“Roundtable on Collective Impact”
“Channeling Change: Making Collective Impact Work”
“Understanding the Value of Backbone Organizations in Collective Impact”
“Embracing Emergence: How Collective Impact Addresses Complexity”
“Collective Insights on Collective Impact”
The scale and complexity of the U.S. public education system has thwarted attempted reforms for decades. Major funders, such as the Annenberg Foundation, Ford Foundation, and Pew Charitable Trusts have abandoned many of their efforts in frustration after acknowledging their lack of progress. Once the global leader—after World War II the United States had the highest high school graduation rate in the world—the country now ranks 18th among the top 24 industrialized nations, with more than 1 million secondary school students dropping out every year. The heroic efforts of countless teachers, administrators, and nonprofits, together with billions of dollars in charitable contributions, may have led to important improvements in individual schools and classrooms, yet system-wide progress has seemed virtually unobtainable.
Against these daunting odds, a remarkable exception seems to be emerging in Cincinnati. Strive, a nonprofit subsidiary of KnowledgeWorks, has brought together local leaders to tackle the student achievement crisis and improve education throughout greater Cincinnati and northern Kentucky. In the four years since the group was launched, Strive partners have improved student success in dozens of key areas across three large public school districts. Despite the recession and budget cuts, 34 of the 53 success indicators that Strive tracks have shown positive trends, including high school graduation rates, fourth-grade reading and math scores, and the number of preschool children prepared for kindergarten.
Why has Strive made progress when so many other efforts have failed? It is because a core group of community leaders decided to abandon their individual agendas in favor of a collective approach to improving student achievement. More than 300 leaders of local organizations agreed to participate, including the heads of influential private and corporate foundations, city government officials, school district representatives, the presidents of eight universities and community colleges, and the executive directors of hundreds of education-related nonprofit and advocacy groups.
These leaders realized that fixing one point on the educational continuum—such as better after-school programs—wouldn’t make much difference unless all parts of the continuum improved at the same time. No single organization, however innovative or powerful, could accomplish this alone. Instead, their ambitious mission became to coordinate improvements at every stage of a young person’s life, from “cradle to career.”
Strive didn’t try to create a new educational program or attempt to convince donors to spend more money. Instead, through a carefully structured process, Strive focused the entire educational community on a single set of goals, measured in the same way. Participating organizations are grouped into 15 different Student Success Networks (SSNs) by type of activity, such as early childhood education or tutoring. Each SSN has been meeting with coaches and facilitators for two hours every two weeks for the past three years, developing shared performance indicators, discussing their progress, and most important, learning from each other and aligning their efforts to support each other.
Strive, both the organization and the process it helps facilitate, is an example of collective impact, the commitment of a group of important actors from different sectors to a common agenda for solving a specific social problem. Collaboration is nothing new. The social sector is filled with examples of partnerships, networks, and other types of joint efforts. But collective impact initiatives are distinctly different. Unlike most collaborations, collective impact initiatives involve a centralized infrastructure, a dedicated staff, and a structured process that leads to a common agenda, shared measurement, continuous communication, and mutually reinforcing activities among all participants.
Although rare, other successful examples of collective impact are addressing social issues that, like education, require many different players to change their behavior in order to solve a complex problem. In 1993, Marjorie Mayfield Jackson helped found the Elizabeth River Project with a mission of cleaning up the Elizabeth River in southeastern Virginia, which for decades had been a dumping ground for industrial waste. They engaged more than 100 stakeholders, including the city governments of Chesapeake, Norfolk, Portsmouth, and Virginia Beach, Va., the Virginia Department of Environmental Quality, the U.S. Environmental Protection Agency (EPA), the U.S. Navy, and dozens of local businesses, schools, community groups, environmental organizations, and universities, in developing an 18-point plan to restore the watershed. Fifteen years later, more than 1,000 acres of watershed land have been conserved or restored, pollution has been reduced by more than 215 million pounds, concentrations of the most severe carcinogen have been cut sixfold, and water quality has significantly improved. Much remains to be done before the river is fully restored, but already 27 species of fish and oysters are thriving in the restored wetlands, and bald eagles have returned to nest on the shores.
Or consider Shape up Somerville, a citywide effort to reduce and prevent childhood obesity in elementary school children in Somerville, Mass. Led by Christina Economos, an associate professor at Tufts University’s Gerald J. and Dorothy R. Friedman School of Nutrition Science and Policy, and funded by the Centers for Disease Control and Prevention, the Robert Wood Johnson Foundation, Blue Cross Blue Shield of Massachusetts, and United Way of Massachusetts Bay and Merrimack Valley, the program engaged government officials, educators, businesses, nonprofits, and citizens in collectively defining wellness and weight gain prevention practices. Schools agreed to offer healthier foods, teach nutrition, and promote physical activity. Local restaurants received a certification if they served low-fat, high nutritional food. The city organized a farmers’ market and provided healthy lifestyle incentives such as reduced-price gym memberships for city employees. Even sidewalks were modified and crosswalks repainted to encourage more children to walk to school. The result was a statistically significant decrease in body mass index among the community’s young children between 2002 and 2005.
Even companies are beginning to explore collective impact to tackle social problems. Mars, a manufacturer of chocolate brands such as M&M’s, Snickers, and Dove, is working with NGOs, local governments, and even direct competitors to improve the lives of more than 500,000 impoverished cocoa farmers in Cote d’Ivoire, where Mars sources a large portion of its cocoa. Research suggests that better farming practices and improved plant stocks could triple the yield per hectare, dramatically increasing farmer incomes and improving the sustainability of Mars’s supply chain. To accomplish this, Mars must enlist the coordinated efforts of multiple organizations: the Cote d’Ivoire government needs to provide more agricultural extension workers, the World Bank needs to finance new roads, and bilateral donors need to support NGOs in improving health care, nutrition, and education in cocoa growing communities. And Mars must find ways to work with its direct competitors on pre-competitive issues to reach farmers outside its supply chain.
These varied examples all have a common theme: that large-scale social change comes from better cross-sector coordination rather than from the isolated intervention of individual organizations. Evidence of the effectiveness of this approach is still limited, but these examples suggest that substantially greater progress could be made in alleviating many of our most serious and complex social problems if nonprofits, governments, businesses, and the public were brought together around a common agenda to create collective impact. It doesn’t happen often, not because it is impossible, but because it is so rarely attempted. Funders and nonprofits alike overlook the potential for collective impact because they are used to focusing on independent action as the primary vehicle for social change.
Most funders, faced with the task of choosing a few grantees from many applicants, try to ascertain which organizations make the greatest contribution toward solving a social problem. Grantees, in turn, compete to be chosen by emphasizing how their individual activities produce the greatest effect. Each organization is judged on its own potential to achieve impact, independent of the numerous other organizations that may also influence the issue. And when a grantee is asked to evaluate the impact of its work, every attempt is made to isolate that grantee’s individual influence from all other variables.
In short, the nonprofit sector most frequently operates using an approach that we call isolated impact. It is an approach oriented toward finding and funding a solution embodied within a single organization, combined with the hope that the most effective organizations will grow or replicate to extend their impact more widely. Funders search for more effective interventions as if there were a cure for failing schools that only needs to be discovered, in the way that medical cures are discovered in laboratories. As a result of this process, nearly 1.4 million nonprofits try to invent independent solutions to major social problems, often working at odds with each other and exponentially increasing the perceived resources required to make meaningful progress. Recent trends have only reinforced this perspective. The growing interest in venture philanthropy and social entrepreneurship, for example, has greatly benefited the social sector by identifying and accelerating the growth of many high-performing nonprofits, yet it has also accentuated an emphasis on scaling up a few select organizations as the key to social progress.
Despite the dominance of this approach, there is scant evidence that isolated initiatives are the best way to solve many social problems in today’s complex and interdependent world. No single organization is responsible for any major social problem, nor can any single organization cure it. In the field of education, even the most highly respected nonprofits—such as the Harlem Children’s Zone, Teach for America, and the Knowledge Is Power Program (KIPP)—have taken decades to reach tens of thousands of children, a remarkable achievement that deserves praise, but one that is three orders of magnitude short of the tens of millions of U.S. children that need help.
The problem with relying on the isolated impact of individual organizations is further compounded by the isolation of the nonprofit sector. Social problems arise from the interplay of governmental and commercial activities, not only from the behavior of social sector organizations. As a result, complex problems can be solved only by cross-sector coalitions that engage those outside the nonprofit sector.
We don’t want to imply that all social problems require collective impact. In fact, some problems are best solved by individual organizations. In “Leading Boldly,” an article we wrote with Ron Heifetz for the winter 2004 issue of the Stanford Social Innovation Review, we described the difference between technical problems and adaptive problems. Some social problems are technical in that the problem is well defined, the answer is known in advance, and one or a few organizations have the ability to implement the solution. Examples include funding college scholarships, building a hospital, or installing inventory controls in a food bank. Adaptive problems, by contrast, are complex, the answer is not known, and even if it were, no single entity has the resources or authority to bring about the necessary change. Reforming public education, restoring wetland environments, and improving community health are all adaptive problems. In these cases, reaching an effective solution requires learning by the stakeholders involved in the problem, who must then change their own behavior in order to create a solution.
Shifting from isolated impact to collective impact is not merely a matter of encouraging more collaboration or public-private partnerships. It requires a systemic approach to social impact that focuses on the relationships between organizations and the progress toward shared objectives. And it requires the creation of a new set of nonprofit management organizations that have the skills and resources to assemble and coordinate the specific elements necessary for collective action to succeed.
The Five Conditions of Collective Success
Our research shows that successful collective impact initiatives typically have five conditions that together produce true alignment and lead to powerful results: a common agenda, shared measurement systems, mutually reinforcing activities, continuous communication, and backbone support organizations.
