. He maintained that even sound, itself, is second to movement: "music is significant for us as human beings principally because it embodies movement of a specifically human type that goes to the roots of our being and takes shape in the inner gestures which embody our deepest and most intimate responses" (p. 19).

Vague as some of these assertions are, there obviously

Is wide agreement, however expressed, that rhythm Is an

Important perceptual element.

More precisely,, then, what is the effect of rhythm on the listener? It would be helpful at this point to try to be more explicit as to what rhythm is.

Stetson (1905) studied motor rhythm in considerable detail and his definitions are useful. He talked about 1 the nature of the movement-cycle of any rhythm. For . example, a hand motion going slowly in a circle will not be perceived as rhythmic. In order to be so, the circle must be elongated to an ellipse and then, at one point in the ellipse, the motion must Increase in velocity; where the arc of increased velocity ends there will be muscular tension, the motion will greatly slow down until it again reaches the point of increased speed.

The rapid movement through the arc of velocity and the sudden feeling of strain and retarding at the end of this rapid movement constitutes the beat. In con­ sciousness they represent one event, and a series of such events connected in such a movement-cycle may be said provisionally to constitute a rhythm (p. 259). 113 Stetson maintained that muscular resistance, or slowing of motion is accompanied by strain, which may or may not be so. But it is plausible that a change in velocity is important in forming a concept of a rhythmic pattern. Interestingly, the Bach motives usually have two basic note values such as eighths and sixteenths, sixteenths and thirty-seconds, or quarters and eighths, with the exception of the motives in the Leipzig Chorales which more often consist of one note value (see chart, Appen­ dix, pp. 236-239). The combination of the two values helps give the motive a shape and pattern which lodges in the memory and provides coherence to the struc­ ture . C. A. Ruckmich in a 1930 summary of audition research cited a study by a Japanese psychologist, ' Onoshlma, on the Judgment of intensity of an equal pair of comparison tones. He found that "... the judgment of an equal pair of comparison tones on the criterion of intensity depends upon the rhythmical Gestalt of the whole series. A shift in the rhythmical pattern will very, much disturb the judgment of groups of tones"

(p., 287). On the other hand, White (i9 6 0 ), experiment­ ing with distorted melodies, found that, the elimination . - . . ' 1 ■. _ a ' , ■ - ' > • . I : 1 ■

' ' : - ■ i 1 \ i - • ' 1

: I 1 1 *: 1 ' , ‘ • • ! • ■ 1 ■ 1 ■ : i \ of rhythm by making all pitches quarter notes, was one

of the least disrupting variations (p. 103). This seems

to contradict several other conclusions which cite

rhythmic changes as disrupting. White noted, however,

that his result might be attributable to the particular

set of melodies. If the group of tunes had been very t similar melodically, the listeners would no doubt have

depended more on rhythmic information. Also, his melo­

dies were very familiar to the listeners; results might

be different with unfamiliar tunes, in that listeners

would again probably depend more on rhythmic information. * Susanne Langer (19*12) reported a study by Kurt

Huber, "Der Ausdruck musikalischer Elementarmotive"

(1923), in which he found a phenomenon which he called

"subjective rhythmatlzation." He observed that a

listener organizes musical motives not necessarily measure by measure, but according to their harmonic

organisation. In some oases the two might coincide,

This appears to be a description of what musicians call harmonic rhythm. The tonal, fluctuations are 'rhythmic- ally organized in the listener’s perception. Huber’s ■ ’observation is related, as Langer noted, to Schenker's ' 115

theory that "rhythm Is a function of t'oriaT motion, not

of time-division; such motion depends as much on

melodic and harmonic tension and direction as on tempo

[or meter]" (p. 196).

Robert Fetzold's study of musical responses of

grade school children (1966) included their responses

to rhythm. He explored several aspects: whether the

children were more accurate in perceiving rhythmic

patterns when they were tapped or played; whether their

perception was more accurate when they responded by just

tapping or by singing; whether meter and length of the t patterns affected perception. He found that "ability

to reproduce rhythmic patterns that have been presented

aurally is not strongly influenced by either the mode of

presentation or the mode of response" (p. 22^). In addi­

tion, he noted that "for items that are rhythmic and melodic, the children perceive the rhythmic element with « much greater accuracy than the melodic element" (p. 250), when their instructions were to respond to the whole

stimulus, and not attend to any particular element. The

question concerning meter and length was not answered

satisfactorily, I felt., on the basis of his tests, . 116 although one conclusion emerged clearly: q meter was more difficult to reproduce than either jj or Jj.

Petzold's results support the conclusions, both explicit and implicit, of most other investigators thait rhythm is one of the most consistently and easily perceived elements, when combined with other factors. It appears, then, that there is some evidence that the motoric repe­ tition and compounding of . a rhythmically distinctive motive which often dominates a chorale prelude, is per­ haps the factor which Is most readily lodged in the consciousness of the listener, regardless of the har­ monic organization or alterations in the melodic contour of the motive. i i Rhythmic Organization of the Motive

The length of the motive is important, not only in terms of the number of . notes as discussed earlier, but in terms of how much of a phrase or how many beats each motive covers. About 50 percent of the motives (see chart, Appen­ dix, pp. 236-239) have a gathering of momentum on the upbeat and a climax and completion occupying either a part of .or the entire downbeat . Exs. 20. to 22 show 117

Ex. 20. Prom the Orgelbuchleln

Horr Christ,dor ein’gc Goltcs-Solin tnlrr* Herr Gott.nun »cl guprditft.

Ex. 21. From the OrgelbuchTeln

Wir Cliri.stonlour.

I

Ex. 22. Prom the Leipzig Chorales

Cliriste, dii L a m m Goltos. * a CUv. e Pctlnle.

In Canono Min Dnodeclma, sc:

3. 118

this kind .of motive. The climax is achieved sometimes

by a skip to a higher note as in the "b" motive in

Ex. 20, by a change of note value at the climax point

as in Ex. 21, or by the downbeat being the goal of an ascending or descending line as in’Ex. 22.. Frequently, it is the change of note values within the motive that

. * give it the vigor and individuality which command atten­ tion such as Exs. 20 and 21. This is an example of the

"change of velocity" which Stetson maintained is neces­ sary for an effective rhythmic pattern. Another possible explanation for the feeling of climax upon the completion of each statement of the motive was offered by Woodrow (1909). In his experiments with rhythm he noted that persons perceived increased duration as an apparent increase in Intensity. Related to this is the tendency of individuals to accent the longer sound in a

1 * series of sounds of varying durations (pp; 39, 6 5 ).

The note value pattern of a single motive, how­ ever, is an inadequate explanation for the effect of rhythmic organization on the listener. It is necessary to take into account the repetition of patterns as well.

Each repetition of the motive Is akin to the tension and 119

release of a cadential progression because it is a unit in itself and has a preparation and a climax. Thus it is the accumulating effect of many repetitions in a series or which results in our perception of a rhythmic momentum and generative drive. For example, motive "a" in Ex. 23 consists of three notes in its smallest divi- ‘ // sion.

Ex. 23. From the Orge'lbuchlein

AVer mu' den liebcn Gott lhsst waltcn.

The two thirty-second notes act as pick-up notes to the sixteenth-note. The next organization level consists of * two such motives which constitute a beat. It takes eight motives to complete a measure and as many as 20 or more to complete a phrase (pick-up through meas. 3). In addition, the entire phrase follows a contour 120 of ascent,, then descent. .. The impact of an entire phrase of motivic repetitions can more readily be understood in the light of the tension-release effect of the various levels down to the single motive.

Psychological studies discussed above have shown, generally, that when the rhythm remains constant, other

i / changes in a pattern tend to affect identification of the motivic pattern little. The chorale preludes are characterized by continuous, consistent rhythmic patterns which are present in part or as a whole on nearly every beat and in every voice at one time or another, except that of the cantus firmus. Note the opening phrases of a varied group of preludes: Ex. 24. shows a motive which consists of two beats: four sixteenth-notes, followed by an eighth-note and two sixteenth-notes. The motive can

* be sub-divided into two units, that is, .the four sixteenth-notes being one unit (a1, meas*. 13) and the eighth-note and two sixteenth-notes being the other unit

(a", meas. 4), each of which is repeated frequently in a series and heard throughout the prelude as often as the motive in its entirety. The prelude opens with the first phrase of the chorale tune stated imitatively in *

Ex. 2k. Prom the Leipzig Chorales

Nun- danket alle Gott*> 1 2 ctivicn cl pedate / it canto fermo net aoprano « r v u j

C , t . Vtitttter

, r.i,vi ...... £-■■—£=---= 1 lr 1- -...... 1 ■ o a ^ ^ 1 i s = ■#—=- ^ ^. » J j 1 » ■"* - M ‘ • ■ ■ m s & h L j vr n - * .LBXf.LET. f r r F

''-«-jS UJ .1 t r} - tru .>> ' ; ;.j n-f- i r j- ~ — i

s- 121 Ex. 24. From the Leipzig Chorales (cont'd.)

c tt

jjj 122 123 the alto and bass, voices, followed by motivic counter­

point before the entrance ,of the chorale in augmentation

in the soprano in measure 5. The sixteenth-notes furnish

the articulation of the rhythm, that is, a change of

velocity from eighth notes, which moves the music and

gives it its particular vigor. These sixteenth-note

J patterns combined with eighth-notes in the same voice or another voice, usually occur in three out of four beats in the measure except at cadences and beginnings of new sections. The pattern of eighth-notes and two sixteenth- notes in the inner .voices gives way in the final section, measure 58 , to the four sixteenth-notes pattern, moving from voice to voice to the conclusion. As is true in several of these compositions, the pedal part contains some patterned sequences, such as "b" in meas. 42, 44, and

45, but contains no consistent pattern throughout .

Ex. 25 contains a motive, less clear-cut in its boundaries but with a definite shape, Interval pattern, and rhythmic character which furnishes the two- and three- voice counterpoint above the augmented chorale tune in the pedal. Ex. 25. Prom the Leipzig Chorales

Fantasia super Komm, Hciligcr Gcist in orgjno |tIcno I it (in lc frrm o net prditc I T V AS! o Ex. 25. Prom the Leipzig Chorales (contTd.) 125 126

The. chorale tune begins in meas. 8 after seven measures pf pedal point. . Because of the length ,of the.

motive, it is actually a theme, rather than a motive

according to my definition; yet it is treated in the

same manner as the motives. In its’ most complete form,

it spans three measures, beginning after the downbeat * and concluding on the downbeat of the fourth measure.

It consists of sixteenth-note arpeggios and figuration

of one, and sometimes two or three, chords, interrupted midway by a syncopated figure of an eighth-note and a quarter-note. This theme, or a clearly-defined part of it such as the first four beats or sixteen notes occurs alone or in combination with itself In nearly every one'' of the 100 measures of the prelude. A short motive "b" of three eighth-notes interspersed with eighth-rests is introduced at four points in the prelude( tb furnish con­ trast to the almost continuous sixteenth-?note pattern (see * > meas. 25, 26, 27).

I n Ex. 26, the rhythmic pattern is characterized by continuous groups of. four sixteenth-notes, mainly con­ junct, but also incorporating occasional thirds and fourths always followed by stepwise motion. No single voice has 127

Ex. 26. Prom the Orgelbuchlein

Johu titoiiio Frcudo. Largo.

continuous sixteenth notes. Nevertheless the motion Is

maintained by passing the figure from voice to voice

or completing a group of four sixteenth-notes in another i voice, such as in the first beat of the prelude. The

sixteenth-notes can be thought of as forming two pat­

terns. Pattern "a" in the two inner voices is a down­

beat pattern of four sixteenth notes occupying one beat.

Pattern "b" is an afterbeat pattern in the!pedal, consist­

ing of five or six notes preceded by an eighth rest, a

sixteenth rest, or a tie from the previous statement.

' Despite the fact that motives Ma ,? a n d ,,b" almost never i * • occur in exact, melodic repetition and seldom follow a

• • • symmetrical sequence, there is a consistency and unity 128

about the sixteenth-note patterns which gives the * impression .of the continuous reworking .of a single idea.

It is increasingly, evident that motives in these

pieces are essentially durational patterns which are

transformable harmonically and in pitch contour. At

what point a transformation becomes a new pattern can be / / determined in part by studies cited above. Harmonic

changes, which are essentially transposition, do not

affect identification of the'pattern. Changes of pitch,

for example from a fourth to' a fifth or a second to a

third, are not heard as changes if the rhythmic informa- / tion and general contour remain the same. So, because

a sufficient amount of durational patterns are con­

sistent, the initial articulations are the same, and the

general contour is usually retained amidst melodic fluctu­

ations, the necessary conditions for retaining identifi­

cation of the pattern are present. The overall impression

is of a continuous rhythmic force which moves the piece,

’ gives it coherence, and sets up expectations in the

listener's mind for the next occurrence of the pattern.

