A Cross-Cultural Investigation of the Perception of Emotion in Music: Psychophysical and
Cultural Cues
Author(s): Laura-Lee Balkwill and William Forde Thompson
Source: Music Perception: An Interdisciplinary Journal, Vol. 17, No. 1 (Fall, 1999), pp. 43-64
Published by: University of California Press
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© 1999 by the regents of the
university of California
Music Perception
Fall 1999, Vol. 17, No. 1, 43-64
A Cross-CulturalInvestigationof the Perceptionof
Emotionin Music: Psychophysicaland CulturalCues
LAURA-LEE BALKWILL & WILLIAM FORDE THOMPSON
AtkinsonCollege, YorkUniversity
Studiesof the link betweenmusic and emotionhave primarilyfocused
on listeners'sensitivityto emotionin the musicof theirown culture.This
sensitivitymayreflectlisteners'enculturationto the conventionsof their
culture's tonal system. However, it may also reflect responses to
psychophysicaldimensionsof soundthat areindependentof musicalexperience.A model of listeners'perceptionof emotion in music is proposed in which emotionin musicis communicatedthrougha combination of universaland culturalcues. Listenersmay relyon eitherof these
of musicallyexpressedemocues,or both,to arriveat an understanding
tion.Thecurrentstudyaddressedthe hypothesesderivedfromthismodel
using a cross-culturalapproach.The following questionswere investigated:Canpeopleidentifythe intendedemotionin musicfroman unfamiliartonal system?If theycan, is theirsensitivityto intendedemotions
associatedwith perceivedchangesin psychophysicaldimensionsof music?ThirtyWesternlistenersratedthe degreeof joy,sadness,anger,and
peacein 12 Hindustaniragaexcerpts(fieldrecordingsobtainedin North
India).In accordancewith the raga-rasasystem,each excerptwas intendedto conveyone of the fourmoodsor "rasas"that correspondedto
the four emotionsratedby listeners.Listenersalso providedratingsof
variables:tempo,rhythmiccomplexity,melodiccomfourpsychophysical
Listenersweresensitiveto the intendedemotion
and
range.
plexity, pitch
in ragas when that emotion was joy, sadness,or anger.Judgmentsof
emotion were significantlyrelatedto judgmentsof psychophysicaldimensions,and, in somecases,to instrumenttimbre.Thefindingssuggest
thatlistenersaresensitiveto musicallyexpressedemotionin an unfamiliar
cues.
tonalsystem,andthatthissensitivityis facilitatedby psychophysical
ReceivedNov. 2, 1998; acceptedfor publicationApr.28, 1999.
is generallyagreedthat humans tend to make associationsbetween
emotionand music,but manyquestionsremainas to the natureof these
associations.Forexample,althoughit is well establishedthat peoplemake
similarjudgmentswhen they are asked to describemusicallyexpressed
Addresscorrespondenceto Laura-LeeBalkwillor WilliamFordeThompson,Departmentof Psychology,AtkinsonCollege,YorkUniversity,Toronto,OntarioM3J1P3,Canada,
or [email protected])
(e-mail:[email protected]
43
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44
Laura-Lee Balkwill & William Forde Thompson
emotion (Behrens& Green, 1993; Dolgin & Adelson, 1990; Gabrielsson
& Juslin, 1996; Gerardi& Gerken, 1995; Haack, 1980; Kratus, 1993;
Robazza,Macluso, &cD'Urso, 1994; Terwogt&cvan Grinsven,1991; Thompson & Robitaille, 1992), it is not known to what extent these judgmentsare basedon knowledgeof culturalconventionsor on basicperceptual cues that transcendculturalboundaries.
Sometheoristsfavor an enculturationexplanation- that musicalmeaning is determinedexclusivelyby culturalconvention(Blacking,1973; Feld
& Keil, 1994; Walker,1996). These theorists may acknowledgecertain
universalsin music, such as octave equivalence(Dowling &cHarwood,
1986), but they assume that the interpretationof emotional meaningin
musicis determinedsolely by enculturationto a specifictonal system.Feld
and Keil (1994, p. 85) providean exampleof this perspective:"Allmusical
sound structuresare socially structuredin two senses:they exist through
socialconstruction,andtheyacquiremeaningthroughsocialinterpretation."