Common Agenda Collective impact requires all participants to have a shared vision for change, one that includes a common understanding of the problem and a joint approach to solving it through agreed upon actions. Take a close look at any group of funders and nonprofits that believe they are working on the same social issue, and you quickly find that it is often not the same issue at all. Each organization often has a slightly different definition of the problem and the ultimate goal. These differences are easily ignored when organizations work independently on isolated initiatives, yet these differences splinter the efforts and undermine the impact of the field as a whole. Collective impact requires that these differences be discussed and resolved. Every participant need not agree with every other participant on all dimensions of the problem. In fact, disagreements continue to divide participants in all of our examples of collective impact. All participants must agree, however, on the primary goals for the collective impact initiative as a whole. The Elizabeth River Project, for example, had to find common ground among the different objectives of corporations, governments, community groups, and local citizens in order to establish workable cross-sector initiatives.
Funders can play an important role in getting organizations to act in concert. In the case of Strive, rather than fueling hundreds of strategies and nonprofits, many funders have aligned to support Strive’s central goals. The Greater Cincinnati Foundation realigned its education goals to be more compatible with Strive, adopting Strive’s annual report card as the foundation’s own measures for progress in education. Every time an organization applied to Duke Energy for a grant, Duke asked, “Are you part of the [Strive] network?” And when a new funder, the Carol Ann and Ralph V. Haile Jr./U.S. Bank Foundation, expressed interest in education, they were encouraged by virtually every major education leader in Cincinnati to join Strive if they wanted to have an impact in local education.1
Shared Measurement Systems Developing a shared measurement system is essential to collective impact. Agreement on a common agenda is illusory without agreement on the ways success will be measured and reported. Collecting data and measuring results consistently on a short list of indicators at the community level and across all participating organizations not only ensures that all efforts remain aligned, it also enables the participants to hold each other accountable and learn from each other’s successes and failures.
It may seem impossible to evaluate hundreds of different organizations on the same set of measures. Yet recent advances in Web-based technologies have enabled common systems for reporting performance and measuring outcomes. These systems increase efficiency and reduce cost. They can also improve the quality and credibility of the data collected, increase effectiveness by enabling grantees to learn from each other’s performance, and document the progress of the field as a whole.2
All of the preschool programs in Strive, for example, have agreed to measure their results on the same criteria and use only evidence-based decision making. Each type of activity requires a different set of measures, but all organizations engaged in the same type of activity report on the same measures. Looking at results across multiple organizations enables the participants to spot patterns, find solutions, and implement them rapidly. The preschool programs discovered that children regress during the summer break before kindergarten. By launching an innovative “summer bridge” session, a technique more often used in middle school, and implementing it simultaneously in all preschool programs, they increased the average kindergarten readiness scores throughout the region by an average of 10 percent in a single year.3
Mutually Reinforcing Activities Collective impact initiatives depend on a diverse group of stakeholders working together, not by requiring that all participants do the same thing, but by encouraging each participant to undertake the specific set of activities at which it excels in a way that supports and is coordinated with the actions of others.
The power of collective action comes not from the sheer number of participants or the uniformity of their efforts, but from the coordination of their differentiated activities through a mutually reinforcing plan of action. Each stakeholder’s efforts must fit into an overarching plan if their combined efforts are to succeed. The multiple causes of social problems, and the components of their solutions, are interdependent. They cannot be addressed by uncoordinated actions among isolated organizations.
All participants in the Elizabeth River Project, for example, agreed on the 18-point watershed restoration plan, but each is playing a different role based on its particular capabilities. One group of organizations works on creating grassroots support and engagement among citizens, a second provides peer review and recruitment for industrial participants who voluntarily reduce pollution, and a third coordinates and reviews scientific research.
The 15 SSNs in Strive each undertake different types of activities at different stages of the educational continuum. Strive does not prescribe what practices each of the 300 participating organizations should pursue. Each organization and network is free to chart its own course consistent with the common agenda, and informed by the shared measurement of results.
Continuous Communication Developing trust among nonprofits, corporations, and government agencies is a monumental challenge. Participants need several years of regular meetings to build up enough experience with each other to recognize and appreciate the common motivation behind their different efforts. They need time to see that their own interests will be treated fairly, and that decisions will be made on the basis of objective evidence and the best possible solution to the problem, not to favor the priorities of one organization over another.
Even the process of creating a common vocabulary takes time, and it is an essential prerequisite to developing shared measurement systems. All the collective impact initiatives we have studied held monthly or even biweekly in-person meetings among the organizations’ CEO-level leaders. Skipping meetings or sending lower-level delegates was not acceptable. Most of the meetings were supported by external facilitators and followed a structured agenda.
The Strive networks, for example, have been meeting regularly for more than three years. Communication happens between meetings too: Strive uses Web-based tools, such as Google Groups, to keep communication flowing among and within the networks. At first, many of the leaders showed up because they hoped that their participation would bring their organizations additional funding, but they soon learned that was not the meetings’ purpose. What they discovered instead were the rewards of learning and solving problems together with others who shared their same deep knowledge and passion about the issue.
Backbone Support Organizations Creating and managing collective impact requires a separate organization and staff with a very specific set of skills to serve as the backbone for the entire initiative. Coordination takes time, and none of the participating organizations has any to spare. The expectation that collaboration can occur without a supporting infrastructure is one of the most frequent reasons why it fails.
The backbone organization requires a dedicated staff separate from the participating organizations who can plan, manage, and support the initiative through ongoing facilitation, technology and communications support, data collection and reporting, and handling the myriad logistical and administrative details needed for the initiative to function smoothly. Strive has simplified the initial staffing requirements for a backbone organization to three roles: project manager, data manager, and facilitator.
Collective impact also requires a highly structured process that leads to effective decision making. In the case of Strive, staff worked with General Electric (GE) to adapt for the social sector the Six Sigma process that GE uses for its own continuous quality improvement. The Strive Six Sigma process includes training, tools, and resources that each SSN uses to define its common agenda, shared measures, and plan of action, supported by Strive facilitators to guide the process.
In the best of circumstances, these backbone organizations embody the principles of adaptive leadership: the ability to focus people’s attention and create a sense of urgency, the skill to apply pressure to stakeholders without overwhelming them, the competence to frame issues in a way that presents opportunities as well as difficulties, and the strength to mediate conflict among stakeholders.
Funding Collective Impact
Creating a successful collective impact initiative requires a significant financial investment: the time participating organizations must dedicate to the work, the development and monitoring of shared measurement systems, and the staff of the backbone organization needed to lead and support the initiative’s ongoing work.
As successful as Strive has been, it has struggled to raise money, confronting funders’ reluctance to pay for infrastructure and preference for short-term solutions. Collective impact requires instead that funders support a long-term process of social change without identifying any particular solution in advance. They must be willing to let grantees steer the work and have the patience to stay with an initiative for years, recognizing that social change can come from the gradual improvement of an entire system over time, not just from a single breakthrough by an individual organization.
This requires a fundamental change in how funders see their role, from funding organizations to leading a long-term process of social change. It is no longer enough to fund an innovative solution created by a single nonprofit or to build that organization’s capacity. Instead, funders must help create and sustain the collective processes, measurement reporting systems, and community leadership that enable cross-sector coalitions to arise and thrive.
This is a shift that we foreshadowed in both “Leading Boldly” and our more recent article, “Catalytic Philanthropy,” in the fall 2009 issue of the Stanford Social Innovation Review. In the former, we suggested that the most powerful role for funders to play in addressing adaptive problems is to focus attention on the issue and help to create a process that mobilizes the organizations involved to find a solution themselves. In “Catalytic Philanthropy,” we wrote: “Mobilizing and coordinating stakeholders is far messier and slower work than funding a compelling grant request from a single organization. Systemic change, however, ultimately depends on a sustained campaign to increase the capacity and coordination of an entire field.” We recommended that funders who want to create large-scale change follow four practices: take responsibility for assembling the elements of a solution; create a movement for change; include solutions from outside the nonprofit sector; and use actionable knowledge to influence behavior and improve performance.
These same four principles are embodied in collective impact initiatives. The organizers of Strive abandoned the conventional approach of funding specific programs at education nonprofits and took responsibility for advancing education reform themselves. They built a movement, engaging hundreds of organizations in a drive toward shared goals. They used tools outside the nonprofit sector, adapting GE’s Six Sigma planning process for the social sector. And through the community report card and the biweekly meetings of the SSNs they created actionable knowledge that motivated the community and improved performance among the participants.
Funding collective impact initiatives costs money, but it can be a highly leveraged investment. A backbone organization with a modest annual budget can support a collective impact initiative of several hundred organizations, magnifying the impact of millions or even billions of dollars in existing funding. Strive, for example, has a $1.5 million annual budget but is coordinating the efforts and increasing the effectiveness of organizations with combined budgets of $7 billion. The social sector, however, has not yet changed its funding practices to enable the shift to collective impact. Until funders are willing to embrace this new approach and invest sufficient resources in the necessary facilitation, coordination, and measurement that enable organizations to work in concert, the requisite infrastructure will not evolve.
What might social change look like if funders, nonprofits, government officials, civic leaders, and business executives embraced collective impact? Recent events at Strive provide an exciting indication of what might be possible.
Strive has begun to codify what it has learned so that other communities can achieve collective impact more rapidly. The organization is working with nine other communities to establish similar cradle to career initiatives.4 Importantly, although Strive is broadening its impact to a national level, the organization is not scaling up its own operations by opening branches in other cities. Instead, Strive is promulgating a flexible process for change, offering each community a set of tools for collective impact, drawn from Strive’s experience but adaptable to the community’s own needs and resources. As a result, the new communities take true ownership of their own collective impact initiatives, but they don’t need to start the process from scratch. Activities such as developing a collective educational reform mission and vision or creating specific community-level educational indicators are expedited through the use of Strive materials and assistance from Strive staff. Processes that took Strive several years to develop are being adapted and modified by other communities in significantly less time.