La Rue (1967) has sought to’describe this kind of

rhythmic repetition. He observed that it is difficult to 1 2 9

make distinctions between motion and rest. He found

the term cycling helpful, that is, a "motion in equilib­

rium— the effect obtained by repeating a pattern over*

and over. Even though the pattern Itself may be extremely

active, the repetition lends a sense of stability to the

area as a whole" (p. 202), The rhythmic character of-the

/ t motives in these chorales fit this description. The

pattern is active and repetitive. The continuous move­

ment provides interest and excitement, whereas the .exact­

ness of the rhythmic repetition is a unifying factor and

provides stability. t Paisleyfs belief about a listener’s confidence

in the coherence of the pattern also speaks to this point

(infra, Ch. V , p. 167 ). The regularity of the rhythmic

patterns in the preludes provide dependability in the

perceptual process. A listener is assured- of his grasp

of the structure because of the consistency of the

rhythmic patterns. Melodic and harmonic alterations

• seem to detract little from this assurance. 130

Harmonic Considerations

Turning now to the harmonic aspects of question (6) regarding ways in which a pattern can be altered and still be recognized as the original' pattern, it appears, as stated earlier, that the harmony may not be a par­ ticularly salient feature in one's percpetion*Of these compositions. Yet the harmony does have bearing on the intensity and drive of the phrase and should be consid­ ered from that perspective. Psychological studies give some clues to this problem. Petzold (1966) presented melodic fragments to i his elementary school children, first harmonized with a single chord, then with primary chords, then with a dif­ ferent chord for each tone, including secondary chords, inversions, and modulations to related keys. He found that melodies which were accompanied by primary chords were reproduced most accurately. However, his data showed that harmonization as opposed to the melody alone did not have a significant effectvon the child's ability ‘ r - to sing back the melody (p. 1963 ).

Tom Ritchie (i9 6 0 ) conducted a study in which;he tried to determine whether perception of melodic 131 fragments was helped or hindered.by added harmonizations.

He found that college 'students were somewhat less accu­ rate in their perception of melodic fragments when very simple harmonizations were added. Secondary triads slightly decreased accuracy further, but the number of chord changes had little effect. These studies indicate i / that there are small differences in melodic perception when harmonization is varied or omitted. However, it can safely be said that marking chord changes under each phrase would be singularly unenlightening as a device for illuminating the unique effect of these works. But har- t mony is significant, perhaps, when its role in establish­ ing tonality is understood; and when tonality, in turn, is seen in its larger role of contributing to phrase- shape and climax. La Rue (1967 ) has some useful insights 1 on perception of tonality and its relation to the other compositional elements. He believed that

the sense of unification which the ear recognizes as. tonality results not so much from how many times we hear the central chords such as tonic and dominant, but more from' how they occur, the emphasis that they receive from rhythmic stress, melodic climax, stra­ tegic position with reference to articulations and other sources of weight. Hence, it may even be possible to show that tonality is not merely a har­ monic phenomenon - perhaps not even mainly a harmonic phenomenon - but rather a symptom of increased gen-^ eral control over musical elements, resulting from greater coordination in matters such as climax and articulation (p. 203). This is an appropriate description of the role of har­ monic organization or tonality in the chorale preludes. I have mentioned the change of note values within a motive, often on the downbeat. This effect is further enhanced by the change of harmony which frequently occurs simultaneously with the change of note values or rhythmic articulation (see chart, Appendix, pp. 236-

239). To the gathering of momentum on the upbeat of the motive with its particular harmony, add the change to longer note value on the downbeat implying greater intensity, plus a harmonic change at that point, and the combined result is a powerful motive which understandably makes a strong impression on the listener's perceptual response to the composition. This interrelatedness of the various musical ele­ ments emphasizes the importance of testing reactions to as much of the whole of music as possible, rather than to groups of notes or Intervals. There is a convincing validity in the method whioh presents a whole artistic stimulus to a listener and then, if necessary, asks for responses to a specified element of the whole. 133 Summary

In'this chapter, the motive was defined as the subdivision of a phrase and the musical grouping which is most susceptible to organization into patterns and which is a convenient length for comprehension as a unit. The manner in which it is the dominant structural unit in the chorale preludes was explored and the way in which it forms patterns which are perceptible because of their shape and repetition. Six questions were raised which placed in perspective the issues explored in this chapter: (1) Does the listener organize a stimulus such as music into patterns? (2) What conditions are necessary for a person to form a concept of a pattern? (3) In this study, what unit of pattern organization appears to be ; if the most important to explore? (4) What are the salient features of the unit of pattern organization? (5) What is the relationship between patterns analyzed In the score and patterns heard? (6) In what ways can a pattern be altered and still be recognized as the original pat­ tern? Studies by Attneave (1951), Garner (1962), Hake, Simon and Sumner were cited which showed evidence that persons tend to organize a stimulus into patterns. : 134

Studies by Lawrence, Woodrow, Stetson, Paisley (1967 ), Burroughs and Morris, Ortmann (1926, 1933), Rosser, Cooper and Meyer, Miller and Heise, White, Kinney, Ruckmich and Petzold showed how individuals respond to melodic harmonic and rhythmic aspects of music. These studies were related to the organization of these ele­ ments in the music. As the analysis proceeded, it became evident that the motive in these pieces is pri­ marily a durational pattern, identifiable by its consistency of rhythmic articulations and general melodic contour, despite continuously changing harmonic organization and interval alterations. The use of empirical investigations made pos­ sible, to some extent, the application of interpretative judgments to conventional analysis by referring the events in the score to a person's reaction to such events. CHAPTER V

THE MUSICAL MOTIVE AS A PERCEPTUAL UNIT — II

Int'e'rpr'e't'atl'oW of Factual Data t i In this phase of the analysis, the effort will be to distinguish between the more objective observa­ tions noted in the foregoing chapter— the number of notes in a motive or sequence, its shape, the general rhythmic and harmonic organization— and Interpretive or specula­ tive considerations. The method Is inference and Inter­ pretation of the facts, supported where possible by evidence from psychological studies. This approach will necessarily make use of a number of tentative and, some may think, Improbable statements. But La Rue (1970) noted that one need not exclude all Ideas, outside of the confidence limits of probability. "On the contrary, phrased with appropriate limitations, one may ,‘of t e n ,include observations and tentative conclusions of poten­ tial utility to later researchers" (p. 140).

135 t The purely factual data, Paisley observed (1967), is that which is so straightforward and objective that "if another person were to conduct [the investigation] independently and without knowledge of prior results, he would necessarily arrive at the same conclusion" (p. 28). Following the setting down of the facts must be infer­ ence, the pointing out of relationships between the various musical elements and between the combined ele­ ments and perceptual knowledge. To begin this kind of analytical theorizing, I will raise fo.ur questions which focus on the more elusive aspects of one's perception of these compositions (1) What are the most readily organized aspects of these compositions and how is attention seized and . held? (2) In what ways is the motive "marked for con­ sciousness" (p. 8), to use the Cooper and Meyer terminol­

ogy (1966)? (3) How is the sense of motion in music related to bodily movement and life forces in general, and what role does tension and release play in this motion? (4) How effective is the balance between unity and variety, and what elements provide unity and which provide variety? ... 137

Motivic Organization at the

Elemental Level

Question (1) is related to question (5) in Chap­

ter IV because both are concerned with aspects which

mark a motive for consciousness. Question (1) is: What / are the most readily organized aspects of. these composi­

tions and how is attention seized and held? This ques­

tion approaches a composition on an elemental, almost

simplistic level. In order to approach this question,

one,must be concerned with what patterns emerge from a

first hearing, what characteristics are perceived immedi­

ately. Consideration of this initial reaction is

important for an understanding of perception. It is an

attempt to isolate the factor of the composition which

I makes the initial impact on one's consciousness; it is

the beginning of understanding. Garner (1962), in* his

studies of the human mind's structuring mechanism, has noted repeatedly the strong predilection to organize 138

stimuli, to, find and even impose patterns which are simple, comprehensible, and consistent.

Alden (1958) observed that the motive functions as an easily comprehensible element in musical percep­ tion. "Since the motive is usually the smallest sort of. easily recognizable unit," he said, "any structure based » / t upon it makes its appeal on the most elementary level of musical understanding . . . it can easily be recalled and subsequent variations noted" (p. 25). To try to discern the most readily organized aspects of these pre­ ludes, it will be helpful to look- at several representa­ tive works. But first, a summary of established observa- tions made about the motive is in order: (1) the motive seems to stand out immediately as a perceptually salient feature of the music; (2) it provides upon first hearing

"the greatest apparent consistency of stimulation" (in

Garner's words when speaking of patterns) because the motive is a pattern, a rhythmic pattern of sound which is repeated several times in the space of a few seconds; (3) it is a salient pattern because of its rhythmic and intervallic shape. According to Cooper and Meyer (1963 ), a musical, figure such as a motive is defined partly by 139

the placement of accent. Placing great importance on accent, they defined rhythm as "the way in which one or more unaccented beats are grouped in relation to an accented one" (p. 6). The rhythm of the motive can be - described in this manner, not only because of the way in which the beats are grouped in relation to accent, but / because of the way the pattern of accent and the change of harmony coincide, reinforcing the accent.

Interre'lati^on,sh,ip, of the Elements as a Cue to Pattern' 'Organi'za:t ion

Cooper and Meyer stressed the combined effect of the musical elements and maintained that what for the musician is most important of all [to understanding and perception] is precisely the unique interrelationships of melody, temporal organization, stress, and other factors [harmonic-rhythmic coinci­ dence] which give a particular rhythm its peculiar character and mode of progression (p. 2,2). Exploring some of these Interrelationships in the music should further clarify how the motive seizes and holds attention.

Ex. 27 contains a motive, "a", in the two inner voices consisting of four sixteenth-notes occurring after Ex. 27. Prom the Orgelbuchlein

W ’ir Cliristcnlciir.

H a m u le .

^a»y=f-g; ofri 141 the beat, followed, as a rule, by an eighth-note on the downbeat. This rhythmic pattern occupies every beat In all sixteen measures of the prelude with only two or three exceptions (meas. 11). Me Iodic ally, the shape is nearly as consistent as the rhythm, the four sixteenths always moving downward, then moving to the eighth-note stepwise or occasionally by a skip. Pour stepwise descending sixteenth-notes momentarily halting on the downbeat then become the characteristic figure which dominates the prelude. The pedal motive "b" forms a pattern unrelated to "a", not distinguished by its rhythm so much as by its interval distances and jagged shape, its first interval being a perfect, augmented, or diminished fourth and the last one of the group most i frequently a fifth. And still further emphasis accrues to the motives by the fact that the harmony as a rule, also changes on the downbeat, coinciding with the rhythmic and intervallic changes (see chart, Appendix, pp. 236 -239). In Ex. 28, a prelude in trio form, the motlvic structure has a different organization. The motive is set off less clearly as a unit in itself because there is no change of articulation to a longer Ex. 28. Prom the Leipzig Chorales

. Trio tuper Allein Gott in der Hoh sei Ehr"5 I 2 c litiiri C pcdalc

F

«I

r-j=j*y¥s* It__ strl 143 note, value. Thus it Is not marked for consciousness In the same, clear-cut. fashion as Ex. 27. . Yet Its most characteristic form of a group of. four sixteenth notes

(in effect, an ornamented quarter note as a rule) Is clearly evident as a terminal cue because of several coinciding factors: first of all, its continuous repe- /t tition in that form on each beat with only occasional variations in the first half of the prelude consisting of four ascending or descending notes or an arpeggiated figure; in the second half, the four-sixteenth-notes figure assumes various shapes but retains the same rhythm

(see measures 57 to 60) . But by that time the four-note pattern is so well established, despite the interval variations, that it persists as the unit of organization.

Other factors which mark it as the motivie unit are its I consistent beginning on and occupying of- one beat, in the majority of cases there is a chord change with each repetition, and in the first two measures, the first note of each group of. four is -the chorale tune. La Rue (1970) concurred in this evaluation of how patterns such as

Ex. 28 are perceived. He called the motive or the kernel- group of. four notes the "significant module of movement" 144

in the composition (p. 75). Such a module might be one of a continuous series of sixteenths, he said, differ­ entiated into quarters by. contour (p. 92). What might be an impression of pattern-less, perpetual motion then, in trios such as this, is modified and given structure by the shape of the four sixteenths, which tumble after / one another, but are articulated by use of sequences, chord changes, and the typical imitation between the upper voices which characterizes the trio form.

Perception of Groups

Another aspect of motivic structure which con­ tributes to one's perception, which further clarifies the way in which the motive is a unit of organization, is subsumed under the idea of grouping. Grouping is another perceptual device for pattern organization and is an important concept for rhythmic analysis'of these compo­ sitions from another perspective. Woodrow‘(1909), who studied rhythmic responses in great detaii, (supra, pp.

.78, 144 ), considered the idea of groups to be of utmost importance, particularly in the perception of rhythm. He believed the."experiencing of groups" was 145

the essential element In rhythmic perception (p.. 53).

Prom his testing of reactions to rhythms, he concluded

that notes preceding the point of impact or accent are

slightly altered in one's perception, that is, often

the time interval before the impact is shortened (pp. 60-

62). Cooper and Meyer (1963) noted the ambiguous nature / i of perceptual grouping, that is, it provides both

cohesion and separation. They point out that groups of

notes which are

similar (in timbre, volume) and near to each other (in time, pitch . . .) form strongly unified rhythmic patterns. Difference and distance between sounds or ' groups of sounds tend to separate rhythmic patterns. However, though similarity tends to create cohesion, repetition usually makes for separation of groups (p. 9).

What they are saying, apparently, is that some kind of

cohesion or similarity in a group of notes causes one to I perceive them as a unit; repetition of this unit separates

one group from another, but the repetition is a cue to

pattern and solidifies the motivic organization in one’s t • , perception.