Empiricalevaluationof thisissuehas beencomplicatedby the unicultural
focus of previousresearch.1With few exceptions(Deva &cVirmani,1975;
Gregory&cVarney,1996; Hoshino, 1996), the existingresearchon emotional meaningin musichas focusedon musicfromthe Westerntonal system and on the judgmentsof Westernlisteners.This body of researchdoes
not, therefore,providea basis for evaluatingthe enculturationhypothesis
of the perceptionof emotion in music.
Althoughno one woulddenythe influenceof cultureon individuals'judgmentsof emotionin music,theremay also be universalinfluencesunderlying musicallyexpressedemotion. In additionto the conventionsof a specifictonalsystem,listenersmaybe influencedby variationsin psychophysical
dimensionsof music, such as tempo, timbre,and stimuluscomplexity.
For our purposes,a psychophysicaldimensionwill be defined as any
propertyof sound that can be perceivedindependentof musical experience, knowledge,or enculturation.Forexample,speedof pulse, or tempo,
is a psychophysicaldimension,whereasa perfectcadenceis not. Complexity is also a psychophysicaldimension,becausejudgmentsof complexity
do not rely on familiaritywith the stimulus.Earlystudiesof experimental
aestheticsrevealedthat judgmentsof complexity are stronglyinfluenced
by such factors as the numberof elementsperceived,and the degreeof
informationredundancy(for a review,see Berlyne,1971). Suchvariables
can be manipulatedin unfamiliaror otherwisemeaninglessstimuluspatterns (e.g., random dot patterns),resultingin reliablechanges in judged
complexity.
A numberof studies have reportedstrong relationshipsbetweenemotional judgmentsand psychophysicaldimensionssuch as tempo, timbre,
1. The term "uni-cultural" refers to studies in which the listeners and the music stimuli
are of the same culture.
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Emotion in Music
45
andloudness(Behrens& Green,1993; Gabrielsson& Juslin,1996; Gerardi
&C
Gerken,1995). Otherevidencesuggeststhat increasesin perceivedcomplexity may be associatedwith arousal responses(Berlyne,1971, p. 69)
and shifts in aestheticevaluation(Day, 1967, 1968; Vitz, 1966b). These
dimensionsof musicarenot culture-specific,and hence,they may function
as universalcues for the emotionalevaluationof all auditorystimuli.Although the basis for such evaluationsis unknown, they may have originatedas adaptiveresponsesto acousticinput- for example,to threatening
and nonthreateningsounds.
A Model of the Perception of Emotion in Music
Studiesof the perceptionof unfamiliarmusichaveillustratedthat listenerswho are unfamiliarwith a musicalidiom are nonethelessable to apprehendstructuralaspectsof that musicby attendingto basicstatisticalproperties.Withoutknowledgeof the stylisticconventionsof the music,listeners
attendto the statisticaldistributionof pitches as one way of interpreting
North Indianmusic (Castellano,Bharucha&cKrumhansl,1984), Balinese
music (Kessler,Hansen, &cShepard,1984), and artificialtonalities(Oram
& Cuddy,1995). These findingsillustratethat listenersare highly adaptable in theirabilityto interpretunfamiliarmusicalstyles.
It is reasonableto assume that the perceptionof emotion in music is
similarlyadaptable.Consciouslyor intuitively,composersand performers
may draw upon basic perceptualcues (in the form of psychophysicaldimensionsof music) as well as culturallydeterminedconventions,to express emotion in music. Listeners,in turn, may attend to either of these
sourcesof emotionalmeaning.Becauseemotionis conveyedthroughboth
culture-specificand perceptualcues, there is often redundancyin how a
piece reinforcesa specificemotion. The more cues that are presentin the
music- both culture-specificand perceptual- the strongerthe expression
of emotion.Thus,listeners'understandingof the musicallyexpressedemotion shouldbe affectedboth by theirfamiliaritywith the conventionsof the
tonal systemand also by their sensitivityto basicperceptualcues.