These nine communities plus Cincinnati have formed a community of practice in which representatives from each effort connect regularly to share what they are learning. Because of the number and diversity of the communities, Strive and its partners can quickly determine what processes are universal and which require adaptation to a local context. As learning accumulates, Strive staff will incorporate new findings into an Internet-based knowledge portal that will be available to any community wishing to create a collective impact initiative based on Strive’s model.
This exciting evolution of the Strive collective impact initiative is far removed from the isolated impact approach that now dominates the social sector and that inhibits any major effort at comprehensive, large-scale change. If successful, it presages the spread of a new approach that will enable us to solve today’s most serious social problems with the resources we already have at our disposal. It would be a shock to the system. But it’s a form of shock therapy that’s badly needed.
1. What Is Music?
1.1 Beyond “Pure” Music
For most of this entry, I focus on “pure” or “absolute” music—instrumental music that has no non-musical aspects, elements, or accompaniments. Most of the philosophers whose work is discussed below also put the focus here, for at least three reasons. The first is that pure music often presents the most difficult philosophical problems. It is less puzzling how a musical setting of a maudlin text could be expressive of sadness, for instance, than how a piece of music without even a programmatic text could be, since the emotional expression could somehow be transferred to the music from the text. The second reason is that, though the problems are more difficult, the solutions are likely to be more easily evaluated in the pure case. Just as apportioning blame is easier when one person is responsible for a crime than when the blame must be divided between a number of conspirators, the success of a solution to the problem of musical expressiveness may be clearer if it can explain the expressiveness of pure music. Thirdly, it is certain that the expressiveness of pure music will play a role in the expressiveness of “impure” music. Though its text may contribute to the expressiveness of a song, for instance, the musical aspects of the song must play some role. A maudlin text set to a jauntily upbeat melody will clearly not have the same overall expressiveness as the same text set to a plodding dirge. Though I have used expressiveness as an example here, these same points will apply to discussions of musical understanding and value. There may also be interesting questions about the ontology of “impure” music, but it is not clear they will be of the same kind as those about the expressiveness, understanding, and value of such music. (For a sustained critique of this general approach, see Ridley 2004.)
Given the global prevalence of rock music, broadly construed, it is plausible that song is the most common kind of music listened to in the contemporary world. Film and other motion pictures, such as television and video-games, are also ubiquitous. There has been some significant work done on the aesthetics of song (Levinson 1987; Gracyk 2001; Bicknell & Fisher 2013; Bicknell 2015), music drama (Kivy 1988b, 1994; Goehr 1998), and film music (Carroll 1988: 213–225; Levinson 1996b; Kivy 1997a; Smith 1996). (See also the chapters in part V of Gracyk & Kania 2011; on hybrid art forms more generally, see Levinson 1984 and Ridley 2004.) However, it seems that there is plenty of room for further work on the aesthetics of impure music. “Muzak” is another musical phenomenon that is ubiquitous, yet has received little serious attention from aestheticians, being used primarily as an example to elicit disgust. Whether or not there is anything interesting to say about Muzak philosophically, as opposed to psychologically or sociologically, remains to be seen.
1.2 The Definition of “Music”
Explications of the concept of music usually begin with the idea that music is organized sound. They go on to note that this characterization is too broad, since there are many examples of organized sound that are not music, such as human speech, and the sounds non-human animals and machines make. There are two further kinds of necessary conditions philosophers have added in attempts to fine tune the initial idea. One is an appeal to “tonality” or essentially musical features such as pitch and rhythm (Scruton 1997: 1–79; Hamilton 2007: 40–65; Kania 2011a). Another is an appeal to aesthetic properties or experience (Levinson 1990a; Scruton 1997: 1–96; Hamilton 2007: 40–65). As these references suggest, one can endorse either of these conditions in isolation, or both together. It should also be noted that only Jerrold Levinson and Andrew Kania attempt definitions in terms of necessary and sufficient conditions. Both Roger Scruton and Andy Hamilton reject the possibility of a definition in terms of necessary and sufficient conditions. Hamilton explicitly asserts that the conditions he defends are “salient features” of an unavoidably vague phenomenon.
The main problem with the first kind of condition is that every sound seems capable of being included in a musical performance, and thus characterizing the essentially musical features of sounds seems hopeless. (We need only consider the variety of “untuned” percussion available to a conservative symphonist, though we could also consider examples of wind machines, typewriters, and toilets, in Ralph Vaughan Williams’s Sinfonia Antartica, Leroy Anderson’s The Typewriter, and Yoko Ono’s “Toilet Piece/Unknown”.) Defenders of such a condition have turned to sophisticated intentional or subjective theories of tonality in order to overcome this problem. If the essentially musical features of a sound are not intrinsic to it, but somehow related to how it is produced or received, we can classify just one of two “indiscernible” sounds as music. The details of one’s theory of essentially musical features will determine how much avant-garde “sound art” counts as music.
If one endorses only an aesthetic condition, and not a tonality condition, one still faces the problem of poetry—non-musical aesthetically organized sounds. Levinson, who takes this approach, excludes organized linguistic sounds explicitly (1990a). This raises the question of whether there are further distinctions to be made between arts of sound. Andy Hamilton defends a tripartite distinction, arguing that sound art, as opposed to both music and literature, was established as a significant art form in the twentieth century (2007: 40–65). This is one reason that Hamilton endorses both tonal and aesthetic conditions on music; without the former, Levinson is unable to make such a distinction. On the other hand, by endorsing an aesthetic condition, Hamilton is forced to exclude scales and Muzak, for instance, from the realm of music. Kania (2013a) suggests that it is a mistake to think that music is necessarily an art, any more than language. He argues that we should distinguish music simpliciter from its artistic uses, just as we do in the cases of language and literature, depiction and painting, and so on. By means of a disjunctive condition, Kania also adds a further distinction to Hamilton’s set. Kania argues that music is
(1) any event intentionally produced or organized (2) to be heard, and (3) either (a) to have some basic musical feature, such as pitch or rhythm, or (b) to be listened to for such features. (2011a: 12)
The latter disjunct allows for two indiscernible works, neither of which strictly possesses basic musical features, yet one of which is music and the other sound art because of the complex way in which the former is intended to be approached. Kania’s approach thus draws on some of the machinery of recent definitions of art in place of an appeal to an aesthetic condition. In doing so, however, it may be that Kania has slipped back into defining music as essentially artistic. For trenchant criticisms of the attempt to give necessary and sufficient conditions for music, see Kingsbury & McKeown-Green 2009 and McKeown-Green 2014. Stephen Davies (2012) suggests that an adequate definition would have to deflect the complex nature of music, appealing at least to its intentional, structural, historical, and cultural aspects.
Having discussed complications, it’s worth returning to the basic idea of “organized sound”. Most theorists note that music does not consist entirely of sounds. Most obviously, much music includes rests. You might think that silence can function only to organize the sounds of music. One counterargument is that an understanding listener listens to the rests, just as she listens to the sounds (Kania 2010). Another is to provide putative cases of music in which the silences are not structural in the way ordinary rests are. John Cage’s 4′33″ is frequently discussed, though there is broad agreement that this piece is not silent—its content is the ambient sounds that occur during its performance. Anyway, both Stephen Davies (1997a) and Andrew Kania (2010) argue that Cage’s piece is not music—Davies because those sounds fail to qualify as organized, Kania because they fail to meet a tonality condition. Kania considers several other contenders for the label of “silent music”, arguing that there are indeed extant examples, most notably Erwin Schulhoff’s “In Futurum” from his Fünf Pittoresken, which predates Cage’s 4′33″ by some 33 years.
2. Musical Ontology
Musical ontology is the study of the kinds of musical things there are and the relations that hold between them. The most discussed issues within this field have been the metaphysical nature of works of classical music (the “fundamentalist debate”), and what it is to give an “authentic performance” of such works. Recently there has been growing interest in the ontologies of other musical traditions, such as rock and jazz, and discussion of the methodology and value of musical ontology. (For a more detailed overview of these debates, see Kania 2008a,b, 2013b, and Matheson & Caplan 2011.)
2.1 The Fundamentalist Debate
Musical works in the Western classical tradition admit of multiple instances (performances). Much of the debate over the nature of such works thus reads like a recapitulation of the debate over the “problem of universals”; the range of proposed candidates covers the spectrum of fundamental ontological theories. We might divide musical ontologists into the realists, who posit the existence of musical works, and the anti-realists, who deny their existence. Realism has been more popular than anti-realism, but there have been many conflicting realist views. I begin with three unorthodox realist views before moving on to more orthodox Platonist and nominalist theories, concluding with a consideration of anti-realism.
Idealists hold that musical works are mental entities. Collingwood (1938) and Sartre (1940) respectively take musical (and other) works to be imaginary objects and experiences. The most serious objections to this kind of view are that (i) it fails to make works intersubjectively accessible, since the number of works going under the name The Rite of Spring will be as multifarious as the imaginative experiences people have at performances with that name, and (ii) it makes the medium of the work irrelevant to an understanding of it. One might have the same imaginative experience in response to both a live performance and a recording of The Rite of Spring, yet it seems an open question whether the two media are aesthetically equivalent. But see Cox 1986, and Cray & Matheson forthcoming, for recent attempts to revive idealism.
David Davies argues that musical works, like all works of art, are actions, in particular the compositional actions of their composers (2004). Thus he revives what we might call an “action theory” of the ontology of art. (An earlier defender of such a view is Gregory Currie (1989), who argues that artworks are types of action, rather than the particular actions with which Davies identifies them.) Although deciding between theories of musical ontology is always to some extent a matter of finding a balance between the benefits of a theory and its cost in terms of our pre-theoretic intuitions, action theories have a particularly hard row to hoe since they imply that an instance of a work is some action performed by a composer, rather than a performance. In order to make up for such damage to our intuitions the theoretical benefits of an action theory would have to be quite extensive.