. 146

Perceptual Effects of Accent

Question (2) is closely related to question (1): In what ways is the motive marked for consciousness? A phenomenon which has a good deal to do with groupings, with why we organize a certain succession of notes into a unit, and not'others, is the presence of accent. Accent contributes importantly to marking a motive for con­ sciousness. Accent can be achieved in various ways: by prolonging a note, by striking it more forcefully, or by slightly delaying it. In addition, there are other fac­ tors in the listening experience which give the impression * of accent. La Rue (1970) noted some of these factors in his discussion of stress: . . . we can feel a long note following a rising preparation of short notes as a heavy downbeat stress . . . [it is] likely that' . . . this stress results from the high contrast in the rapid release of tension. . . . Stress should be understood, therefore, as the impact felt at the,critical point of change in activity (p. 97)J Cooper and Meyer (1963) discussed in great detail the five basic rhythmic groupings derived from prosody: iambic , anapest o __ , trochee _ dactyl and amphibrach They believed that accent, as usually manifest in one of the above five

, forms and often on . several different levels simultane­

ously, is of central Importance as a psychological

experience (p. 7). One way we group tone’s, they said,

depends in part on whether we perceive them as "moving

from a goal or moving toward one" (p. 11). For example, / * they, asserted that if we hear a group as being end-

accented (an anapest ), the tendency is that "the

last two notes will be performed or imagined [emphasis

mine] ever so slightly nearer to the accent with which

they are to be grouped. The notation remains the same"

(p. 11). The primary impression will be the accent.

Perhaps here is a psychological device which one occa­

sionally employs consciously, or unconsciously to set

forth a motivic grouping more solidly. It appears that

the powerful effect of accent lies in itg organizational

powers. The mind, fleeing as it does from' chaos, secure

as it is with order and structure, embraces accent within

’ the motion of sound as one of the chief order-preserving

elements. A part of meaningful perception, that is, :

understanding of the groupings or, patterns of a composi­

tion, may be significantly affected by the regulation of * accent in a phrase. 148

In the chorale preludes, accent is one of the

factors which enables the' listener to perceive the motive as a unit. As noted earlier, about half of the motives begin with several upbeat tones and conclude with a strong downbeat (see chart, Appendix). This

"preparation" for the "blow" or accent, in Stetson's j words, and the manner in which the preliminary notes bend to the strength of the accent can be shown in part by studying the motivic structure as we have done, but is more convincingly evident after performing, teaching, or listening to these compositions. The full impact of / what accent achieves, however, is evident only through listening to the composition. Exs. 29, 30 and 31 are preludes in which the motive takes the form of anacrusis and downbeat, illustrating the phenomenon described by i Stetson.

E x . 29. Prom the' Orgelbuchle'ln

A llc Menschon mus.sen slci'bou. 149

Ex. 30. "0 Lamm Gottes" from the Leipzig Chorales

Ex. 31. "0 Lamm Gottes11 from the Leipzig Chorales

------a S E ______

In Ex. 29 i the motive occurs alternately in the pedal

and paired in the middle voices and is present in every

beat of the composition's twelve measures.' A dominant # • characteristic is its three-note anacrusis to each beat,

further strengthened by doubling with thirds and sixths

* in the middle voices. These three sixteenth-notes are

preparation for the impact of the two eighth-notes on

the downbeat. I would concur with Cooper and Meyer that

if one performs this kind of figure in a slightly altered 150

fashion, governed by the rhythmical grouping in relation

to the accent, the impression is not one of erratic

rhythmic control, but of added strength, precision and

rhythmic vitality, further enhancing the motlvic struc­

ture. Ideally, the rhythm is not perceptually altered,

but rather the accent is strengthened. 9 In Ex. 30 the three eighth-notes function as

preparation or upbeat to the half-note (or quar.ter-note)

downbeat. Ex. 31, verse 3 of the prelude In Ex. 30, con­

tains a more extended, linear motive. The figure con­

sists of eight notes of anacrusis to the one downbeat, a

lengthy preparation for the single accented note of the

motive. La Rue (1970) in discussing rhythmic Intensi­

ties, noted that "an upbeat preparation may last a whole

bar; a downbeat effect may spread over most Qf- a phrase"

(p. 95). This motive also breaks down easily into groups f ♦ of three, In which case two notes are the, anacrusis to

one downbeat. But this impairs the unity of the long-

* spun, undulating line and is less convincing as a motlvic

unit. The point remains that the first eight notes of

the nine-note motive function in our perception primarily

as preparation for the goal, which Is note nine. A 151

smooth but ever-increasing tension builds with each motlvic undulation and is distinctly resolved on the downbeat of the next measure'. The accent or goal is further strengthened by the long length of the prepara­ tion notes as well. So one can readily perceive the motive as the primary organizational unit in these pieces because of the rhythmic repetition, the melodic shape, the accent, and the coincidence of these factors with the harmonic changes.

Musical Motion' as' Related to Tension

/ and Release I HI in I Life ■■■ Forces

Question (3) is: How is a sense of motion in music related to bodily movement and life forces in gen­ eral and what role does tension and release play in this motion? Among the arts, music, particularly, is charac- i terized by patterns of sound moving in time. Within musicTs movement, one senses tensions and.relaxations along the continuum. This motion, with its fluctuations, k may be perceived as movement to or from a goal. It is so tied up, seemingly, with our own life processes and with movement in our environment, that musicians and 152 philosophers have long speculated about its importance in the aesthetic experience.

These observations lie in the area of knowledge called intuition, which I define as perception of a truth or an insight which goes beyond the logical induc­ tion or deduction of ordinary reasoning processes. Per- / 4 haps some of the evidence for the importance of these intuitions lies in the fact that one meets this concept in a wide variety of musical writings, from the most obtuse philosophical aesthetlcian to the most rigorous scientist. This consensus across such a widespread spectrum of opinion gains additional plausibility by one’s own positive responses to such assertions. For example, one has the feeling - and recognition that ’’here is an attempt to verbalize an experience which X have had i also; I recognize the effect he^is describing.” In a study of perceptual responses to music, one can hardly afford to ignore even such vague observations, However, it is our task to be as explicit as possible and to supplement intuitive insights, wherever ppsslble, by empirical evidence. , 153

Representative thinkers all across this spectrum of scholarship have concluded that motion in music, as experienced in the phenomenon of tension and release, has a fundamental effect on perception, a peculiar power which is present in the listening experience. This per­ ceptual response, many have said, may be related to t human inner tensions, or to the overall ebb and flow of life processes themselves. At this point in our knowl­ edge of human behavior, it might well be possible to be more explicit about these forces, to come closer in fact to establishing their validity; at least an effort should be made in that direction in view of the fundamental nature of this phenomenon and the widespread acknowledg­ ment of its presence. But let us begin with' the insights of the philoso­ phers, those with intuitive knowledge about their aes­ thetic responses. Erich Sorantin (1932) .looked for "conspicuous figures or configurations, which can be under­ stood as the embodiment of definite feelings ..." ,(p. 29). Charles Keil (1966) was convinced of the insep­ arability of music and dance, the motion of the music nearly demanding some kind of physical response 154

(pp. 337-349). Langer (1951) has paraphrased Wagner*s belief that "music is not self-expression, but formulation

and representation of emotions, moods, mental tensions and resolutions ..." (p. 188). John Dewey (1934), in discussing how an aesthetic effect is achieved in art, said that the interaction of disturbance and harmony or tension and equilibrium is basic to pleasure in life. The struggle of an individual for fulfillment is "art in germ . . . it contains the promise of that delightful percep­ tion which is aesthetic experience" (pp. 17-19). Carroll Pratt (1957) noted that the belief that art somehow is the embodiment of inner workings of man is so universal and widespread as to be a cliche". However, the method by which this occurs, the psychological mechanism at work in changing an inner mood into organized sound or drawing' from the organized sound an analogy to one's inner ten­ sions, he readily admitted, is still unknown (p. 75). The observations of these writers would be more useful, I think, if they addressed their speculation to the func­ tion of a work of art, that is, what if does. rather than what it' is. 1 5 5 These statements have- more value when read as

hypotheses which might be tested, rather than assertions

of fact. Many have the ring of authenticity because they

seem to verbalize experiences which one has had in

response to music. Now it remains to complement this

intuitive knowledge, if possible, with scientific * studies.

Vernon Lee (1918), tried to relate in a precise

manner musical meaning to life experiences. Her inquiry was of a far less elementary nature, she declared, than

any of the methods usually subsumed under the various / classifications of visual, auditory, motor or verbal

responses. Rather-, she was working from

, . . the extremely complex data furnished by every­ day experience and thence working its way by compari­ son and analysis to the simpler, more intelligible facts of experience (p. 7^9).

This early Investigation consisted largely of asking persons their reactions to music. In order to narrow the question, she asked specifically, "Does music seem to you

•to have a message, a meaning beyond itself11 (p. 751)?

Half of the two hundred persons questioned said no, they enjoyed music as music without any particular associa­ tions, or if there was meaning therein, it was 156 inseparable, from the music. Half said yes, they were aware of meaning or of a message of some kind in the music. In fact, many of this latter group listened to music primarily for the emotions, images, and thoughts

/ i which it invoked. Lee tried to determine also whether the people who had more overtly emotional personalities / i were those who felt that there was meaning beyond the music; she found this was not the case. She concluded that there were two general categories of.listening which frequently overlapped: one was concentrated listening, the person being aware of intricate structure and organi­ zation of the music and following the development of the musical elements; the other was "over-hearing" the music while in a kind of daydream. Prom her experiments, she made the following observation, which is interesting for 1 the issue under discussion, but, in my opinion, does not necessarily follow from her results: those responses may suggest

how the desire for music as something to be listened to has gradually evolved out of a primitive need for music as something to stir inert, or release pent up, emotions, and to induce such.day dreams as restore and quicken the soul (p. 757)• 157

So here again is the theme of music relating to. deeplyr felt human tensions , but with an empirical investigation as the instigating factor in the opinion.

H. P. Weld (1912) asked the following signifi­ cant questions in an experiment sixty years ago: "How does music produce its effect? What are the bodily cor- / * relates of musical enjoyment? What are the limits within which pure music may be used as a means of expression"

(pp. 2^5-246)? In relation to motion and intensity, we are interested in the first two questions. Using devices such as the pneumograph he measured his auditors' respiration, heartbeat and distribution of blood supply while listening to music. He found that the heart rate increased and that respiration generally accelerated or fluctuated with the music. This is evidence that persons do indeed respond physically to the auditory stimulus of music. In fact, Weld found in the introspective reports of his listeners that "whenever musical movement becomes objectified [some kind of image, such as up or down motion], some corresponding muscular movement takes

» place in the body of the listener [eyeballs, toes, fingers, eyebrows], etc." (p. 279),. He too noted that the motive, specifically, was a very important structural 158

element and believed its rhythmic development to be a key factor in perception of a composition.

The intense human desire to order and understand the environment, as shown by Garner, Attneave, and Hake

(supra, Ch. Ill, pp. 47-49), may have a close relation­ ship to how one perceives a musical composition. Order * in music is related to the cycle of tension and repose, which results from motion. The concept of feedback has been shown to be tension-reducing In one’s perception.

Numerous studies have revealed that perception is more accurate with feedback or reinforcement, in that persons are motivated or discouraged by knowing immediately the success or failure of their responses. Joseph Zwislocki

(1967) reported a study by Yates on Information process­ ing.

On the basis of three series of experiments per­ formed on skilled Morse-code operators, Yates con­ cluded that delayed auditory feedback .produced a sub­ stantial increase in errors in telegraph operation. ?h§g@ errors almost always consisted of added symbols (p. 426).

S. L. Pressey (1950), P.- S. Keller (19^3) and B. P.

Skinner (195*0 found the de.vice of reinforcement impor­ tant for facilitating the learning of correct responses to aural and visual signals. As Poland (I960) noted in 159

his discussion of feedback techniques for developing

aural and notional skills,

These training methods [such as reinforcement and feedback] may be classified under the rubric Immedi­ ate Knowledge of Results (IKR). . . . Tasks are set so that responses are unequivocally correct or incorrect. The student responds and quickly learns whether or not his response is correct" (p. 80).

There is a relationship between feedback,-reinforcement,.

and repetition. It Is logical that perception is

sharpened because of the pleasure of hearing the repeti­

tion and knowing that the structure of the stimulus Is

still within one's grasp. In other words, motivic repeti­

tion with its slight variations serves as feedback, assur­

ing the listener that he can follow the music, that he

recognizes and comprehends the patterns. This kind of

reinforcement is compounded in a long motivic sequence and

thus pleasure in perception is heightened in a tightly-

knit motivic structure which is relatively easy to follow.

Meyer's theory of expectation in music (1956) is v closely related to motion, tension and release.- He held

that an expectation of an event elicits a certain tensing

in anticipation, and the longer the event is delayed up

to a certain unknown limit', the greater the tension 160 becomes. Then upon arrival, as Meyer postulates, the greater the pleasure of the resolution, particu­ larly if it has been blocked or taken an unexpected

form (p. 31)* Meyer's theory of expectation-tension-blocklng-- alteration-resolution-pleasure has been tested in various ways since its publication fifteen years ago. Carol Simon and Joachim Wohlwill (1968) sought to test Meyer's thesis by a method in which listeners were asked to indi­ cate preferences for each of three versions of four melodies which varied in complexity or in unexpected elements (pp. 227-238). One purpose was to discover whether the more monotonous versions were less pleasur­ able. In most cases, in both trained and untrained persons, the results showed that the most complex ver-: sions (that is, the original) were preferred. The clear exception was a complicated Bartok theme where the simpler ones were preferred by the untrained and the trained showed no significant preferences. The question arises as to whether the preference for the original was related to Its predictable elements or lack of them, or to the fact that the experimenter's tampering with a good tune had stripped it of some of its aesthetic appeal. 161

Richard Colwell (1 9 6 6 ) also constructed an experl ment to test Meyer’s theory. . He attempted to objectify

the important elements in a listening experience by ask­

ing skilled listeners what items they heard, by using a < variety of music to find if there were common elements in all styles which were important in perception, and then : by comparing the reports of the skilled listeners with those of unskilled listeners. He studied many books on analysis and appreciation of music. He wrote to leading musicians in the country, asking them what they listened for 4 in music and what elements affected them. He con- structed a laboratory test in which the listener was given a blank score on which he wrote his reactions as he listened. As a result of this varied approach, he summarized his findings with the following statement con- t cerning meaning in music: ‘ ‘

Musical meaning lies in the opposition of motion and rest (tension and resolution) in music, the static versus the progressive . The degree and proportion of each is quality-determinant. The method of achieving motion and rest is through repetition and/or varia­ tion of musical elements (p. 74).