In Figure1, we presenta model of how listenersattendto the cultural
and universalcues embeddedin a piece of music to arriveat an understandingof musicallyexpressedemotion.The expressionof emotionin the
music of a given culture should be most salient to listenersof the same
culture,due to the sharedunderstandingof the conventionalrepresentation of emotionwithin that tonal system.
Whenfamiliarculturalcues areabsent,the listenermustpay moreattention to basic perceptualcues, such as tempo and complexity.These cues
allow listenersto gain a generalunderstandingof the intendedemotion.
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46
Laura-Lee Balkwill & William Forde Thompson
Fig. 1. The figure illustrates several points: (l)Each tonal system has its own distinct cultural cues pertaining to musically expressed emotion that may not overlap with the culturespecific emotion cues of another tonal system. (2) Psychophysical cues pertaining to emotion are present in all tonal systems and thus provide an overlap of information facilitating
cross-cultural recognition of musically expressed emotion.
It is possible to argue that the association of psychophysical dimensions
of music with the perception of emotions is also the result of enculturation
and may differ between cultures. If so, then listeners should be unable to
identify an intended emotion in music from an unfamiliar tonal system. If
these associations are not culturally determined, however, then listeners
should be able to transcend cultural boundaries and recognize intended
emotions in music from an unfamiliar tonal system. The present study was
designed to investigate this possibility.
Our first hypothesis was that listeners enculturated to one tonal system
can accurately perceive the intended emotion in music from an unfamiliar
tonal system. Our second hypothesis was that listeners use psychophysical
dimensions of music as cues to identify musically expressed emotions. To
evaluate these hypotheses, listeners enculturated to Western tonal music
were asked to judge the emotional content of music performed in an unfamiliar tonal system from another culture. Listeners also provided judgments of several psychophysical dimensions in the same musical stimuli.
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Emotionin Music
47
Pilot Study
As an initialassessmentof the model,a pilot studywas conducted.Fourteen studentsat YorkUniversity,Toronto,were exposedto six shortmusic
samples(lessthan2 mineach)in the tonalsystemsof Kyrgystan,Hindustan,
and the Navaho Indians.2Two samples,one representingjoy and one representingsadness,were takenfromeach tonal system.Half of the students
were asked to rate their perceptionsof tempo and complexity for each
sampleon scalesnumberedone to nine (low to high). The other half were
askedto ratetheirperceptionsof joy and sadnesson similarscalesfor each
sample.
The resultsindicatedthat listenersassignedhigh ratingsof joy (mean=
6.75) and low ratingsof sadness (mean = 3.14) to the three samplesintended to convey joy. Conversely,they assigned high ratings of sadness
(mean= 5.62) and low ratingsof joy (mean= 2.33) to the three samples
intendedto convey sadness.These resultssupportthe view that listeners
canperceivemusicallyexpressedemotionin musicfroman unfamiliartonal
system.
A correlationalanalysisrevealedthe relationshipbetweenlisteners'ratings of joy and tempo, and sadnessand tempo. The correlationbetween
joy and tempo, r(10) = .87, p = .023, and between sadness and tempo,
r(10) = -.86, p = .027, supportedthe view that listeners'ratingsof emotion
in the music were influencedby the psychophysicaldimensionof tempo.
The directionof these relationshipsis identicalto those reportedby previous studies involvingonly Westerntonal music (see Haack, 1980, for a
review).The correlationsbetweenratingsof joy and complexityand ratings of sadnessand complexitywere not significant.
The resultsof this pilot studysuggestedthat listenersof one culturecan
perceivethe intendedemotionin musicfromunfamiliartonal systems.Furthermore,there was a very strong relationshipbetweenjudgmentsof joy
and sadnessand judgmentsof tempo.
A largerexperimentwas conductedto corroborateand expand upon
these preliminaryfindingswith a wider range of emotion judgmentsand
psychophysicaljudgments.We focused on Westernlisteners'perceptions
of emotionsandpsychophysicaldimensionsin samplesof Hindustaniragas.