Guy Rohrbaugh has proposed a new ontological category for musical, and other multiple works of art (2003). He argues that since the kinds of things we attribute to musical and other art works, such as modal and temporal flexibility, cannot be accounted for by any extant ontological theory and, moreover, that these problems arise not just for artworks, but such things as “species …, clubs, sorts of artifact, and words” (199), we are justified in positing a new kind of entity: a historical individual that is “embodied in”, but not constituted by, physical things such as scores and performances. (For criticism of this view, see Dodd 2007: 143–66.)
Most theorists think that some kind of Platonist or nominalist theory of musical works is more plausible than those so far considered. Nominalists hold that musical works are collections of concrete particulars, such as scores and performances (Goodman 1968; Predelli 1995, 1999a,b, 2001; Caplan & Matheson 2006). While this view is attractive because it appeals only to the least problematic kinds of entities, it faces serious challenges. Though many of our claims about musical works may be paraphrasable into claims about sets of possible performances, some seem to make intractable reference to works. For instance, most performances of The Rite of Spring—even including the possible ones—include several wrong notes. Thus it is difficult to imagine how the paraphrase schema will avoid the nonsensical conclusion that The Rite of Spring contains several wrong notes. The solution to this problem seems to lie in an appeal to the work as independent of its various performances, but such an appeal seems unavailable to the nominalist. (For a recent defense of nominalist theories against some standard objections, see Tillman 2011.)
Platonism, the view that musical works are abstract objects, is perhaps the currently dominant view, since it respects more of our pre-theoretic intuitions about musical works than any of the other theories. On the other hand, it is the most ontologically puzzling, since abstract objects are not well understood. Nonetheless, Platonism has been tenacious, with much of the debate centering around what variety of abstract object musical works are. What we might call “simple Platonism” (known simply as “Platonism” in the literature), is that works are eternal existents, existing in neither space nor time (Kivy 1983a,b, Dodd 2007). According to “complex Platonism”, musical works come to exist in time as the result of human action. The view is motivated by a number of features of musical practice, including the intuition that musical works are creatable, the attribution of various aesthetic and artistic properties to works, and the fine-grained individuation of works and performances (e.g., in terms of who composed them, or what instruments they are properly performed upon) (Ingarden 1961; Thomasson 2004; Wolterstorff 1980; Wollheim 1968: 1–10, 74–84; Levinson 1980, 1990b, 2013a; S. Davies 2001: 37–43; Howell 2002; Stecker 2003a: 84–92).
In contrast to all these realist views stand those of the anti-realists, who deny that there are any such things as musical works. An early proponent of such a view is Richard Rudner (1950), though it is difficult to say whether he is best interpreted as an eliminativist or a fictionalist, the two anti-realist views currently on the table. According to eliminativists, there are no such things as musical works, and thus we ought to stop trying to refer to them. Ross Cameron (2008) defends such a view, but only with respect to “Ontologese”—the language we speak when we do ontology. He argues that ordinary English locutions such as “there are many musical works” can be true without there being any musical works. (For critical discussion, see Predelli 2009 and Stecker 2009.) According to fictionalists, the value of discourse about musical works is not truth, and thus we ought not to abandon the discourse despite the non-existence of its subject matter, but rather adopt a different, make-believe attitude towards it (or perhaps we already do so). (See Kania 2008c, 2013b; for criticism, see Letts 2015.)
Much of this debate over the fundamental ontological category to which musical works belong has turned on “technical” issues, that is, controversial general metaphysical claims about the nature of properties, causation, embodiment, and so on (e.g., Howell 2002; Trivedi 2002; Caplan & Matheson 2004, 2006; Dodd 2007; Cameron 2008). In the face of this, some theorists have pointed out that musical works are cultural entities, and thus the methodology appropriate to uncovering their ontological status might be quite different from that of general metaphysics (Goehr 1992; S. Davies 2003a; D. Davies 2004; Thomasson 2006, Kania 2008c). There currently seems to be as much interest in the methodological questions as in first-order theorizing. (For recent examples, see Kania 2008c; D. Davies 2009, 2017; Predelli 2009; Stecker 2009; Dodd 2010, 2013; and Mag Uidhir 2013.)
2.2 Higher-level Ontological Issues
It might seem that, since musical works are ontologically multiple, once we have figured out their true nature, we will know what relation holds between the work and its instances. However, since the fundamentalist debate is about the basic ontological category to which works belong, resolving that debate may leave open many questions about the instantiation relation. For instance, is the use of a harpsichord required to instance Bach’s Brandenburg Concerto No. 5 in performance? Would producing harpsichord-like sounds on a synthesizer do just as well? What about using another keyboard instrument from Bach’s time, or a modern piano? Learning that musical works are, say, eternal types will not necessarily help settle this issue of “authentic performance”, which is perhaps the most discussed ontological issue, of interest to philosophers, musicologists, musicians, and audiences alike.
There have been two sources of widespread confusion in the debate over authenticity in performance. One is a failure to recognize that authenticity is not simply a property, but a relation that comes in degrees and along different “vectors”. Something may be more authentic in one regard and less authentic in another (S. Davies 2001: 203–5). Another is the assumption that authenticity is an evaluative concept, in the sense that “authentic” implies “good”. That this is not the case is clear from the fact that an authentic murderer is not a good thing (S. Davies 2001: 204). Thus, our value judgments will be complex functions of the extent to which we judge performances authentic in various regards, and the values we assign to those various kinds of authenticity.
The central kind of authenticity that has been discussed is authenticity with respect to the instantiation of the work. Most agree that the fullest such authenticity requires the production of the right pitches in the right order. Pure sonicists argue that this is sufficient (e.g., Kivy 1988a). Timbral sonicists argue that these pitches must also have timbres reflecting the composer’s instrumentation (e.g., Dodd 2007: 201–39). Instrumentalists argue that such sounds must be produced on the kinds of instruments specified in the score (e.g., Levinson 1990c). Much of the debate is over what kinds of aesthetic or artistic properties are essential to musical works. If the limpid textures of Bach’s Brandenburg Concerto No. 5 are essential to it, then one cannot authentically instance the work using a grand piano instead of a harpsichord. As such, the debate reflects a wider one in aesthetics, musical and otherwise, between formalists (or empiricists, or structuralists), who believe that the most important properties of a work are intrinsic ones, accessible to listeners unaware of the historical and artistic context in which it was created, and contextualists, who believe that a work is essentially tied to its context of creation. Stephen Davies has argued for a strong contextualism, claiming that one cannot give a single answer to the question of whether particular instrumentation is required for the fully authentic instantiation of a work. Works can be ontologically “thicker” or “thinner” as a result of the specifications of a composer working within certain conventions (1991, 2001). The more properties of an authentic performance a particular work specifies, the thicker it is. Thus for some works (typically earlier in the history of Western music) instrumentation is flexible, while for others (for example, Romantic symphonies) quite specific instrumentation is required for fully authentic performances.
In addition to the question of what constitutes authenticity, there has been debate over its attainability and value. Those who question its attainability point to our historical distance from the creation of some works (Young 1988). We may no longer be able to read the notation in which the work is recorded, or construct or play the instruments for which it was written. If so, full authenticity is not attainable. But we rarely have no idea about these matters, and thus we might achieve partial authenticity (S. Davies 2001: 228–34). Those who question the value of authenticity often target kinds other than work-instantiation. For instance, one might question the value of producing a performance that authentically captures the sound of performances as they took place in the context of a work’s composition, on the basis that musicians were not as highly skilled then as now, for instance (Young 1988: 229–31). Such arguments, though, have no consequences for the value of work-instantiation. Some argue that although we might attain an authentic instance of a work, the idea that we might thereby hear the work as its contemporaries heard it is wishful thinking, since the musical culture in which we are immersed enforces ways of listening upon us that we cannot escape (Young 1988: 232–7). Thus the point of such authenticity is questioned. In response, we may consider not only the possibility that we are in a better position to appreciate historical works than contemporary ones, but also the remarkable flexibility people seem to show in enjoying many different kinds of music from throughout history and the world (S. Davies 2001: 234–7).
(For an excellent overview of the authentic performance debate, see S. Davies 2001: 201–53. For an investigation of authenticity with respect to things other than instantiation of the work, see Kivy 1995, Gracyk 2001, and Bicknell 2015. Some recent work has, like the fundamentalist debate, taken a methodological turn, e.g., S. Davies 2008; Dodd 2010, 2015.)
A second area that may be independent of the fundamentalist debate is that of comparative ontology. (For dispute over this framing issue, see Brown 2011, 2012, and Kania 2012.) Just as classical works from different historical periods may be ontologically diverse, so may works from different contemporary traditions. Theodore Gracyk has argued that instances of works of rock music are not performances. Rather, the work is instanced by playing a copy of a recording on an appropriate device (1996). Stephen Davies has argued that rock is more like classical music than Gracyk acknowledges, with works for performance at the heart of the tradition, albeit works for a different kind of performance (2001: 30–6). Gracyk’s view has been amplified and defended in attempts to find a place for composition, live performance, and performance skill within his basic framework (Kania 2006, Bruno 2013, Bartel 2017).
Work on the ontology of jazz has centered around the nature of improvisation, particularly the relation between improvisation and composition (Alperson 1984, 1998; Valone 1985; Brown 1996, 2000; Hagberg 1998; Gould & Keaton 2000; Sterritt 2000; and Young & Matheson 2000; Bresnahan 2015; Love 2016; Magnus 2016). This has been a useful reminder that not all music is the performance of pre-composed works (Wolterstorff 1987: 115–29). However, it must be noted that improvisation can occur within the context of such a work, as in the performance of an improvised cadenza in a classical concerto. Some have argued that there is not as significant a distinction between improvisation and composition as is usually thought (Alperson 1984). Others have argued that all performance requires improvisation (Gould & Keaton 2000). Yet others restrict the possibility of improvisation to certain kinds of musical properties, such as “structural” rather than “expressive” ones (Young & Matheson 2000). However, the arguments are not compelling. Usually they turn on equivocal use of terms such as “composition” and “performance”, or beg the question by defining improvisation in terms of deviation from a score or variation of a limited set of “expressive” properties.