This summarizes primarily the reactions of skilled listeners. Unskilled listeners noticed the general 162 . direction of melodies and responded to. very rhythmic ' passages, it is significant that'in Colwell's summary of a vast amount of data, the most frequently encountered ideas were those of motion and rest, tension and resolu­ tion, both being closely related to rhythmic aspects of the music. / It is important, in the light of these studies, to try to identify and isolate factors in the music

Itself which result in these'effects. Some aspects of the motivic structure which speak to this point have been mentioned, such as the gathering of momentum on the / upbeat of a motive and the accent or release on the down­ beat, which has the effect of tension and resolution in microcosm each time the motive occurs. Stetson spoke of this phenomenon in relation to accent, noting, as a result of his motion studies, that • ■

in the striking of any blow [accent] the event, the point of the whole movement, is connected with the resisted momentum at the impact. The heavy impact at the close seems not only to mark the event, but to release quickly all the tensions of the movement; all the tensions of the movement seem to culminate in this effort and then disappear (p* 316). 163

The motive and its variants make up almost the entire

content of these preludes, with the chorale tune com­

prising the other Important element. V/hat occurs, then,

Is the continuous tension of expectation as to the next

unfolding of the motive, the continuous resolution or

feedback of hearing one|s expectations realized, not i / always predictably, but in a recognizable fashion.

Ex. 32 illustrates that there is^. the sense of gathering

momentum and increase in tension on a broader level,

that is, within an entire phrase which has a steady

ascent in the chorale tune. 4

Ex. 32 . From the Orgelbuchlein

W e r nur den liebcn Gott liisst waltcn.

' The increased tension in the ascent of the phrase

followed by the corresponding relaxation in the descent

of the phrase constitutes a broader-cycle of expectation

dnd resolution. 164

In addition to the tension of increasing momentum

toward a goal, there is the concept of individual chords

varying in tension. Hindemith (1945) worked out an

elaborate system for tabulating chords according to their

degree of tension. He believed that an essential differ­

ence arises between chords without a tritone (Group A)

4 and those containing a tritone (Group B) (p. 95). These

are the. two main divisions in his table of Chord-Groups.

Subdivisions in non-tritone group A progress from those

of greatest value and least tension, major and minor

triads in which root and bass tones are identical, through

chords containing any number of tones, extended by

addition of seconds or sevenths, to "indeterminate"

chords of several super-imposed intervals of the same

size. Subdivisions in tritone group B progress from

minor seventh chords in which root and bass tones are

Identical and the tritone is subordinate .through chords

with minor second or major seventh or both, to indeter-

' minate chords in which the tritone predominates. Again,

as in Group. A, "the harmonic tension of chords increases

from section to section and from sub-group to sub-group

in the same proportion as the value decreases . . ." (p. 116) . Hindemith labels this variation in values and tensions, harmonic fluctuation. In essence, the farther a chord is removed from triads in root position (Group A, I, 1) and minor sevenths in root position (Group B, II a.), the greater the tension of the chord. Apparently Hindemith equated tension with static dissonance. Although he does not talk about motion as such in his discussion of chord tension, his concept of "harmonic fluctuation" is in fact a kind of motion. In our per­ ceptions, tension suggests, perhaps demands, movement to a state of less tension or relief. So, it would seem that the chord tensions or harmonic fluctuation present in the chorale preludes also contribute to the momentum of these pieces, and are relatedf if indirectly, to the tension-resolution which we commonly associate with har­ monic function.

Factors Contributing to Unity-Varlety Balance

The final question, number (4), to be discussed In this chapter is: How effective is the balance between unity and variety, and which elements provide unity, and which provide variety? The concept of great art as the 166

Ideal balance of unity and variety, within its elements

is hardly a new idea. . But .the effort here will be to

make more precise statements, about the aspects which

contribute to unity and variety in these compositions,

with the aid of studies in pattern perception.

Alden (1956) asserted that the motive must recur

frequently and must do so in some modified form to keep

its primacy (p. 21). The chorale preludes are highly unified pieces in various ways. Their structure is a tightly-knit one of continuous motives, frequently in the same voice but often passed from voice to voice. In this way, the motive appears to be a highly unifying factor, apparently the factor which provides the great- I est structural coherence. We have seen from White's ' study and others (supra, p. 94) that the continuously- changing motive is not heard primarily as a continuously^ altered figure but rather as. a repetitive pattern in spite of its variations. Why then does this pattern not become monotonous, even in relatively short composi­ tions? The answer must lie in the procedures by which variety is Introduced into, repetition, in the way the 167

structure Is altered to provide continuing interest, suspense, anticipation and pleasure. Because the motive is the most immediately apparent structural entity, because it is that aspect which is marked for consciousness, it is logical to now look at the motive to determine how it is treated to provide for this balance of variety within, its unifying

properties. Paisley (1967 ) suggested that.it is reason­ able to assume that composers establish a norm, a motivic pattern, which they believe will be perceived in a certain way. Then, a composer ’'will deviate from the norms to achieve certain effects. When we have appre­ hended the norm, then we are in a position to understand what patterns the composer rejected as repetitions or banal and thus to identify the deviation" (p. 27). How­ ever, Paisley pointed out that it is "minor encoding habits" which may have importance far out of proportion to their obscurity. These recessive details are "quite unlikely to be the source of greatest effect ..." (p. 31), at least, apparently, they are not important. Could so-called minor encoding habits be registered unconsciously in our perception and, in fact, provide the 168 variety which balances the unity, and which sustains inter est?

There is some assistance in unraveling the com­ plex threads of this issue, from psychological studies, but much of the discussion in this sphere will be neces­ sarily speculative and imprecise. Nevertheless, the i / unity-variety problem is of great importance in aural pattern perception, and the question needs to be explored

To begin, let me summarize a point of view pre­ sented in a book on unconscious perception, which opens up new dimensions in the exploration of the unity-variety / question. Anton Ehrenzweig (1953) in a formidable and often obtuse book, The Psycho-Analysis of Artistic Vision and Hearing has extensively explored the concept of unconscious perception and gives great weight to its effect on one's evaluation of a work of art!. His book, he stated,

deals with the inarticulate form elements hidden in the unconscious structure of a work of art or— what comes to the same thing— with the unconscious struc­ ture of the perception processes by which we actively create or passively enjoy these unconscious form ele­ ments (p, vii).

Because this study is concerned with how we perceive a piece of music as great art, part of this perception 169

possibly being attributable to. the balance of unity and

variety and possibly involving unconscious processes,

Ehrenzweig1s theories merit consideration.

Ehrenzweig differentiated between surface and

depth perception, the former taking place in a Gestalt manner: one tends to perceive the form in as simple and / / consistent a shape as possible (supra, Ch. h i , pp. 48-50).

This "gestalt-bound surface perception," he continued, obscures the more subtle aspects of the work of art, repressing them into an unconscious area of the psyche

(p. viii). Unconscious perception, however, may be very important in oneTs total reaction to the work of art. I would suggest that this area of perception might well be receptive to the "minor encoding habits" which are, as

Paisley noted, of importance far out of proportion to their elusiveness. The main thesis of Ehrenzweig1 s study is

that aesthetic pleasure generally adheres only to the gestalt elaborations which the surface mind projects into the inarticulate symbolic structures of the depth mind. The style and beauty of art are a superstructure serving to hide and to neutralize the dangerous symbol­ ism hidden in the unaesthetic inarticulate structures • below. The creative process occurs on those hidden , layers (p. 13). 170

He believed that aesthetic responses are conscious sig­

nals of articulation processes which struggle to prevail

against the "disintegrating pull of inarticulate depth

perception" (p. ix). Not all of his assertions are so

vague. In his discussion of human responses to pattern

and shape, he noted that "newly articulated shapes impress > us as especially 'ornamental1 or 'beautiful'." This asser­

tion has been verified to a certain extent. Studies done

by Mull (19^0) and Mull and Marill (19^2) on "preferred

regions in musical compositions" by musical observers

indicate that most of the preferences occurred at repeti- / tion of earlier themes. Themes preferred at the first

hearing generally contrasted in mood to the previous sec­

tion. Another of the preferences by musical listeners was at the climax of the piece (p. 585; PP* 110-111).

They found, too, that on the third hearing of a composi­ tion, the preferred regions increased in length from twenty to twenty-nine seconds for musical listeners and f from thirty-six to forty-four seconds for non-musical listeners (p. 111). So, as Ehrenzweig postulated, a newly-articulated version of an original theme is heard as especially pleasing. This suggests-that* a composition

t ■ ■ > . , 1 7 1 r built almost entirely on a motive and its various articu-

* lations might furnish a kind of concentrated pleasure with the continuous reiteration of a particular pattern, which in turn suggests the unity aspect of a composition's appeal. Gestalt theory holds that the mind tends to smooth over, even disregard variations in a series of similar figures (infra, Ch . Ill, p. 49 ). This further verifies the great unifying effect that tightly-organized motivic structures like those in the chorale preludes have on the listener.

But the musical listener is certainly aware of i much more activity and substance in a composition than the surface patterns which dominate a first hearing.

With repeated hearings, he is more aware of formerly obscure elements. Perhaps it is these less assertive elements which account in these preludes foi{ some of the varying aspects which register in one's perception.

Whereas Ehrenzweig saw the "Blow emergence of uniformity in place of diversity [as] far and away the most impres­ sive example of the action of the gestalt process . .

[meshing] into one single all-equalizing impression of style" (p. 51), it seems logical also that it is the,slow emergence of diversity in place of uniformity which is the 172 .

significant difference .between compositions valued little

or much. Perhaps how, in our perception, the unity of a

"goodness of figure" is treated to provide creative diversity is a partial answer to the question of why we attribute value to certain compositions.

Ehrenzweig's distinction between articulate and * inarticulate elements is confusing. He listed the articulate aspects of music as being the melodic, rhythmic, and harmonic elements. The inarticulate ele­ ments are the "scale-free" and "harmony-free" "transi­ tions in between", the "transitive chords", apparently meaning in part what musical codification calls passing chords and non-harmonic tones. Or to state it'another way, not all of our perceptions of the activity in a piece of music can be labeled with conventional musical terms. Ehrenzweig called these percepts transitive or inarticulate elements. To be as concrete as possible, this concept of perception will be explored in the music,, itself.

The problem-, then, is to determine what aspects of the chorale preludes might be singled out as being in the realm of inarticulate elements, most likely to be perceived b y .some kind of unconscious process, or at

least not part o f the immediate su,rface percpetlon , and

more likely to be a part of the diversity aspects of the

composition. The primary motive is perceived as a good

gestalt; it has a definite contour and rhythmic individu­

ality. However, the motive is rarely repeated exactly / t without some slight alteration. The entire pattern may

be displaced in pitch, in a sequence for example, but the

intervals and rhythm remain the same. This minor varia­

tion in the good gestalt may register on the surface as

simple repetition, but at the same time may be perceived / as part of the inarticulate elements which are perceived more fully at smother level. This may also be true of

other seemingly small changes in the pattern. For example, a motive may be a combination of sixteenth-notes i and eighth-notes. At one point, however,- the composer begins the motive as usual but continues the sixteenth- note pattern in a sequence. According to Gestalt theory, ’ N ’' s'f ' V . ■ ' ■ . one often perceives the motive as being completed in its original form and the variation is heard only partially as it‘actually occurred. La Rue (1970)" gave another example of this propensity of the human mind. 11 . . . owing to 174

the fortunate elasticity .of human perception,11 he

observed, a pattern of 4+4+5+4.+3+4 bars may .often be per­

ceived as regular four-bar modules, despite the inequali­

ties (p. 135). That is, the. four-bar modules which occur

most frequently, are retained as the reference pattern,

while perceiving the varied versions. 4 4 A person selects aspects of a composition to

which he gives consistent attention, especially in a

style in which he can predict the development to some

extent. Because one selects the good gestalt aspects,

other elements may be passed- over and register only as

effect, perhaps in the subconscious, as Ehrenzweig would

say. He makes an analogy with one’s perception of a

foreign language, especially very unfamiliar ones. To a

Westerner, Eastern languages often sound like so many ■ i gasps and hisses because "we miss the sonority of that

language owing to our inability to articulate it by the proper selection of articulate sounds and the correspond-

ing repression of the rest as mere transitive inarticulate

sounds" (p. 100). This phenomenon might very well occur in our perception of exotic music as" well. Here a

listener's reaction is similar to that of a Joke, where ' 175

the. familiar-in-the-unfamiliar. causes laughter. Exotic

music may evoke laughter, because the Western listener

will automatically try to apply his usual articula­ tion of a melody into definite scale tones and rhythmical beats. . . . As this is not possible the mental energy held ready for the effort of surface articulation becomes useless and is shifted into the depth mind which spends it in laughter (p. 105).

However, in a familiar style, the surface versus

depth perception works differently. Ehrenzweig believed

that developmental techniques such as fugal devices are not merely intellectual exercises, but are perceived as

related in the depth-mind, even though the surface per­

ception is not always aware of the relationship. As

reported above (supra, Ch.13^ pp. 30-35) this assertion was tested by Walker using Schfinberg's compositions with

the result that his listeners did perceive thematic relationships between an original theme and^its mirror * i form.