Though jazz is not necessarily improvisational, and very few jazz performances lack any sort of prior compositional process, the centrality of improvisation to jazz presents a challenge to the musical ontologist. One might argue that jazz works are ontologically like classical works—composed for multiple, different performances—but that they tend to be thinner, leaving more room for improvisation (Gould & Keaton 2000; Young & Matheson 2000). The difficulty is to specify the work without conflating one work with another, since tokening the melody is not required, and many works share the same harmonic structure. As a result, some argue that the performance is itself the work (Alperson 1984; Hagberg 2002; S. Davies 2001: 16–19). One problem here is parity with classical music. If jazz performances are musical works in their own right, it is difficult to deny that status to classical performances of works. This seems to multiply works beyond what we usually think is necessary. A third possibility is that in jazz there are no works, only performances (Brown 1996, 2000: 115; Kania 2011b). This is counterintuitive if “work” is an evaluative term, but it is not obvious that this is the case.
Julian Dodd (2014a) argues that the kinds of considerations adduced in favor of these views confuse questions of ontology with questions of value. Jazz is ontologically like early classical music, according to Dodd: the focus of critical attention is the improvisatory performance rather than the composition it instantiates, but that composition is no less a musical work for that difference in critical emphasis. Similar considerations might be adduced against the increasingly complicated ontologies of rock referred to above. Such arguments return us to debates about the methodology of musical ontology.
A third topic of ontological discussion at the “higher” level is the nature of the elements of musical works, such as melodies, harmonies, and rhythms, and how they come together to form complex wholes. At present only Roger Scruton (1997: 19–79; 2007) and Stephen Davies (2001: 47–71) have addressed these questions in depth from a philosophical perspective, but they will be important to understanding the very nature of music, if an appeal is made to such “basic musical features” as pitch and rhythm in the definition of music (see section 1.2, above).
3. Music and the Emotions
The most widely discussed philosophical question concerning music and the emotions is that of how music can express emotions. (For a more extensive introduction, see part II of Gracyk & Kania 2011; for a thorough treatment, see S. Davies 1994.) There is a second group of questions centered around listeners’ emotional responses to music. These include questions about why and how we respond emotionally to music, the value of such responses, and why we choose to listen to music that elicits “negative” responses from us, such as sadness. Theorists typically restrict themselves to “pure” or “absolute” music for simplicity, though it is surprising how many central examples fall outside this boundary through being program music or song. The reason given for the restriction is usually that it is easier to understand how music with an accompanying text, say, could express the emotions evident in the text. On the other hand, an important criterion for the evaluation of such music is how appropriately the composer has set her chosen text to music. So an accompanying text is clearly not sufficient for the musical expression of an emotion. Thus, a better reason for initially putting such music to one side is that the interrelation of music and text, or other elements, is likely to be highly complex, and best approached with as well-developed a theory of the more basic phenomena in hand as possible.
3.1 Emotions in the Music
Pieces of music, or performances of them, are standardly said to be happy, sad, and so on. Music’s emotional expressiveness is a philosophical problem since the paradigm expressers of emotions are psychological agents, who have emotions to express. Neither pieces of music, nor performances of them, are psychological agents, thus it is puzzling that such things could be said to express emotions. One immediately helpful distinction is that between expression and expressiveness, or expressivity. Expression is something persons do, namely, the outward manifestation of their emotional states. Expressiveness is something artworks, and possibly other things, possess. It is presumably related in some way to expression, and yet cannot simply be expression for the reason just given.
An obvious way to connect expressiveness with expression is to argue that pieces of music or performances of them are expressions of emotion—not the piece’s or performance’s emotions, but rather those of the composer or performer. There are two major problems with this “expression theory”. The first is that neither composers nor performers often experience the emotions their music is expressive of as it is produced. Nor does it seem unlikely that a composer could create, or a performer perform, a piece expressive of an emotion that she had never experienced. This is not to deny that a composer could write a piece expressive of her emotional state, but two things must be observed. The first is that for the expression theory to be an account of musical expressiveness, at least all central cases of expressiveness must follow this model, which is not the case. The second is that if a composer is to express her sadness, say, by writing a sad piece, she must write the right kind of piece. In other words, if she is a bad composer she might fail to express her emotion. This brings us to the second major problem for the expression theory. If a composer can fail to express her emotions in a piece, then the music she writes is expressive independently of the emotion she is experiencing. Thus music’s expressiveness cannot be explained in terms of direct expression.
Those usually cited as classic expression theorists include Tolstoy (1898), Dewey (1934), and Collingwood (1938). (A classic critique is Tormey 1971: 97–127.) These theorists have been defended in recent discussions, however, from accusations that they hold the simple view outlined above. See, for example, Ridley 2003 and Robinson 2005: 229–57. Jenefer Robinson has attempted to revive the expression theory, though she defends it as an interesting and valuable use of music’s expressiveness, rather than an account of expressiveness itself (2005: 229–347; 2011).
A second way to link music’s expressiveness with actual felt emotions is through the audience. The “arousal theory” is, at its simplest, the claim that the expressiveness of a passage of music amounts to its tendency to arouse that emotion in an understanding listener. Some problems with this simple version can be overcome. For instance, some emotions, such as fear, require a particular kind of intentional object (something threatening), yet there is no such object at hand when we hear fearful music. Thus it seems implausible to claim the music’s fearfulness resides in its arousal of fear in us. But the arousalist can broaden the class of aroused emotions to include appropriate responses to the expressed emotion, such as pity. It can also be objected that many understanding listeners are not moved to respond emotionally to music. But the arousalist can simply restrict the class of listener to which his theory appeals to those who are so moved. The main problem with the theory seems more intractable. Essentially it is that in order for a listener to respond appropriately to the music, she must discern the emotion expressed therein. This is most obvious when the response is a sympathetic, rather than empathetic, one. The listener’s response depends upon the emotion expressed, and thus the expressiveness of the music cannot depend upon that response. (A sophisticated defense of the arousal theory is to be found in Matravers 1998: 145–224, though see the second thoughts in Matravers 2011.)
Despite the problems of the arousal theory as the whole story of musical expressiveness, there is a growing consensus, thanks largely to the work of Jenefer Robinson (1994, 2005), that our lower-level, less cognitive responses to music must play some role in the emotional expressiveness we attribute to it. However, this role is likely to be a causal one, rather than part of an analysis of what it is for music to be emotionally expressive.
At the other end of the spectrum from the expression and arousal theories is “associationism”—the theory that music’s expressiveness is a matter of conventional association of certain musical elements, such as slow tempi, with certain emotional states, such as sadness. Again, though associations must play some role in some cases of expression—for instance, cases of particular musical instruments (e.g., the snare drum) being associated with particular situations (e.g., war)—this role is likely to be a peripheral one. The main reason is the logical-priority problem, already encountered by the arousal theory. The expressiveness of music seems closely related to the resemblance between the dynamic character of both the music and the emotions it is expressive of. It is implausible that funeral dirges might just as easily have been in quick-paced compound time. Even in such cases as the snare drum, it seems possible that the instrument was chosen for the battlefield in part due to the expressive character of its sonic profile.
The cliché that music is “the language of the emotions” is often considered as a possible starting point for a theory of musical expressiveness. The idea combines the attractive simplicity of conventionality that associationism makes the basis of music’s meaning with the formalist notion that music’s order is to be understood in terms of syntax. (See Lerdahl & Jackendoff 1983 for a theory along the latter lines.) However, although Deryck Cooke (1959) and Leonard Meyer (1956) are often cited as proponents, it is not clear that anyone holds a full-blown version of the theory. The central problem is the great disparities between language and music, in terms of the ways in which each is both syntactic and semantic (Jackendoff 2011). A serious subsidiary problem is that even if music were about the emotions in the way that language can be, that would not account for music’s expressiveness. The sentence “I am sad” is about the emotions, but it is not expressive of sadness in the way a sad face is, though I could use either to express my sadness. Most people agree that music’s relation to emotion is more like that of a sad face than that of a sentence. (This last criticism is also applicable to Susanne Langer’s theory (1953) that music is about the emotions in a symbolic yet non-linguistic way.)
Several theorists have defended accounts of musical expressiveness known variously as resemblance, contour, or appearance theories (e.g., Kivy 1989, though see Kivy 2002: 31–48 for recent qualms; Budd 1995: 133–54; S. Davies 1994: 221–67). The central idea is that music’s expressiveness consists in the resemblance between its dynamic character and the dynamic character of various aspects of people experiencing emotions. The aspects appealed to include the phenomenology of the experience of the emotion, the emotion’s typical facial expression, the contour of vocal expression typical of a person experiencing the emotion, and the contour of bodily behavior typical of such a person, including “gait, attitude, air, carriage, posture, and comportment” (S. Davies 2006: 182). Stephen Davies argues that such theories hold music to be expressive in a literal albeit secondary sense of the term. We say that a piece of music is sad in the same sense in which we say that a weeping willow is sad (S. Davies 2006: 183). Such uses are no more metaphorical than a claim that a chair has arms.
Jerrold Levinson agrees that there is an important resemblance between the contour of music expressive of an emotion and the contour of typical behavioral expressions of that emotion. He objects, however, that such an account cannot be the whole, or even the most fundamental part of the story (Levinson 1996a, 2006b). He drives in a wedge precisely at the point where an appeal is made to the resemblance between the music and typical behavioral expressions. He asks what the manner and extent of the resemblance between the two must be, precisely, in order for the music to count as expressive of some emotion. After all, as is often said, everything resembles everything else in all sorts of ways, and so one could point out many resemblances between a funeral march and an expression of joy, or for that matter a cup of coffee and sadness. The resemblance theorist must give some account of why the funeral march, and not the cup of coffee, is expressive of sadness and not joy. Levinson claims that the obvious answer here is that the funeral march is “readily-hearable-as” an expression of sadness. If this is correct, then the resemblance the music bears to emotional behavior is logically secondary—a cause or ground of its expressiveness. The expressiveness itself resides in the music’s disposition to elicit the imaginative response in us of hearing the music as a literal expression of emotion. As a logical consequence, the imaginative experience prompted must include some agent whose expression the music literally is.