Ehrenzweig, discussing-his ideas on harmonic evolution, maintained that the evolving of a new chord 1 . or harmonic progression often occurs first in one's per-

ception as a transitive inarticulate element; only

gradually is it perceived and accepted as part of the 176

conventional harmonic vocabulary by the listener (p. 110)

The literature on music theory in recent years has con­

tained increasing reference to the' obscure, elusive ele­ ments which should command our attention if any new

insights are to emerge in our understanding of the artistic process of creation and perception. It is /* plausible that these inarticulate elements have some effect on our perception of balance of unity and variety which is so revered in theoretical writing but so obscure in our understanding.

Ehrenzweig's ideas suggest that hearing a compo- sition many times, performing it, and analyzing it may finally bring to the surface elements which were formerly inarticulate or perceived unconsciously. It Is some of these that i wish to attempt to further identify in i music. Ex. 33 will be used to approach the1 question of unity and variety.

To review some of the immediately evident charac-

> teristics,.the motive in its smallest subdivision is two notes, moving stepwise in its most characteristic form.

Although the more coherent pattern is a combination of two of the two-note figures, making a four-note motive, Ex. 33• Prom the Orgelbuchlein

Nuti Itomni' dor lleiden Holland.

----- V

42.

1------^ __ g* -_ 1— ri— 1-77 the subdivision will be. discussed here. . On approximately

every other occurrence of the two-note motive, the value

of the second note changes; that is, the first note is

invariably a sixteenth-note but its resolution is often

an eighth- or quarter-note. Prom what we know about a

Western listener's reaction to Western music twosig- j y nificant points suggest themselves. This stepwise motive occurs eight times in each measure. Each time, there is a tension-resolution motion in microcosm. This is a high- density effect, a severely concentrated device at a pri­ mary ^ level. The unrelieved rhythmic persistence of this two-note motive appears to be a powerful unifying ele­ ment. The second of the two notes frequently changes value, but this change may not necessarily be perceived by the listener unless he sees the score. Just llsten- i ing to the composition suggests that the entire motivic fabric is sixteenth-notes, which is in fac't the case.

This takes place by passing the motive from voice to voice,

• so that from the first note to the last there is an unbroken sixteenth-note movement,, every other interval : being a stepwise progression. This, kind of unity is likely to be perceived by the listener/ perhaps on a 179

first hearing. Only by hearing the harmonies pile up on each beat or half measure, however, does one realize that some of the moving sixteenths also come to rest to form the harmonic kaleidoscope. But the ingenuity with which the continuous rhythmic motion is handled suggests how such a seemingly simple device is freed from monotony. First, the continuous sixteenth-notes are seldom found, in the same voice for more than two beats and then only ■ i I_ at cadences (measures 3, 6, 10). Secondly, as a rule, the stepwise motion is upward; however, the distance between one two-note motive and the next is, with a few exceptions, a downward skip of a fourth. What happens is that the movement to the next harmonic consonance is always under- or over-shot a half step or a whole step on each half beat (see meas. 1, sixteenth-note d,.b, G#). A third, varying device is the fact that when the motive changes voices, the effect of the motion in the former voice is one of halting the sixteenth-note motion for a quarter of a beat, while In reality the motion continues. Here is an intriguing example of achieving two simultane­ ous effects: preserving the unifying device of perpetual motion while seeming to halt it as well. The sensitive 180 listener undoubtedly perceives some of these elusive variation devices while, on the surface, he hears simply the repetition of the motive.

It appears that on the unity-variety question, rhythm again has emerged as the primary element to take into account. In dealing with earlier questions, rhythm / t was also the factor which seemed to provide the most satisfactory answers. The rhythmic experience or organized motion appears to be one of the most immedi­ ately perceptible and one of the most significant fac­ tors in the musical experience.

Summary

In this chapter, questions were raised which can properly be categorized as speculative and intuitive.

These questions arose from the more objective observa­ tions of the previous chapter and were meant to aid In interpretation of those observations. They were: (1)

What are the most readily organized aspects of these compositions and how is attention seized and held? (2)

In what ways Is the motive marked for consciousness?

(3) How is the sense of motion in music related to bodily

{ 181 movement and life forces in general and what role does tension and release play in this motion? (4) How effec­ tive is the balance of unity and variety in these pieces and which elements provide unity and which provide variety? Discussion of these ideas shows how and why the motive is perhaps the most readily organized aspect of these preludes, how it makes the initial impact on one's' consciousness because of its rhythmic grouping, accent,' and our subsequent organization of the pattern. Evidence for these observations was cited from Cooper and Meyer, Stetson, Woodrow, Ehrenzweig, and La Rue (1970), as well as from my personal observations and experiences. Also noted were the varied approaches of musical scholars such as Sorantin, Keil, Langer, Dewey, and Pratt to the problem of motion, tension and release in music; characteristics of motivic organization in the music which seem to relate to this question were pointed out. And, finally, the problem of the unity-variety balance was explored with the application.of Ehrenzweig's psycho-analytical theories of aesthetic perception, together with studies by Marill and Mull which support certain assertions of Ehrenzweig. ^ 182 .

Discussing these kinds of ideas can by no means result in conclusive and final statements. Yet it is important to try to evaluate all perceptual responses.

Because they are imprecise and still unverified, many statements in this chapter are hypothetical. Hopefully, they will furnish material for additional empirical j $ investigation. Meanwhile, these ideas can be related to the theory of perception of meaning and value set forth in the introduction, and to the general theory in the conclusion.

f

I CHAPTER VI'.,

SOME APPLICATIONS OP INFORMATION THEORY

CONCEPTS TO MOTIVIC ORGANIZATION

Abstract of Information j Theory Concepts

Information theory, or more accurately communica­ tion theory, offers tantalizing possibilities for measur­ ing our perceptions of music from yet another perspective

In communication theory, information is considered a quantifiable commodity; experiments are conducted to measure a person's ability to transmit or receive infor­ mation; the result is his channel capacity (Miller, 1956; also found In Haber, 1968). But' mere transmission of i data does not necessarily provide information. Rather,

Garner (1962) explained, . . any communicative act provides information only Insofar as it reduces a condi- f tion of ignorance or uncertainty about the state of things under consideration" (p. 3). Warren Weaver ***•

183 (Meyer, 1957) said that "greater freedom of choice, greater uncertainty, greater information go hand in hand" (p. lJl6).

There are different kinds of information systems.

A source of information that is a random source, that is, "emitting signs according to probabilities ..." / is called a stochastic process, according to Joel Cohen

(1962, p. 1^0). Stochastic sources may generate what are called Markov chains in which "sequential dependen­ cies exist among the letters [or other signs] of the out put-sequences" (p. 140, supra, Ch.III,pp. 52-59) 4 Within communication theory, the concepts of periodicity and redundancy s e e m to, have potential applicability to musical structure. Redundancy, according to Moles

(1966), is that which is superfluous in the message. But the term superfluous in this context does rnot mean unnecessary. Redundancy provides structure in a stimulus, so without redundancy there can be no discrimination.

Redundancy is superfluous in the sense that redundant elements in and of themselves do not constitute new meterlal, that is, they contain no further information.

If there is /total redundancy in a message, Moles 185

explained, such as in BABABABA, then information fur­

nished by such a message is zero. This message is

periodic, that is, it repeats itself at certain time

intervals. Thus when a person is aware that a message

is periodic and has a knowledge of the period, no fur­

ther information is transmitted (p. 6 7 ). It is uncer- f tainty that gives rise to information and by calculating

the probability of a certain event and relating it to

uncertainty, some measure of information results.

David Lewin, in his application of information

concepts to musical analysis (1968), used the term

"charge" as a synonym for amount of "uncertainty" or

"Information." .

A situation in which one is more uncertain of what will happen next is more 'charged1; when something specific subsequently ensues, resolving the uncer­ tainty, there is then a correspondingly, greater .'dis­ charge' . . . (p. 57). ' s

Garner added some clarifying points on redundancy. He noted that redundancy serves the purpose of ensuring 1 against error from poor perceptual conditions or stimulus

distortion, known as noise in communication engineering.

Two kinds of noise are (1) stimulus impoverishment: "any

loss of the-actual stimulus presented," such as a part 186 omitted or not heard at all due to too short duration of exposurei (2) pattern distortion; "One or more ele­ ments of the pattern will have different values than they should" (pp. 197, 198).

It is possible that concepts such as uncertainty, periodicity, and redundancy could be related to the : musical experience of the listener, particularly in the realm of pattern perception. This belief rests on the assumption that in a tightly-knit structure which contains many repetitions of a motlvic pattern, the listener will be able to anticipate a given rhythmic pattern after hearing it repeatedly and knowing the general style of the composition in question. He will have some sense of the probability of a certain rhythm re-occurring at cer­ tain intervals. * 1r * Meyer's Application of Information Theory

Meyer sought to apply information theory concepts

Systematically to a theory of musical meaning (1957). He believed that meaning is somehow bound up with the unexpected, the unforeseeable. It is related to an unresolved uncertainty, an expectation temporarily or 187 * , permanently blocked. Specifically, he stated the hypothe­ sis that "the psycho-stylistic conditions which give rise to musical meaning, whether affective or intellectual, are the same as those which communicate information (p. 412)." In his earlier study (1956) he said that the listener brings past experience to the music as well as "the laws of mental behavior which govern his organiza­ tion of stimuli into patterns and the expectations aroused on the basis of those patterns" (p. 40). Thus he saw the element of pattern in music as intricately bound up with some of the concepts of information and communication theory.

Measurement' with Bits and Chunks

In communication theorists1 terminology, Informa­ tion can be measured by a unit called the bit, where "bit Is the uncertainty involved in an- event with two possible (and equally likely) outcomes (Gamer, p. 4)." The word bit Is a contraction of binary digit. Garner said that "1 unit of Information is that necessary to make a binary choice" (p. 4). To use the concept of bits to specify an existing uncertainty one must be able "to ask a series of 188

questions which can be answered dlchotomously (yes or no),

and each question can reduce the uncertainty by 1 bit

. . (Garnerj p. 5, Miller, 1956). Miller summarized

the logical expansion of information measured in bits:

One bit of information is the amount of information that we need to make a decision between' two equally likely alternatives. . . . Two bits of information enable us to decide among four equally likely alterna­ tives. Three bits of information enable us to decide among eight equally likely alternatives. Pour bits of information decide among sixteen alternatives, five among 32, and so on. That is to say, if there are 32 equally likely alternatives, we must make five successive binary decisions, worth one bit each, before we know which alternative is correct. So the general rule is simple: every time the number of alternatives is increased by a factor of two, one bit of information is added (p. 83).

It is evident, as. Garner pointed out, that in order for information concepts to be used with precision, there must be a limited number of binary choices, and further, we must know approximately how many such choices there are t < • in order to measure results in bits.

Since so few real-life experiences are so simple as to be reduced to a small number of binary choices,

Miller postulated the concept of re-codlng stimuli from bits into "chunks". Miller used the concept of bits to measure absolute judgment and the concept of chunks, that is, a device for storing complex information succinctly, 189

to measure memory. There is a difference between abso­ lute judgment; and immediate reaction to a stimulus, and recall or memory. "The span of immediate memory seems to be almost independent of the number .of bits per chunk

. . he observed (p. 93). One can significantly increase the amount of Information recalled, c^n perhaps / measure a stimulus as rich as music, by including more bits per chunk and then simply recalling the chunk (p. 93). For example, experiments have been done in recoding verbal messages. Phonemes are recoded into words, words into phrases, phrases into ideas. Or in t , . recoding binary digits, 00 becomes' 0, 01 becomes 1, 10 becomes 2, 11 becomes 3 and so forth. In this way, twice as many symbols can be recalled (pp. 93, 9*0. But the main point Miller made is that human channel capacity is limited, and, in fact, seems to hover i around three bits for' uni-dimensional stimuli and six or seven bits for multi-dimensional stimuli.* ‘"The channel capacity is the upper limit on the extent to which the . observer can match his responses to the stimuli we give him" (p. 82). With multi-dimensional stimuli this capacity clearly increases but at a decreasing rate. The necessity to assign stimuli to more than six or seven classes rapidly introduces a large amount of error into our responses.

Exploratory Applications of Information

Theory to Music

Music is a multi-dimensional stimulus with several interdependent variables. It is characterized by periodicity and redundancy,- particularly in its rhythmic organization. It is bound up with uncertainty and expectations, within the framework of a style of which the listener has knowledge. In Meyer's theory, particularly, the assumption is explicit that his ideas are applicable primarily to listeners educated in a par­ ticular style, that is, traditional Western diatonic harmony, and familiar enough with that style to estimate its probabilities. ... "

In view of this brief summary of Information theory concepts, a number of questions come to mind in the attempt to apply these concepts to analysis-of music and the musical experience of the listener: 191

(1) Having examined in the foregoing chapters

the kinds of alterations which occur in the motives, how

predictable or unpredictable are these alterations, and

are there clear instances of the predictable being

temporarily or permanently blocked? ‘

(2) Is periodicity a significant feature of the

Bach chorale.preludes?

(3) Is the concept of redundancy applicable in any meaningful way to the motivic patterns in these pieces?

(4) In this music, are there an indefinite number of variables or is it possible.to take a single element, perhaps rhythm, and draw out a finite number of vari­ ables which can be illuminated by questions answered dichotomously?

(5) Might it be possible to recodet

'i * Predictability and Unpredictability

To approach question (1), melodic, harmonic and rhythmic alterations which we have seen in the preludes 192

will be summarized. Melodically, the motives are con­

stantly changing pitches along with the changing chords

which occur on nearly every beat, as in the original

chorale. However, the general intervallic shape remains

fairly constant within the pitch transposition, whether

an arc, a downward or upward curve, or a zig-zag line.- s / The melodic shape is occasionally varied by inversion,

diminution, augmentation or small interval changes. On

the whole, though, the motive' retains its characteristic

melodic shape as it moves back and forth and up and down

in range. So it appears that the melodic alterations do

/ not significantly disturb identification of the motive.