In reply to this kind of objection, Stephen Davies has emphasized the role of the listener’s response in resemblance theories. Such responses have always been appealed to by such theories, as evidenced by Malcolm Budd’s talk of “hearing as” (1995: 135–7), and Peter Kivy’s discussion of our tendency to “animate” that which we perceive (1980: 57–9). But Davies now makes the appeal quite explicit and central, devoting as much space to explication of the response-dependent nature of expressiveness as to the role of resemblance (2006). To the extent that the response is one of imaginative animation, there will be agreement between Levinson and the resemblance theorist. But Davies, at least, continues to resist Levinson’s theory of imagined literal expression on two fronts.
The first is in his refusal to accord a role to imagination in our response to expressive music. For Davies, the response of the appropriate listener upon which the expressiveness of the music depends is one of an experience of resemblance (2006: 181–2). In other words, the answer to the question of the manner and extent to which music must resemble some behavioral expression in order to qualify as expressive of a particular emotion is simply “in whatever manner and to whatever extent leads us to experience the music as resembling the emotion”. No further attempt at analysis is given, presumably because Davies believes this is the end of the philosophical line. Further explanation of our tendency to respond in this way to music will be in some other domain, such as the psychology of music. Since Davies’s theory posits at base a contour-recognition experience while Levinson’s posits an imaginative experience of expression, the link between literal expression and musical expressiveness looks closer in Levinson’s theory than in Davies’s. An empirical consequence seems to be that Davies’s theory will predict weaker emotional responses to music than Levinson’s. Whether or not this is an advantage or disadvantage of the theory depends on the empirical facts about how we respond emotionally to music.
On the second front Davies is more aggressive. He attacks the idea that we imagine a persona inhabiting the music, or giving rise to it in some way as the literal expression of its emotional experiences (1997b; 2006: 189–90; see also Kivy 2002: 135–59; 2006; Ridley 2007). The simplest objection is that there is empirical evidence that understanding listeners do not engage in any such imaginative activity. This is decisive if true, but there is plenty of room to quibble about our ability to test for the right kinds of imaginative activity, the selection of the subjects, and so on. A different kind of objection is that if the persona theory were true, expressive music could not constrain our imaginative activity in such a way as to yield convergent judgments of expressiveness among understanding listeners. That is, different people, or the same person on different occasions, could imagine a single passage as the expression of an imagined agent’s anger, excitement, passionate love, and so on. The problem is compounded when we consider the narrative(s) that we might imagine to explain the agent’s (or agents’) emotional progress in an extended work. It is not clear even how we might individuate one such agent from another, re-identify an agent over time, and so on. These criticisms seem a little uncharitable. As mentioned above, Levinson is open to a resemblance account’s playing an important role in our identification of the particular emotions expressed in a passage. So Levinson can simply help himself to whatever level of specificity of emotions expressed the best resemblance account has to offer. As for the individuation and re-identification of the imagined agents, no mention has been made of such complexities so far and, as Levinson says, these “are matters on which the account of basic musical expressiveness can remain agnostic” (2006b: 204).
Since both the resemblance and ready-hearability theories make music’s expressiveness a matter of response-dependence, both must answer the question of whose responses are to be taken into account. Both appeal to listeners with understanding of the kind of music under discussion. This raises the question of what counts as understanding (a matter considered in section 4, below). One thing that cannot be appealed to in this connection, though, is an ability to hear the right emotional expressiveness in music, for this would render any account circular. Levinson points out that one can appeal to everything but such understanding of expressiveness, and thinks that sensitivity to expressiveness will come along with the rest (1996a: 109). Aside from this, though, there is the fact that some apparently understanding listeners simply deny that music is expressive of emotion. Levinson thinks we can reasonably exclude such listeners from the class whose responses are appealed to in the analysis of expressiveness, since only those generally disposed to hear expressiveness are reasonably appealed to in determining the specific expressiveness of a particular passage, which are the terms in which he puts his theory.
This suggestion raises the specter of an “error theory” of music’s expressiveness, that is, a theory that all claims of emotional expressiveness in music are strictly false. A major burden of such a theory is to explain away the widespread tendency to describe music in emotional terms. This has been attempted by arguing that such descriptions are shorthand or metaphor for purely sonic features (Urmson 1973), basic dynamic features (Hanslick 1854), purely musical features (Sharpe 1982), or aesthetic properties (Zangwill 2007). There are many problems with such views. For one thing, they seem committed to some sort of scheme for reduction of expressive predicates to other terms, such as sonic or musical ones, and such a scheme is difficult to imagine (Budd 1985a: 31–6). For another, anyone not drawn to this theory is likely to reject the claim that the paraphrase captures all that is of interest and value about the passage described, precisely because it omits the expressive predicates (Davies 1994: 153–4). Perhaps Levinson, Davies, et al., are right that most people hear most music as emotionally expressive. It is a nice question, however, whether, if our musical culture fell into the grip of anti-expressivist formalism—in the future or the past—it would be appropriate to exclude ourselves from the reference class of listeners appealed to by such theories as those of Davies and Levinson. If so, this would point to a kind of high-level contextualism or cultural relativity about the expressiveness of music, making it a more contingent matter than most theorists imply. On the other hand, such an occurrence may be unlikely if our tendency to “animate” non-sentient objects is deeply rooted in our biology.
3.2 Emotions in the Listener
There are two main questions asked about our emotional responses to pure music, apart from what role they play in expressiveness. The first is analogous to the “paradox of fiction”. It is not clear why we should respond emotionally to expressive music when we know that no one is undergoing the emotions expressed. The second is a variant of the “paradox of tragedy”. If some music arouses “negative” emotional responses in us, such as sadness, why do we seek out the experience of such music? I address these questions in turn.
One might simply deny that we respond emotionally to music. R.A. Sharpe (2000: 1–83), while stopping short of outright denial, suggests that our emotional responses to music are a much smaller component of our understanding experience of it than the philosophical literature on the topic would suggest (see also Zangwill 2004). Peter Kivy (1999) goes almost all the way, arguing that those who report emotional reactions to music are confusing the pleasure they take in the beauty of the music, in all its expressive individuality, with the feeling of the emotion expressed.
Though most philosophers appeal to typical experience and empirical data to reject the plausibility of Kivy’s position, they admit the problem that motivates it, namely, the conceptual tension between the nature of music and the nature of the emotions we feel in response to it. To elaborate, there is some consensus that emotions are cognitive, in the sense that they take intentional objects—they are about things—and that the nature of a given emotion’s intentional object is constrained. For instance, in order to feel fear, one must believe that there is something that is threatening (the “intentional object” of the emotion). When one listens to a sad piece of music, however, one knows there is nothing literally feeling an emotion of sadness, and thus it is puzzling that one should be made sad by the experience.
Part of the puzzle can be resolved by acknowledging that not all emotional responses (broadly construed) are cognitive (Robinson 1994; 2005: 387–400). For instance, it is no more puzzling that one could be startled by a fortissimo blow to a bass drum than that one could so respond to a thunderclap. Similarly, we might respond non-cognitively to basic musical elements such as tension and release just as we do to the tension we observe in a balloon being over-inflated, or to the release of doves into the air.
As for higher-order emotional responses, there are at least two possible explanations. One appeals to the phenomenon of “emotional contagion” or “mirroring responses” (S. Davies 1994: 279–307; 2006: 186–8). When surrounded by moping people, one tends to become sad. Moreover, such a “mood” is not about some intentional object. One is not necessarily sad for the mopers, nor whatever they are sad about, if anything. Similarly, when “surrounded” by music that presents an appearance of sadness, one might become sad, but not sad about the music, or anything else (Radford 1991). Jenefer Robinson has objected that such contagion is only well documented as a form of non-cognitive response, and in response to restricted cues: “After all, if living with a basset hound were like living with a depressed person, would normal folk choose a basset hound as their life’s companion?” (2005: 387–8). But it may be that music’s dynamic character is enough for it to cross the threshold into the realm of resemblances that elicit mirroring responses from us.
The ready-hearability theorist is at a slight advantage in accounting for our emotional responses to music’s expressiveness, since according to that theory one imagines that the music is a literal expression of emotion. This means that emotional responses to music’s expressiveness are no more puzzling than emotional responses to other imagined expressive agents, such as fictional characters in novels. The advantage is only slight because the question of how and why we respond emotionally to fictions is itself a philosophical problem of some magnitude. Nonetheless, there are several theories available (see entry on imagination, section 5.3). One difficulty with appealing to a solution to the paradox of fiction is that it is not clear that our emotional responses to the expressiveness of music are the same as those to emotionally expressive characters. For instance, the standard example of an emotional response to music is being made sad by a funeral march, while the standard example of emotional response to fiction is (something like) to feel pity for a sad character. If the former is to be explained in the same way as the latter, we would expect listeners to feel pity in response to the funeral march (pity for the persona imagined to be expressing herself through it). However, it seems reasonable to ask for more detailed examples since, on the one hand, we surely do feel sad (in some sense) in response to tragedy and, on the other, it is not obvious that we do not feel pity (or imagined pity, or whatever one’s preferred theory of emotional response to fiction posits) in response to tragic music.