The, harmony conforms, for the most part, to the conven­

tional harmonizations or their inversions of the original

chorale (see Exs. 8, 9» 10), with variations consisting

of embellishments, added and passing harm,on!ies between

the structural chords.

It has been shown that the rhythmic structure, is

’the most constant and predictable aspect of these compo­

sitions. There is nearly always a pattern evident from

the first beat, which continues relentlessly throughout -

the piece, with slight alterations, or .relaxation of ; 193 momentum, at the cadences. The motives then are redun­ dant in that one hears a certain motive repeated over and over in spite of alterations. Question (1) is: Having examined in the fore­ going chapters the kinds of alterations which occur in the motives, how predictable or unpredictable are these alterations, and are there clear instances of the pre­ dictable being temporarily or permanently blocked? In the Orgelbuchleln chorales, the motiyic organizations are so regular and continuous that startling changes in the pattern are rare. However, the less obvious changes may be just as important in one's perceptual expecta­ tions. Ex. 31* shows a chorale in which the motive, as usual, is firmly established in each beat of the first j i phrase. The pattern, which one logically expects will continue, is the motive "a". However, meas. 2, beat 3 contains a new note, value pattern in the alto voice even though the learned-predietable motive continues. The "a" motive which heretofore has had no competition from another pattern, now has competition from another inner voice which has a slightly different eighth-note and sixteenth-note pattern, but only for the space of,two. Ex. 34. Prom the Orgelbuchlein

W ir Chri.stcnleul'. 195 beats. However, because this is in the alto voice and

* higher in range than the established motive now in the

tenor voice, it is more readily perceptible; and because

it is a variant of the original motive, it contains the

element of unexpectedness or unpredictability.

Other points at which the motivic pattern changes, t / which become competitive with one's perception of the

established motive are in the alto voice, meas. 4, beats

1 and 2, meas. 5, beat 1, meas. 6, beat 1 and again in

meas. 9» beat 3. At these points a slightly different

pattern of eighth- and sixteenth-notes in a higher voice

somewhat obscures the persistent, continuous motive in a

lower voice, furnishing the element of unexpectedness or

unpredictability. An example,of an expectation tempo­

rarily blocked occurs three measures from the end of the prelude, in meas. 14, at the penultimate jpote of the

chorale tune. As a rule, in this prelude.-as well as others, the duration of the second last note of the

'chorale tune is either one or two beats. Here, the penultimate note is four beats, this delay resulting in a more intense final phrase— a more "highly-charged one"

--and greater relief or "greater- discharge" when the. final chord arrives. 196

In another prelude, Ex. 35, an unexpected element

occurs after hearing the motive "a" twice, when the pedal enters with its own version, "b". This pedal entrance is

the third identical sixteenth-note anacrusis to the beat and the change of the downbeat from a quarter-note to two eighth-notes might well register as a deviation from an t already established pattern. The fourth entrance of the motive, meas. 1, beat 3 in the tenor voice, might also register as unexpected because the anacrusis notes depart from the intervals of a third.

n Ex. -35. From the' Orgelbuchiein

Ilorr Christ,

I t d t lo . m

‘"n r *

While rhythmic patterns, and subsequently their unexpected alterations,.seem to dominate in these pre-' ludes, unexpected alterations can be'-found in the harmony as well. In the Leipzig chorales, the rhythmic J : 197 organization of the motive is not as tightly-knit as in the other t wo collections. The trios, in particular, have a character of their own due to the longer spun- out-motives and the imitation between the voices. In.

Ex. 36 , a trio, the motive occurs" in Imitation in the two upper voices In typical trio form. One of the identifying characteristics of this motive is the melodic shape and harmonization of the last four eighth- notes, with the final three notes satisfactorily complet­ ing the outline of the octave by returning to the tonic note of that particular motive. After hearing this version repeatedly, a striking change occurs In measure 15, after the second major cadence of the prelude In measures 14 and 15. The stepwise movement of the last ; ' ■ ! three eighth-notes is abandoned and with it, the I-V-I progression. The progression is, Instead, I-V/V-V; the statement o f the motive in meas. 16 takes the same form, continuing the modulation by fifths. In meas. 17, the motive again assumes its original fotfm. This kind of unexpected alteration and a listen­ er’s perception of it are part of the phenomenon which Meyer studied and his hypothesis appears to have validity Ex. 36. Prom the Leipzig Chorales

Trio super “Herr Jesu Christ, dich zu uns wend a 2 claviers el pc'ilah B W V 655

'»

*« - * 0 d 3--!m j-m :

IA: I V I I V I

VD 00 Ex. 36. From the Leipzig Chorales (cont'd.)

mimm& >

■ # —

3SS

v -ir:

1 e: I I V I I V I

H* VO VO

4 20.0

in passages such as this. At the points where the

redundancy breaks down, and where communication theory

says information is transmitted, at these points we are jolted in some fashion when listening to the composition.

An emotion of some kind occurs with these unexpected changes or blocked expectancies, which coincide with the * / points in the piece where information is transmitted.

Periodicity' and Redundancy

Questions (2) and (3) are: (2) Is periodicity a significant feature of the Bach chorale preludes? (3) 4 Is the concept of redundancy applicable in any meaning­ ful way to the motivic patterns In these pieces? These are closely-related concepts and will be discussed together. The periodicity of the motives is one of the i most obvious aspects of their structure. 'Since each repetition of the motive is another period,’ according to information theory terminology, In the short space of a phrase or less of the chorale the listener becomes aware that here is a pattern that is periodic. Recogni­ tion of a pattern and awareness that" the pattern repeats itself establish the conditions for periodicity. In each of these chorales built on a motive, the motive is

present at least once in nearly every measure, frequently

on every beat, except at cadences.

Unaltered periodicity, however, results in

redundancy and, consequently, information is zero. But

continuous, unaltered redundancy is hardly the result of , / f even the simplest of these preludes, in the sense of no information being transmitted. The element that is most periodic is the rhythm with less periodicity in the other elements, melody and harmony. Since the three interact in a complex fashion, the motivic sequence is / rarely entirely redundant. To illustrate, Ex. 37 shows a motive which consists of the combination of two dis­ tinctive rhythmic patterns in the two inner voices.

Ex. 37. Prom the Orgelbdchlein

Dor Tag, dor 1st so froudenroich. & 2 Clav. o Puddle. 1 202 *

The tenor consists of a dotted eighth-note and sixteenth- note on each beat. The alto voice consists of afterbeats to the dotted eighth-note, talcing the form of two thirty- second-notes and an eighth-note tied to one of two sixteenths and an eighth or a sixteenth rest instead of the tie. This combined alto and tenor pattern occurs in its entirety in exact rhythmic repetition twice in each measure except for slight alterations at one point, meas. 5, beats 3 and 4. Rhythmically, then, we perceive the motive as redundant. But the continuing concern here is with perception of the composition in its entirety, so the issue to explore is what effect the other primary elements have on the rhythmic redundancy and whether, in fact, they render the motivic pattern non-re dun dant*| Since the chorales on which these preludes are built undergo chord changes in somewhat predictable fashion on every beat or every two beats, and the melodic content of the motives are part of this harmony, one can justly conclude that these chord changes, trans­ posing the motive as well as altering interval size, make the rhythm seem less monotonous. And another perceptual factor enters here. As the momentum of a phrase grows .. 203 and the climax is reached and departed from, one h a s the

distinct impression that the rhythmic figure increases

in intensity (i.e.1 in energy, strength, concentration of

elements and volume) and subsequently diminishes as well.

It does not sound like a simple redundant pattern. And

to emphasize again, it is perception that is the concern * here, not the acoustical facts. The impressibn that the

intensity does or does not grow is the important point

from a perceptual standpoint. Further, in performance

there are liberties that the performer can employ, such

as slight alterations of the rhythm approaching an

accent (supra, p. 1^7) to enhance this impression and

make it a fact as well as a perceptual illusion. So,

although the rhythm of the motive is actually redundant,

and thus, would apparently be monotonous, it is not per­

ceived as such for at least two reasons; the n o n — *• * redundancy of the harmonic and melodic elements and the

increase and decrease in Intensity felt within the momen-

' / - turn of the phrase.

It appears, then, that the mathematically—precise

concepts of redundancy cannot be directly applied, with­

out several qualifications, to so rich an artistic 204

experience as listening to music, because there are multiple and interacting factors in a musical work which

alter neat conclusions about a single element. These preludes, with their repetitive motivic structure, are not redundant in the sense of communicating zero amount of information. In fact, it is evident from several i ■" perspectives that the rhythmic factors may be the most salient characteristic in our perception of the motive and so may communicate more information than the other elements. This seeming paradox from the viewpoint of information theory— that is, that the apparently redundant element may be richer in perceptual value than the non-redundant elements— is further evidence of Moles' contention that information theory is too simplistic to deal precisely with so complex a stimulus as a musical composition. , !

To state this conclusion in another, -way: the presence of redundancy in these pieces, even strict redundancy of one element such as rhythm, does not ensure entirely against noise due to stimulus distortion.

Noise, Garner pointed out, can occur due to stimulus impoverishment, such as a part omitted or not heard at 205 all because of too short a duration span, but it can - also be due to conflicting stimuli- which either blot out or detract from the original stimulus. Another noise element is actual distortion of the pattern, that is, elements of the pattern do not have'the values or quali­ ties expected from previous experience. There are / * numerous examples of noise in the form of pattern dis­ tortion or competing stimuli in these preludes. Ex. 38 shows a prelude with two motives, one in the upper two voices, motive "a", and one in the pedal, motive "b".

The opening motive, "a", remains central in one's per­ ception, until the strong pedal motive enters in the • fourth measure, and it does not reappear in exact repeti­ tion until measure 12. Motive "a" recedes in one's perception because motive "b", with its zig-zag ascent and tumbling descent, takes center stage, ■ The noise of the competing motive "b” tends to obscure the redundancy of motive "a".

Another Influence on our perception of rhythmic patterns is that of context. Broadbent (1968)'' pointed out the Importance of context in communicating informa­ tion. When listening to a word- over the phone, the Ex. 38. Prom the Clavierubunp;, Part III

W ir glaubcn all an einen Gott in Organa plena con 1’tdale B 'T V 680

IIIS

'w&m-

SP '0- 20

6 audibility of a particular word varies with the amount

of noise

but it is greater for a given word as part of a sentence than it is for the same word in isolation. . . .to the information theorist the presence of the earlier words in the sentence can be regarded as changing the size of the ensemble from which the particular word is chosen, or at least the relative probabilities of the numbers (pp. 53, 5*0. i There are parallels here to musical styles. What is

expected or unexpected in the trained musician's per­

ception depends on the context in which the musical

stimulus occurs. A phrase which carries a large amount

of information in one context may be redundant in

another. Further, accurate discrimination of only one

dimension, pitch for example, is greatly affected by the

number of signals to choose from.” The point is 'that

stimuli, which are widely different in, say, pitch may be confused if they form part of a large widely spaced vocabulary, while reasonably plijscriminable - when at the extremes of a small closely packed vocabulary (p. 5^0.

Perception of rhythm, too, as pointed out above, depends v greatly on the context; the elements of melody and har­

mony, momentum, phrase build-up and climax,' all combine

to form the rhythmic impression which one receives in

the listening experience. . 208

Recoding Element's of a' Rich' Stimulus

Question (4) is: In this music, are there an

indefinite number of variables or is it possible to take

a single element, perhaps rhythm, and draw out a finite » number of variables which can be illuminated by ques­

tions answered dichotomously? It is evident f^om the / foregoing discussion that music is a multi-dimensional

stimulus with an indefinitely large number of variables.

However, because the rhythm of the preludes is motoric,

predictable, and. somewhat stereotyped, the relatively

limited variation of this element makes possible more _

precise statements about it than about some .of the other

elements. Ex. 39 is a typical prelude for its rhythmic

regularity.

Ex. 39- From the Orgelbuchlein *

Christ ist erstamlun. Vers i,

4. I . 209

The rhythm, of the motivic pattern In the inner voices,

motive "a", depends in part on the pedal for its comple­

tion, although the pedal itself has a distinctive rhythm,

motive "b". The combination of the two patterns results

most likely in the perception of this grouping:

m 7 T ) m m . This pattern occurs' unfailingly

at least four times in each full measure except the last.

However, this grouping is not the only pattern present,

even though it is continuous. The pattern could also be

perceived primarily in the pedal form:

because it is frequently duplicated in the alto voice,

meas. 1, beat 3, and occasionally in the tenor voice, as

in the first three beats of the composition. However the

rhythm is perceived, the point remains that the note-

value pattern is unaltered throughout the composition.

Conceivably, it should be possible to measure in bits r ♦ the rhythmic information in this prelude after hearing * the first phrase and knowing the characteristics of this v body of music. What are the rhythmic alternatives?'

After hearing the first phrase, It is apparent. that the-

motive has, principally, two different note values, two

short and a long, or short-long-two short. The short- 210 long, one could assume, is either an eighth or two

sixteenth-notes or a quarter and two eighth-notes. If these are equally-likely alternatives, one bit of informa­ tion is necessary to discover that the pattern is an eighth and two sixteenth-notes. However, one can only assert that these are equally-likely alternatives; such an assertion is valid only after a statistical tabulation of all the preludes which are perceived as having long- short patterns. Also, the pattern might.be perceived as short-long-short, which presents a new set of alterna­ tives. Furthermore, which note values are used to set * down the two patterns is irrelevant as far as one1 s per­ ception of the patterns are concerned.

To determine equally-likely rhythmic alternatives

Is a statistical problem, outside the scope of this study. i F o r example, the probable note values in these preludes are whole, half, quarter, eighth, sixteenth, and thirty- second notes. In addition, all the possible combinations i • of these note values need to be considered. Then there are the variables of kinds of meter, the number of beats covered by a motive, whether it begins on the upbeat or downbeat, syncopation versus straight rhythm. And this 211

is only the beginning. In short, it appears that one

cannot measure even a predictable, periodic rhythm in as

precise a manner as number of bits of information trans­

mitted. There' are far too many variables in the score,

to say nothing of a performance and how it might be per­

ceived, which would need to be taken into consideration. / i If this is true about the somewhat predictable and

periodic rhythmic structure, it should also be true

for the more varied melodic and harmonic elements.

However, there is still the possibility of

applying one of the information theory concepts on a t broader level. Question (5) is: Might it be possible

to recode a musical passage from bits into chunks and

in this way deal with a very .rich stimulus in a simpler

form? Perhaps the melodic and harmonic variations of

the motive are bits of information which ,one tends to

recode into a chunk, identifiable by its-rhythm because

of the dominance of the rhythmic element. The rhythm

' might provide the structure upon which to hang the other

elements and thus facilitate meaningful perception. We

easily recall this large chunk of the piece, that is,

the rhythmic motive or motivic sequence, when it ■ 222

reoccurs, despite the great variety of variations involv­

ing melody, harmony and interval size.

To explore the manner in which this recoding

might take place, Ex. 40 will be examined.

Ex. 40. Prom the Orgelbuchleln

ITorr Josh Christ, t'lioh zu uus vend’! ,'

25.

P g c u i o .

c a t *.

In this prelude, the motive consists of a rising or fall­

ing four-note, or five-note arpeggiation of a triad,

based on the triadic opening .notes of the chorale tune,

found in' the first pedal phrase. In the polyphonic

accompaniment figures in the inner voices, {this arpeggio

is primarily composed of sixteenth-notes.,. So it takes on

a definite rhythmic as well as intervallic character. If v one could imagine a first hearing of this phrase, with

only a general knowledge of styles of individual com-;

posers, the first impression might be of a very busy

conglomeration of notes, a hodge-podge of pitches moving 213 up and down. Above t h i s mass of notes , a tune is per­ ceptible over the movement, which is the chorale tune in the soprano voice. By the end of the first phrase, per­ haps, the sensitive listener would become aware of a pattern within the movement and further, that the pattern is present on each beat. Thus, the listener would have / 9 recoded an inarticulate mass of moving notes into a coherent grouping. Once this process of recoding has taken place, one has a n aural tool which serves as a guide through the remainder of the .composition. On further exposure, the listener might discover that the » pattern has a generative force, a momentum caused by the three pick-up notes i n t o the downbeat each time it occurs. He might then recode it into a four-note motive which begins after the beat and extends to the beginning of the next beat. In addition, the diminution of the first three notes of t h e chorale tune in -the pedal is a type of recoding, providing a different perspective on the original material. In this way, the motivic struc­ ture enables the listener to recode the very large number of variables Into coherent and identifiable pat­ terns . The ability o f Individuals to -recode the very 214

rich stimuli which make up a musical composition may be

accounted for by the astonishing capacity of the human

mind to make some sense out of an often chaotic environ­

ment. Thus the concept of recoding furnishes yet

another perspective from which to view the process of

pattern perception. It provides some insight as to how

we organize a very rich stimulus such as a musical work.

Summary ^

This chapter opened with a presentation of basic

information theory concepts. It was noted that in i communication theory, information is a quantifiable

commodity. Stochastic processes, redundancy, and

periodicity were discussed in relation to, the motivic

patterns'in the music. It was noted that Meyer's (1957)

application of information theory concepts {has resulted

in a useful hypothesis concerning the role ‘of expectation

in one's perception of Western music and the relationship v of this expectation to information. His hypothesis is:

"the psycho-stylistic conditions which give rise to musi­

cal meaning, whether affective or intellectual, are the

same'as those which communicate information" (p. 412). 215

Miller's, and Garner's discussions of the concept of

bits and chunks was summarized.

Following the summary of information theory con­

cepts, the purpose was to make exploratory applications

of these concepts to the music at hand by asking the

following questions: (1) Having examined in the fore- /. J going chapters the kinds of alterations which occur in

the motives, how predictable or unpredictable are these

alterations and are there clear instances of the predict­

able being temporarily or permanently blocked? (2) Is

periodicity a significant feature of the Bach chorale r preludes? (3) Is the concept of redundancy applicable i in any meaningful way to the .motivic patterns in these

pieces? (4) In this music, are there an indefinite num­

ber of variables or is it possible to take a single

element, perhaps rhythm, and draw out a firjite number of

variables which can be illuminated by questions answered

dichotomously? (5) Might it be possible to recode a

' musical passage from bits into chunks and in this way

deal with a very rich stimulus in a simpler form?

The effort was made to draw-out elements in the

motivic organization which one might experience as being 216 predictable or unpredictable . It appeared that rhythmic and harmonic' alterations can function as unpredictable elements within the predictability of a repetitive motive. It was noted that the preludes are both periodic and redundant and that these concepts help in our under­ standing of perception of these pieces. Within the / periodicity and continuous rhythmic redundancy, the other elements actually render the motivic pattern non- redundant. Finally, it was proposed that in listening to as rich a stimulus as these chorale preludes, one recodes certain aspects, such as the individual motive, I into larger chunks in order to grasp the composition as a whole.

Although this has been a very limited glimpse at motivic structure through the lens of communication theory concepts, it has provided the opportunity to ask perceptual questions from yet another perspective. Per­ haps from this kind of exploration, ideas will emerge which can be applied to perceptual problems with sophis­ ticated mathematical and statistical tools. Communica- tion theory does suggest new ways to examine our responses to music and holds the promise of greater 217 understanding and precision in analyzing these responses as scholars become more sophisticated in applying these tools. CHAPTER VII

THEORIES, HYPOTHESES, AND CONCLUSIONS

Chapter Summaries' and Hypotheses

s The concern in this study has been to search for reasons why an individual attributes meaning and value to a musical work. Psychological studies have shown that pattern organization is a significant factor in one's perception of stimuli in the environment. So musical patterns, specifically motivic patterns in the Bach chorale preludes for organ, were^examined in relationship to psychological studies in aural pattern perception. Chapter I began with a discussion of psycho- muslcological issues such as the place of a listener's response in making judgments about a musical composition. The process of theory-formulation as a method of problem­ solving in this area was discussed with particular atten­ tion to how questions of value can be incorporated into a scientific investigation. A perceptual theory of meaning end value in the motivic structure of the Bach chorale preludes was formulated. The theory is: Because persons need to organize all stimuli in their , environment Into some kind of structure or pattern In order to store it for future decision-making data, and because in addition, persons.structure this data,in as

218 219 simple and economical way as possible, it follows that In the Bach chorale preludes, the motive, par­ ticularly the rhythmic structure of the motive, is the single most significant organizing force in these works and consequently is the basic element from which meaning and value arise in one's perception of this body of music. The following pages, which summarize the data in this study, furnish evidence for this theory and, in addition, provide the basis for a broader theory of motivic percep- / . i tion as it relates to meaning and value in other bodies of music. Chapter II was a general appraisal of the methods and results of music theory in its traditional role of analyzing only the music itself and a discussion of new approaches which combine musical analysis with musical behavior. The evidence indicates that the role of the music theorist is expanding to include the search for musical insights from other disciplines. The limitations of abstract and specualtive knowledge, particularly its subjective nature and lack of precision, fwdre pointed out, as well as its usefulness for providing ideas which can be formulated into theories and hypotheses. Recent scholarship was cited which takes into account musical behavior, emphasizing the possibilities for new ideas about how to analyze and listen to music. The conclusion was that the creative task of the music i theorist is. to peruse all musical knowledge related'to a 220 particular problem, regardless of its origins, and then create a synthesis of related ideas based on his technical skills and musical insight. Chapter III showed that psychology is a particularly useful tool for the music theorist. A brief survey of developments in that field were presented, including those facts which explain the relevance of a psychological / * approach to solving problems which musicians meet in try­ ing to understand musical behavior. The conclusion was that understanding musical phenomena is a behavioral problem, and one of the music theorist's primary concerns should be the responses of persons who are listening to music, that is, musical behavior. Psychologists, then, who have long studied behavior, have useful insights, concepts, theories, data, and techniques for the music theorist. Chapters' IV and V . the core of the study, related psychological experiments in aural pattern, pierception to motivic patterns which were found in the music. In Chap­ ter IV, analysis showed that the motive, the smallest subdivision of a phrase that remains a perceptual whole, is the dominant structural unit In the chorale preludes 9 . forming patterns which are perceptible because of their rhythmic structure, shape, and repetition. Evidence was presented which Indicates that persons tend to organize a 221 stimulus into patterns and try to Impose order In the * midst of chaos. The motive was found to be an organi­ zational unit susceptible to measurement and analysis. It was found that patterns discovered in analysis of the score were likely to be altered somewhat in the listener’s perception by the smoothing over of variations in the figure. Studies showed that a person tends to disregard minor variations in a repetitive pattern, hearing it as it was initially presented. It was also found that a pattern can be altered melodlcally and harmonically, but still remain identifiable as the original pattern because of the consistency of note value patterns and general contour. Hypotheses generated from the data in this chapter were: • (1) If a certain pattern Is established early i In a piece by a repetition of rhythm and ■ . intervalllc shape, that pattern, even though considerably altered or repeated only in part, is perceived as the original pattern whenever It occurs. This hypothesis has its roots in^the. Gestalt theory of closure in which persons tend to disregard minor variations in a repetitive figure if most elements remain the same. 222

(2) Music is an aural event and patterns found in the musical score are meaningful, that is, one can assess their perceptual sig­ nificance only insofar as they are heard. This hypothesis arises from the fact that the notes on the page do not necessarily correspond in every detail to what the ear perceives when the notes are realized. Chapter V dealt with issues which can properly be designated as speculative or intuitive: how a compo­ sition such as a chorale prelude might initially be perceived by a listener, how tension and release affects pattern perception, and how a satisfactory balance of unity and variety is achieved in these pieces. The evi­ dence, particularly from rhythmic studies, suggested that the motive was the unit which makes the initial impact on the listener because of its rhythm, its accent, and a personas grouping of these stimuli. Studies have shown that persons are particularly aware of tension and release aspects of a musical stimulus and that this provides mean­ ing in a broad sense for many listeners. The way in which the motivic organization results in tension and release was also explored and found to be a significant factor in one's perception of these compositions. 223 A conclusion concerning the unity and variety * aspects was that the motive, because of its continuous

repetition, provides the primary unifying element and, on the other hand, because it is seldom repeated without variation, provides also the varying * aspects needed for balance. It was postulated that chief unifying factors may be present on a sub-conscious level and thfit the most articulate and obvious aspects might be the least important in one's perception. Hypotheses generated from the data in this chapter were: (3) The repetition of a rhythmically distinctive motive, which often dominates a musical com­ position, is the factor which is most readily lodged in the consciousness of the listener, regardless of the harmonic complexity or alterations in the melodic contour. ! This hypothesis results from the analysis 'of the music and from pattern perception studies by Garner' '(1967) and rhythm studies by Cooper and Meyer (1963), Woodrow (1909), ‘and Stetson (1905) which indicate that persons organize stimuli into the simplest and most easily structured ~ fashion. The rhythm of the motive is the most repetitive factor and the one which is likely to be organized immediately by the listener.

/ 224

(4) One way a person groups tones depends in part on whether one perceives them as, part of a general movement toward a goal or from a goal. If one perceives a group as being end-accented, the tendency is

that the last two notes will be slightly

altered in performance in relation t g the / goal of that group of notes; the alteration j will consist of the last two notes occurring nearer to the accerit.

This hypothesis was generated by Cooper and Meyer (1963) in their discussion of the concept of groups in'pattern organization. (5) Unconscious perception is most receptive to minor encoding habits. This hypothesis arises from two sources: Ehrenzweig's - study of the psycho-analysis of artistic vision and hear- i ing (1953) in which he discussed the importance of repressed or subconscious aesthetic perception in one's total reaction to a work of art; and Paisley's study of minor encoding habits (1964) in which he postulated that the seemingly Insignificant or recessive details in a ; ■ work of art or literature may be the factors which identify the style of the artist. . i

i 225

(6) So-called minor encoding habits register themselves unconsciously in our perception and provide the variety in the pattern which balances the unity of pattern in a - composition, and which sustains interest.

This hypothesis stems from the studies indicated above which generated hypothesis (5), namely, those of / Ehrenzweig (1953) and Paisley (1964). Subtle contrapun­ tal techniques, variations of harmony, and slight melodic alterations are often repressed in order to maintain the unifying and organizing function of the repetitive figure. These repressed variations, however, are still present in one's overall perception and may register as variety. (7) It is the obscure, less assertive elements of a pattern In motivically-constructed music which account for the lack of monotony and which explain in large part, t h e ‘attribution of value to the composition by..trie listener.