Leaving behind the topic of how and why we respond emotionally to pure music, I turn to the question of why we seek out music that arouses “negative” emotions in us, such as sadness, assuming henceforth that we are in fact aroused to such emotions. (Since this problem is a close analog of the “paradox of tragedy”, some of the references below are to literature not explicitly about music, but the transposition of the arguments to music is not difficult to imagine. See also imagination, section 5.4. One obvious suggestion is that our negative emotional response is a price we are willing to pay for the benefits of engaging with the piece in question, such as “positive” emotional responses. While this sort of reasoning may play a role, it cannot be a complete solution, since for most pieces that elicit negative responses there are many others that elicit fewer or less intense negative responses for the same positive payoff. More sophisticated versions of the same suggestion argue for a more intimate link between the negative emotional response and the payoff. One such is that we cannot understand the work we are engaging with without understanding its expressiveness, which brings the negative response with it (Goodman 1968: 247–51; S. Davies 1994: 311–20; Goldman 1995: 68; Robinson 2005: 348–78). Closely related is the benefit of an aesthetic or artistic appreciation of the expressiveness responsible for the negative response.
Shifting focus from benefits located in the expressive work to those located in the emotional listener, the oldest suggestion is Aristotle’s theory of catharsis, according to which our negative emotional response to negatively expressive art results in a (positive) psychological purgation of the negative emotions (Poetics, 6, 1449b21–1450b20). A less therapeutic approach is the suggestion that, since these emotions are without “life implications” (that is, as discussed above, we are not sad about any actual tragic events), we are able to take advantage of our responses to savor these emotions, gain an understanding of them, and be reassured that we have the capacity to feel them (Levinson 1982). A question that must be answered by any defender of this kind of response is the extent to which it explains, first, our persistence in seeking out music that elicits negative emotional experiences and, second, the enjoyment we seem to take in these negative responses, as opposed to putting up with them for their related benefits.
A different kind of solution to the problem argues that responses such as sadness that are evoked by expressive music are not really negative. Hume (1757) argues, with respect to tragedy, that the pleasure we take in the mode of presentation of the content of an artwork does not simply counterbalance the negative emotion evoked, but rather subsumes and transforms it into a pleasurable feeling. Kendall Walton argues (also with respect to tragedy) that sadness is not in itself negative. Rather, it is the situation to which sadness is the response that is negative. Thus, though we would not seek out the death of a loved one, given the death we “welcome” the sorrow (Walton 1990: 255–9). Similarly, we cannot affect the sadness of a musical work by not listening to it, and so we welcome our sorrowful response to it as appropriate. Walton’s approach has the advantage over Hume’s of not positing a rather obscure psychological process. A difficulty for both, however, is the extent to which they accord with our emotional experience in rejecting the characterization of our sadness as negative.
Stephen Davies (1994: 316–20) argues that the kinds of solutions given above construe the problem too narrowly. Though he agrees that we accept the negative responses some music elicits because we are interested in understanding it, he points out that this gives rise to the further question of why we should be so interested in understanding something that brings us pain. His short answer is “We are just like that” (1994: 317) and he begs off giving the long answer, since it seems to be the equivalent of giving an account of human nature or the meaning of life. However, he points out that human life is suffused with activities that people willingly engage in despite, or indeed partially because of, the difficulties they bring about. Many things, from watching the news, through mountain-climbing, to raising children, are fraught with well-known difficulties, including negative emotional responses. Yet we enthusiastically engage in such activities because that is the kind of creature we are.
Finally, it must be noted that though I have spoken baldly of “emotions” above, there is, first, a consensus that we do not respond to music with fully-fledged emotions and, second, increasing sophistication in philosophical theories of emotions. Regarding the first point, our emotional responses to music lack many of the behaviors characteristic of the supposedly felt emotion. Some take our responses instead to be weaker versions of ordinary emotions (Davies 1994: 299–307), others take them to share some aspects of ordinary emotions, such as their characteristic affective states, but to lack others, such as a specific intentional object (Levinson 1982: 319–22; Radford 1989). A third option is that we respond to expressive music with “quasi-emotions”, that is, the affective components of fully-fledged emotions that we imagine to be fully-fledged (Walton 1990: 240–55). Apart from debate over which of these proposals most closely matches our experience, there is the question of how well each of them fits with the various solutions discussed above to the problem of our negative responses to music, and with empirical work on the emotions, which leads me to the second point: There is growing interest in both the variety of emotions and affective states more broadly, and non-cognitive aspects of, or alternatives to, cognitive theories of the emotions (e.g., Robinson 2005; Bicknell 2007, 2009; Cochrane 2010a,b; Budd 2011; S. Davies 2011a,b; Young 2014).
4. Understanding Music
A central topic in the understanding of paradigmatically representational art forms, such as literature and film, is what constitutes an acceptable interpretation of a work. One debate concerns whether there is a single correct interpretation of any work or multiple acceptable interpretations; another concerns the constraints on acceptable interpretations, e.g., the extent to which the artist’s intentions may or should be taken into account. Though these questions seem equally applicable to musical works (S. Davies 2002a; Dubiel 2011), most of the literature on understanding music has focused on the nature of more basic musical understanding, presumably because this seems more mysterious than the understanding of language or pictures. (The latter are significant philosophical topics in their own right, of course, and it is an interesting question whether there should similarly be a general theory of music as a medium, independent of questions of music’s artistic or aesthetic use (Kania 2013a).)
An additional complication is that two arguably distinct activities go by the name of “interpretation” in music: what might be called performative and critical interpretation (Levinson 1993). While a critical interpretation of a musical work (often called an analysis) is roughly equivalent to an interpretation of a novel, typically expressed linguistically, a performative interpretation is a way of playing or singing the work, typically expressed in a performance of it. It is not easy to clarify the relationship between these two kinds of musical interpretation, but see Levinson 1993, Maus 1999, Thom 2007, and Neufeld 2012. For the remainder of this section, I focus on basic musical understanding.
Animals can hear music in a sense—your dog might be frightened by the loud noise emitted by your stereo. But we do not hear music in this way; we can listen to it with understanding. What constitutes this experience of understanding music? To use an analogy, while the mere sound of a piece of music might be represented by a sonogram, our experience of it as music is better represented by something like a marked-up score. We hear individual notes that make up distinct melodies, harmonies, rhythms, sections, and so on, and the interaction between these elements. Such musical understanding comes in degrees along a number of dimensions. Your understanding of a given piece or style may be deeper than mine, while the reverse is true for another piece or style. I may hear more in a particular piece than you do, but my understanding of it may be inaccurate. My general musical understanding may be narrow, in the sense that I only understand one kind of music, while you understand many different kinds (Budd 1985b: 233–5; S. Davies 2011c: 88–95). Moreover, different pieces or kinds of pieces may call on different abilities, since some music has no harmony to speak of, some no melody, and so on. Many argue that, in addition to purely musical features, understanding the emotions expressed in a piece is essential to adequately understanding it (e.g., Ridley 1993; S. Davies 1994; Levinson 1990d: 30; Scruton 1997; Robinson 2005: 348–78). (We have seen, in the previous section, the role this claim plays in some explanations of why we seek out music that elicits negative emotional responses.)
Though one must have recourse to technical terms, such as “melody”, “dominant seventh”, “sonata form”, and so on, in order to describe specific musical experiences and the musical experience in general, it is widely agreed that one need not possess these concepts explicitly, nor the correlative vocabulary, in order to listen with understanding (Budd 1985b; 245–8; S. Davies 1994: 346–9; Levinson 1990d: 35–41; see DeBellis 1995 and Huovinen 2008 for dissenting views). However, it is also widely acknowledged that such explicit theoretical knowledge can aid deeper musical understanding and is requisite for the description and understanding of one’s own musical experience and that of others (Kivy 1990).
At the base of the musical experience seem to be (i) the experience of tones, as opposed to mere pitched sounds, where a tone is heard as being in “musical space”, that is, as bearing relations to other tones such as being higher or lower, or of the same kind (at the octave), and (ii) the experience of movement, as when we hear a melody as wandering far afield and then coming to rest where it began. Roger Scruton (1983; 1997: 1–96) argues that these experiences are irreducibly metaphorical, since they involve the application of spatial concepts to that which is not literally spatial. (There is no identifiable individual that moves from place to place in a melody (S. Davies 1994: 229–34).) Malcolm Budd (1985b) argues that to appeal to metaphor in this context is unilluminating since, first, it is unclear what it means for an experience to be metaphorical and, second, a metaphor is only given meaning through its interpretation, which Scruton not only fails to give, but argues is unavailable. Budd suggests that the metaphor is reducible, and thus eliminable, apparently in terms of purely musical (i.e., non-spatial) concepts or vocabulary. Stephen Davies (1994: 234–40) doubts that the spatial vocabulary can be eliminated, but he is sympathetic to Budd’s rejection of the centrality of metaphor. Instead, he argues that our use of spatial and motion terms to describe music is a secondary, but literal, use of those terms that is widely used to describe temporal processes, such as the ups and downs of the stock market, the theoretical position one occupies, one’s spirits plunging, and so on. The debate continues in Budd 2003, Scruton 2004, and S. Davies 2011d.
Davies is surely right about the ubiquity of the application of the language of space and motion to processes that lack individuals located in space. The appeal to secondary literal meanings, however, can seem as unsatisfying as the appeal to irreducible metaphor. We do not hear music simply as a temporal process, it might be objected, but as moving in the primary sense of the word, though we know that it does not literally so move. Andrew Kania (2015) develops a position out of this intuition by emphasizing Scruton’s appeal to imagination while dropping the appeal to metaphor, arguing that hearing the music as moving is a matter of imagining that its constituent sounds move (see also de Clercq 2007 and Trivedi 2011: 116–18). Kania explicitly models his theory on the popular Waltonian theory of fiction (Walton 1990). Whether this is a benefit or a cost depends on how similar our basic experiences of music and fictions are (and, of course, on the truth of Walton’s theory of fiction).