This hypothesis also arises from the ideas of Ehrenzweig and Paisley and their application to continuous repeti­ tion of motives in a composition. The fact that so little Is known about the reasons for attributing meaning and l,n value to musical compositions leads one to postulate that answers may lie in areas which are usually considered

/ 226 unimportant, such as minor encoding habits, or inaccess­ ible, such as unconscious perception. Chapter VI consisted of a discussion of informa­ tion theory concepts and their possible application to motivic analysis. It was concluded that the chief* value of information theory concepts in this study was to provide another perspective for asking questions / which might further illuminate the musical structure. It was evident that the motive is periodic and redundant and that one can Isolate elements'which are predictable or unpredictable, a result which relates to meaning a n d value according to Meyer (1957)* It was concluded that music is too rich a stimulus to be measured precisely withinformation theory concepts, but that perhaps one can take the indefinite number of bits of Information in a musical stimulus and recode them into chunks, i d e n t i ­ fiable by consistency of elements such as rhythm a n d shape. '■ ■ '( A hypothesis which was generated from the d a t a in this chapter was: » (8) The melodic and harmonic variations of t h e motive are bits of information which.,.a person1 tends to recode into a chunk, identifiable

i by its rhythm, because o f the dominance of the rhythmic element. 227 This hypothesis results from Miller.’s discussion of a person’s ability to process information in bits or chunks (1956), a concept from Information theory. To measure information in bits, the source must be a finite number of variables; this does not characterize a musical stimu­ lus. However, persons do recode a,.complex stimulus into larger groups to facilitate perception, hence the concept » of chunks.

A General' Theory' of Meaning and Value

These data, then, furnish the evidence for the perceptual theory of musical meaning and value which was

4 stated in the Introduction. These data also provide the basis for a general theory which can be tested against various bodies of music. Included in a theory of musical meaning and value must be both the conditions which need to be present in 1 the music and the human response which we knbw from empirical evidence will take place as a result of those conditions. To review, the conditions which must be present in the music are a recognizable order and pattern which sig­ nify to the listener that he has some grasp of the compo­ sition, that he is intelligently perceiving the music as it unfolds In time. Much of recently-composed music does 228 not fulfill these: conditions. Electronic and, of course, aleatory compositions are often deliberately bereft of any perceptible order. The impression, even upon repeated hearings, is of a mirage of sound which the listener is jaiable to organize into any coherent pattern. Therefore, performers, audience, and critics often are understandably hesitant to make value Judgments / about these compositions. They defer to future observers, to the next generation, the task of passing judgment. The pattern that must be present in music can take many different forms and be present at several different levels. The pattern can be identified primarily because of it's melodic, harmonic, or rhythmic elements, or a com­ bination of these. My contention has been that the most powerful ordering force, and in the Bach chorale preludes the most significant and immediately perceptible force,-is the rhythmic structure at the lowest architectonic level, i that of the motive and its repetitions. ' • These conditions of pattern and structure in the music give rise to various but related responses in the listener. In the first place, a recognition of pattern satisfies the fundamental need to order the universe in; • some way and thereby assert some measure of control and some ability to predict its future course. The need for, and the subsequent recognition of, pattern generates

/ expectations as to what course the' composition will follow.

This expectation is accompanies by an anticipatory tension which builds with the momentum of the music and is released as the music reaches its goal or follows the course which was expected. A different kind of satisfaction ensures if the music deviates from one’s expectations or if the consequent is delayed. There is a pleasurable response in either case, because in the latter event, the deviation is related in some important way to what the entirely expected or banal conse­ quent would have been. A knowledge of the established pat­ tern of antecedents and consequents provides the security needed to absorb the related deviation without anxiety.

In this summary chapter, I have presented conclusions and generated hypotheses on the basis of my analysis of the music and examination of psychological studies. In the i * course of my investigation I have found nothing in the liter- l r' * ature or In. the music which is at variance with the initial * .4 theory. On the basis of these data, then, a general theory of meaning and value. related to the motive is: V Because persons need to organize all stimuli in their environment into some kind of structure or pattern in order to store it for future decision-making data, and .because in addition, persons structure this data in as simple and economical a way as possible, it follows that musical motives, primarily by* their .repetitive rhythmic organization, function as a significant element from which meaning and value arise in one’s perception of music. Hypotheses and Conclusions Now I will collect the hypotheses and state the conclu­ sions each of which is related to the Initial and general theories as well as to some aspect of the two dimensions In this study: the patterns in the music and how a listener per­ ceives those patterns. The hypotheses are: (1) If a certain pattern is established early in a piece by a repetition of rhythm and intervallic shape, that pattern, even though considerably altered or repeated only in part, is perceived as the original pattern whenever it occurs . (2) Music is an aural event and patterns found in the musical score are meaningful, that is, one can assess their perceptual significance only insofar as they are heard. (3) The repetition of a rhythmically distinctive motive, which often dominates a musical composition, is the factor which is most readily lodged in the conscious­ ness of the listener, regardless o f (the harmonic com-

r * plexity or alterations in the melodic contour. 4, (4) One way a person groups tones depends in part on whether one perceives them as part of a general move- i ment toward a goal or from a goal. If one perceives a group as being end-accented, the tendency is -that the last two notes will be ,slightly altered in per­ formance in relation to the goal of that group of notes; the alteration will consist of the last two notes occurring nearer to the accent. (5) Unconscious perception is most receptive to i minor encoding habits. (6) So-called minor encoding habits register them­ selves unconsciously in our perception and provide the variety in the pattern which balances the unity of pattern in a composition,

and which sustains interest. 4 / (7) It is the obscure, less assertive elements of a pattern in motivically-constructed music which account for the lack of monotony and which explain, in .large part, the attribution of value to the composition by the listener. ' (8) The melodic and harmonic variations of the motive are bits of information which a person tends to recode intc a chunk, identifiable by its rhythm, because of the dominance of the- rhythmic element. * i The conclusions are: r . (1) The role of the music theorist.is expanding to Include the search for musical insights from , other disciplines. There are limitations to abstract and speculative knowledge, particu- . larly its subjective nature and lack of pre­ cision; however, speculative knowledge is useful > for providing ideas which can be formulated into theories and hypotheses. 2 3 2 . (2). A creative task of the music theorist is to

peruse all musical knowledge related to a particular problem, regardless of its origin, and then create a synthesis of related ideas

based on his technical skillst and musical insight. (3) Understanding musical phenomena is a behavioral / problem, and one of the music theorist's p r i ­ mary concerns should be the responses of p e r ­ sons who are listening to music, that is, musical behavior. Psychologists, who have long studied behavior have useful concepts, theories, data, and techniques for the music

theorist. (*0 Persons tend to organize a stimulus into patterns and try to impose order where there is chaos. The motive which is the dominant unit in the Bach chorale preludes, is- the smallest entity which remains a perceptual whole; it is ‘ organized into patterns which are per.ceptible because of their note value pattern, shape, and repetition. (5) Persons are particularly aware of tension and release aspects of a musical stimulus and this provides meaning, In a broad sense, for the listener. (6) The motive is the source of both unity and variety in the chorale preludes; unity derives from its continuous repetition and variety is the result of the motive seldom being repeated without variation. (7) In information theory terminology, the 4 / motive is periodic and redundant; further, one can isolate elements which are predictable or

unpredictable, a result which, in Meyer's (1957) terminology, relates to meaning and value. ‘ (8) Music is too.rich a stimulus to be measured precisely with information theory concepts, J but one can take the indefinite number of bits of information in a musical stimulus and recode them into chunks, identifiable by con­ sistency of elements such as no^e value, pattern and shape. _ * In this study, I have postulated two theories and eight hypotheses concerning the relationship between the organization of the motive in music and the listener's perception of these motives. The general theory can be applied to other groups of motivically-organized composi-- tions. The hypotheses furnish new theoretical bases for testing ideas which have evolved from this study. APPENDIX /

o k ■• < o O O SB I H- o A A p o s O A £CP ' 3 B "a h PT ct » 5 9 ct S * 1 c o v ; B - * O ct A ct & o a *3 9 CT o u &» 9 A M* X c= ■a 9* C-t A 9 9 9 A g ca a o 9* A CT M P Ct Mi A A 3 s & & | ?? W A ct H- tfg 9 09 9 B a 3 « A p P w 04 ft o I* s? M CT H CL CL A A A ota 9 « o A A A A O B 9 9 o ct 9 . ip a 9 EJ 9 9 9 9 W Hi Ctw H*

W n ct H M IP Ct S ct cr O CT ct Ct 1 a PRELUDES CHORALE BACH IN THE CHARACTERISTICS MOTIVIC OFCHART - 9 V’ & 9 f ot p B & or p I cr P crp or p p o p *« *« «« • « «* ♦* •• *♦ «■ *• i* • « n .. Note length of o\ui IT VO -

ro Note-length of ao ro \J\ VO oo oo l Sequence(s)

Disjunct (D), Con­ -o o a an 09 09 oo os ooo 09 O junct (C) or Both (B) Two different M MX X MX XX note values

er o er o n p x a 2 One note value 9 9

X X X X X X XX Begins on upbeat

X X X Begins on downbeat

Spans one beat or X x X MX less with pickup Spans two beats or X X X X X more with pickup Harmonic changes XX X X XX XX XX XX coincide with repeat of motive

Rhythm altered Melodic intervals x x XX XX MX XX altered but shape the same Both melody and X X rhythm altered

9£Z /

O > o 3 H» 'A* 9 a ? • 9 c t fA B H* o n a £ss? A •* t* A c O.e-1 A I-* c r s A O A Ct A A H A Ct A S' C i A 3C cr e cr Q. Ct N S W H* ct ct ct CL A A n A A C « C A A 3* 31 3 3 M Hi A I—1 A A A a W H> A A Oi A c r a A a » a o A A 3 A A . A ID cr gw ct A c ct A A cl- 3* A 3 n p, ct Ct A A a : cr A a cr a A A 3 _ H* n A A n cr * H* A a rt *f> n A A A cr c o 3 h * cr c 3 CHORALEPRELUDES (cont'd.) BACH IN THE CHARACTERISTICSCHART MOTIVIC OF cr A s A c t A 3 Pi 3 A

A A AA c - A A A Note length of » • «» * • • • V ** • • • « VJI t o cn ■tr XT o \ VO Motive(a) "l* OO as 1 ■*. o , ) 1 M I 1 1 1 A 1 ( Note-length of 1 VJI l 1 1 1 M 1 ■ 1 Sequence(a) A A • 7 n Disjunct (D), Con­ to a a ' o n CO DO 3 o ■' o »—* cr junct (C) or Both (B) •o3 A Two different Ct note values

A One note value a o ctH < Begins on upbeat i>A eCT BeglnB on downbeat ct

*4 Spans one beat or ►1 less with pickup A .3 C A Spans two beats or 3 more with pickup c t o 3" Harmonic changes M X X X 3o coincide with a repeat of motive a ct Rhythm altered a A Melodic intervals A altered but o A shape the same 3 ct Both melody and rhythm altered »* > ** > c 9 P 5 & M S w N Wet k m A »* 3* A H* I to e ^ H i A 1—3* A A a 31 A c t ct w g *1 A ^ A H* A. A H* t,ct ct A H * ' 3 A o « ct 3 p £ £ g? ■g* E § H* P e A CL CT U> 1 A 2.8 n P o cr 3 O *t •1 to *1 0) w A A O A a ct a- P. In Cfl 5 A H* 3 & 3 ct 3 N' Hi ct A 3 *1 O A ct A A O X* ET H- 3 P 3*- p w ►c ct P EC 3 H 3 9 3 A U) p n • M 00 c t < A o W s EC 8A 3 O P cr p> P to (T (U p P P Note length of •• «■ • • • « • • •• • « - • » • • Motive(s) VO os' M ro m u> -1 o yiu> B r M»-3 Note-length of < i i i M i i ro Sequence(s) O i O EE M Disjunct (D), Con­ > to o o o o to O Cl o o

•“ 3 EC Begins on upbeat P) X X X X X 00 > o EC X X x “ X M X: Begins on downbeat o EC wo Spans one beat or > ■less with pickup mt-« Spans two beats or ►e X XX X XXX XX more with pickup tr1 CT Harmonic changes 8 coincide with C/1 X X repeat of motive A O Rhythm altered 3 «+ Melodic Intervals X X X X X X X X X X altered but shape the same Both melody and rhythm altered

QtE £ 4 ss < O ►3 *1 o ff- fo to & § 3 3 < < < N ft sf o 3 M • • ■ « O H* t> * (1 C l 01 n *o o X 3 * O U> W M i rr Cl 3 o f t f t c B s o o 3 f t C l o _ £3* 3 f t > p H _ o a r t s o to f t M P * ct 3 to M to H> ft (■*•3 0) ■ (D w (0 01 m a » i-J M n H* ■ M 0) ft (D 3 - V) 3* P f o s H* c i •a c i (1 (t> (cont'd.) PRELUDES CHORALE BACH THE IN CHARACTERISTICS MOTIVIC OFCHART o 3 * H* a> f t CO ft 3 f t

CD w o ' p P O O' fl> M O ) Note length of • • • • »■ *■ • • VO ■ ro • * •• •* 0V** Motive(a) j? - t E r E r M C7\ -tr— J I J=- O M O •-0 Note-length of M 1 M H ov 1 ro * ro cv Sequence(a) 1 l M OJ OO cr>

o Disjunct (D), Con­ o O' O / —» . CD O CD O O WO CD * junct (C) op -—• Both (B)

Two different note valueB

One note value X XX X X X X X X

X X X X X X X X Begins on upbeat

Begins on downbeat X X X X

Spans one beat or X X less with pickup

t Spans two beats or X X X X X X more with pickup

Harmonic changes coincide with .X X X X repeat of motive

X X X Rhythm altered Melodic intervals X X X X altered but shape the same

Both melody and rhythm altered

6£Z

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Klotz, Hansi 1958. Die orgelchorale aus der Leipziger Origlnalhandschrift. J. S. Bach. (Neue ausgabe s&mtlicher werke, Series IV, VolT 2. Barenreiter Kassel: Johann-Sebastian-Bach-Institut G6ttingen und Bach-Archiv Leipzig.

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