Moving from basic musical understanding of short passages to that of complex works of instrumental music, Jerrold Levinson makes a case against what he sees as the paradigmatic conception of musical understanding as a matter of the apprehension of form (1997). As a replacement for this “architectonicism”, he promotes “concatenationism”: the view that basic musical understanding consists in following the musical and emotional qualities of passages of music, and transitions between them, that are short enough to be apprehended as a single experience (“quasi-hearing”). He qualifies this basic idea considerably, allowing for the experience of previous parts of the piece, and anticipation of future parts, to modify one’s experience of the music in the moment. He also allows that architectonic awareness may play a role in enhancing one’s moment-to-moment experience, and may even play an ineliminable part in the understanding of some pieces. Nonetheless, Levinson maintains that the part played by architectonic knowledge in basic musical understanding is minimal, and that the cases where architectonic knowledge is necessary are very much the exception.
Peter Kivy has taken up the gauntlet on behalf of the architectonicists (2001; see also S. Davies 2011c: 95–9). While Kivy acknowledges that the kinds of experiences Levinson champions are necessary to basic musical understanding, he defends the idea that grasping the large-scale form of most pieces of Western classical music, at least, is necessary for an adequate understanding of them. He does not deny that the experience of the form of a piece in listening to it is more intellectual than quasi-hearing, but he rejects Levinson’s argument that it is non-perceptual, and thus marginal to an adequate experience of it as music. Rather, Kivy argues, such experience is a matter of bringing one’s perceptions under sophisticated concepts. (A tactic Kivy does not consider is an attempt to hoist Levinson with his own contextualist petard, arguing that even if architectonic listening is non-perceptual it is a well-established mode of understanding pieces of music in the Western classical music world, and thus that to argue music must be understood primarily perceptually is to beg the question.)
Despite the heated debate that Levinson’s view has generated, it is not clear that there is so much disagreement between the architectonicist and the concatenationist. Both agree that the aspect of musical understanding the other emphasizes is a non-negligible component in the full understanding of a musical work. Levinson has been explicit since the first publication of his view that he intends it more as a polemic against and corrective to architectonicism, rather than as a replacement for it (1997: ix–xi; 1999: 485; 2006a). Perhaps that purpose has now been fulfilled, but see Huovinen 2013 for a revival of the debate and an attempted synthesis.
(For more detailed introductions to these and other topics in musical understanding, see S. Davies 2011c and Huovinen 2011.)
5. Music and Value
There are many disputes about the nature of aesthetic and artistic value, including even whether these are synonymous terms or distinct concepts. This is not the place to go into those disputes. (For an excellent introduction, see Stecker 2003b.) With regard to the value of art in general, there are two central points on which there is some consensus. First, most philosophers take the value of artworks to be intrinsic to them, in the sense that the value of a work is tied essentially to the experience that the work affords. Thus, artworks are not (properly) valued merely instrumentally, as means to some end, but “for” or “in” themselves (Budd 1995: 1–16; S. Davies 1987: 198–200; Scruton 1997: 374–6; Levinson 1992: 15–17). The question that naturally arises next is what it is about the experience an artwork affords that makes it valuable. That pleasure is a non-negligible part of the answer to this question is the second point upon which there is some consensus (S. Davies 1987: 198–205; Levinson 1992; Kivy 1997b: 212–17). However, concomitant with this consensus is an acknowledgment that simple pleasure taken, say, in the sensuousness of the musical sounds is too trivial to ground the great value we attribute to music. In looking for other sources, the puzzle that arises is that music is supposed to be an abstract art, par excellence. If this means that music is divorced from everything else that concerns us in the “real world” (that is, extra-musical life), it is puzzling why we should find so valuable the experiences musical works afford. Like the questions about musical expressiveness and understanding considered above, this puzzle is most evident with respect to “pure” instrumental music, though solutions to it may be applicable to the purely musical aspects of “impure” musical works such as songs.
There are a couple of dimensions to most solutions of the puzzle of pure music’s value. One is the extent to which it is agreed that music really is abstract. To the extent that one thinks that music is not unrelated to the real world, one will be able to argue that music’s value is at least no more puzzling than the value of arts more obviously related to the real world, such as literature and representational painting and sculpture. (See Ridley 2004 for an extended critique of taking the concept of “pure” music as central to musical aesthetics.) The other dimension to most solutions of the puzzle of pure music’s value is the extent to which one thinks the abstractness of music is the source of its value. Thus, two theorists might agree on the extent to which music is related to the real world (by being expressive, say), yet one locate its primary value in that expressiveness while the other locates it in its abstract, purely formal features.
Unsurprisingly, perhaps, those who take the experience of music’s expressiveness to be a more intimately emotional one (through being predicated on imaginative engagement with the music, say), tend to emphasize that experience as more central to musical understanding, and thus attribute a larger part of music’s value to its expressiveness. Those, on the other hand, whose theory of the experience of musical expressiveness is more distanced (a matter of noticed resemblance, say), tend to place less weight on this element in their theories of musical value. At one extreme of this spectrum is the position that denies music to be expressive at all, and thus cannot attribute music’s value to its expressiveness (most notably Hanslick 1854; see also Zangwill 2004). Apart from this extreme position, most theorists agree that music’s value is to be located in different kinds of experience, including the experience of formal and expressive features; their disagreements are mostly about the relative weight of these different kinds of experiences in a complete account of musical value.
As with the debate between architectonicists and concatenationists, discussed above, the extent of the disagreement between various parties to this dispute is not clear. Those defending the value of music’s expressiveness tend to claim that its contribution to overall musical value is significant, but many stop short even of according it primary value, and do not argue against the value of formal elements of musical works (Ridley 1995: 192–6; Levinson 1982, 1992: 20–2, 1996a: 124–5; Robinson 2005: 413; Young 2014: 150–4). They content themselves rather with pointing out the ways in which expressiveness can be valuable. These include many of the features discussed above with respect to our interest in listening to music that arouses negative affective states in the listener. To recap, our emotional responses to music’s expressiveness can enable us to savor, understand, and even, to some extent, experience emotions in a “safe” way. They can provide us with a cathartic release, and enable us to participate in a kind of communication with the composer or communion with other members of our musical culture (Levinson 1982, 1996a; Higgins 1991, 2012; S. Davies 1994: 271). Emphasizing this last point, Roger Scruton argues that music’s value is quasi-moral, in that the kinds of music one responds to, or those valued in a particular culture, reflect the state of that individual’s or culture’s “soul” (1997: 380–91; see also S. Davies 1994: 275–6.) Stephen Davies (1987: 207–12) has argued that there are beneficial consequences of an interest in music in general, such as heightened emotional and aural sensitivity, which are not properly valued as consequences of listening to individual pieces, but which lead us to value musical culture as a whole (just as we value kindness for its consequences in general, while rejecting instrumental motivations for kind acts as inappropriate).
On the other hand, those who defend the value of formal features tend to argue that the value of those features is primary, and that the value of music’s expressiveness is overrated. Peter Kivy, for instance, argues that expressive properties serve merely
to highlight musical structure, as color might be used by the painter to emphasize contour or mass. Other expressive properties serve as structural properties in their own right. (1990: 196)
Alan Goldman (1992) argues against the idea that music is particularly suited to the expression of emotion, claiming that representational arts such as painting and literature are better at this. Moreover, he disputes the grounds of the value of expressiveness given above. For example, he denies that music can teach us much about the emotions, and that we can savor our negative emotional responses to expressive music. Similarly, after an extensive discussion of the nature of musical expressiveness, Malcolm Budd argues that such expressiveness cannot come close to explaining music’s value (1995: 155–7). He points to the facts that much valuable music is not expressive and that the equal expressiveness of different pieces would be outweighed in a comparative evaluation by the differences between them in terms of formal value.
Both Budd and Goldman locate the value of pure music precisely in the abstractness that to some seems the greatest obstacle to explaining that value. Budd (1995: 164–71) points out that we have an extensive interest in abstract forms outside the realm of music, such as those of natural formations and in the decorative arts, and that such forms are capable of possessing valued aesthetic properties, such as beauty, elegance, and so on. Thus, it is no surprise that we value highly the works of an art of abstract forms. Such artworks can exhibit such forms at a level of complexity not found in nature or the decorative arts and, further, can be about their abstract patterns, as when the first movement of a piano sonata “says something about” sonata form. Though these claims may be true, and make the case of music less puzzling by showing it shares the grounds of its value with other things, they also leave the primary puzzle largely unsolved, namely, why it is that we find the experience of abstract forms so valuable. (In Budd’s defense, this puzzle is no longer one specific to the philosophy of music.)
Goldman (1992), by contrast, emphasizes the detachment from the world of practical affairs implied by music’s abstractness. The complexity of great musical works demands the active engagement of our cognitive faculties, which we find rewarding, yet not in the pursuit of some practical goal that could be frustrated. However, there are some links between music and the “real world” in his account of the value of the musical experience. For one, we value pieces that lead to a satisfying resolution, particularly if they are colored with negative affect, since this experience is rare in everyday life. For another, we feel a particularly close communion with the minds of the composer and other listeners, since we feel we are going through an experience just like one they have also had.
Peter Kivy offers a similar, if less detailed, defense of this “liberating” power of music (1997b: 179–217). One problem for Kivy’s account is that he maintains both that our experience of music has “complete freedom from connection with our workaday world” (1997b: 209), and that the properties of the music relevant to our experience include, “most importantly, its expressive properties” (1997b: 205, original emphasis). Without some account of how our interest in the expressive properties of a piece does not lead us back to the workaday world (as Kivy insists such properties do in representational arts, such as literature and painting) it seems we should prefer a theory, such as Budd’s or Goldman’s, that provides some account of the real-world role our experience of these properties plays. These issues are thrown into sharp relief in the debate over how instrumental musical works could be “profound” (Kivy 1990: 202–18; 2003; S. Davies 2002b; Dodd 2014b).
The relationship between musical and ethical values (as opposed to musical examples of more general ethical concerns, such as cultural appropriation) is an area ripe for investigation. Extant work includes Higgins 1991; Scruton 1997: 457–508; Gracyk 2007: 153–90; Hagberg 2008; Kivy 2008; Maus 2011; and Levinson 2013b.
(For introductions to the evaluation of musical works and performances, see S. Davies 1987, Levinson 1990e, and Gracyk 2011.)
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