The Hindustaniclassicaltonal systemis particularlysuitedto the study
by virtueof the raga-rasaaspect of Hindustanimusic theory.Hindustani
classicaltheory specificallyoutlines traditionalrelationshipsbetweenthe
ragas and their correspondingmoods, or rasas. An interestingaspect of
2. Musicstimuli:Track2 and 10 fromSongsof the Navajo.(1993). JVCWorldSounds,
New Mexico;Track2 and 14 fromSongsof Kyrgyzstan.(1992).WorldMusic
Albuquerque,
Library;Bhupalialap, andJogyaalap, takenfromfield recordings(India,Dec. 1996).
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48
Laura-Lee Balkwill 8c William Forde Thompson
classicalHindustanimusic is the performer'sfreedomto reinforcethe expressedrasaof each piece.The emotionalthemeof a ragais most strongly
expressedduringthe alap* or improvisational,sectionof the performance
(fora moredetaileddescriptionof Hindustanimusictheory,see Kaufmann,
1968).
By using field recordings(obtainedduring a researchtrip to India in
December1996), we were able to obtain alap samplesfor which the individualperformer'sintentionto evoke a specificrasacould be verified.The
two performerswho participatedin this studywere askedto play the alap
portionsof ragasthattheywould normallychoose if theywishedto convey
four specific emotions: ]oy/hasya, sadness/karuna, anger/raudra,and peaceiulness/shanta.
These four targetemotionshave a well-documentedhistoryin the psychologicalliteratureandthey arethe nearestequivalentsof fourof the nine
rasas identified in Hindustani music theory (A. Ranade, S. Rao, &cS.
Devasthali,personalcommunication,December1996 to January1997).
Joy and sadnesshave been the most reliablyidentifiedand distinguishable
musicallyexpressedemotionsin WesternmusicbyWesternlisteners(Haack,
1980). Anger has also been identifiedin Westernmusic, albeit with less
consistency(Behrens& Green,1993; Terwogt&cvan Grinsven,1991; Thompson & Robitaille, 1992). Angeris not often conveyedin Hindustani
music: The correspondingrasa, raudra,is very rarely used and is often
consideredto be incongruentwith the North Indianview of musicas inherently peaceful(A. Ranade,S. Rao, & S. Devasthali,personalcommunication, December1996 to January1997). Peace,on the other hand, is consideredthe basic rasa of all ragas. Peace was also includedas a suitable
oppositeto angerand becauseseveralstudieshave indicatedthat peacefulness (a.k.a. restfulness)is reliably perceived in music (Terwogt & van
Grinsven,1991; Thompson& Robitaille,1992).
A numberof psychophysicaldimensionsof musichave beenlinkedwith
judgmentsof emotion in music, includingtempo, melodic contour,harmonic complexity,melodiccomplexity,rhythmiccomplexity,articulation,
dynamics,consonance/dissonance,
pitchregister,andtimbre(Crozier,1974;
Gabrielsson& Juslin,1996; Gerardi& Gerken,1995; Hevner,1935, 1936;
Holbrook& Anand,1990;Kastner& Crowder,1990;Kratus,1993;Nielzén
& Cesarec, 1982; Rigg, 1940; Scherer& Oshinsky,1977; Vitz, 1966a;
Wedin, 1972). Five of these dimensionswere examined:tempo, melodic
complexity,rhythmiccomplexity,pitch range,and timbre.
3. The alap is the opening section of any traditional Hindustani raga and is traditionally
used to set the mood, or rasa, of the rag before the set composition (the gat) section. Although performers must only use the notes within the chosen raga scale, the duration,
tempo, and rhythm of this section can be varied at their discretion.
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Emotion in Music
49
Among these psychophysicaldimensions,tempo has been most consistentlyassociatedwith emotionalcontent.Hevner(1935, 1936) reporteda
strong associationbetweenratingsof sadnessand joy in music and slow
and fast tempi,respectively.These findingshave been replicatedin a number of studies (for a review, see Haack, 1980) and more recently by
GabrielssonandJuslin(1996). In accordancewith thesefindingsfor Western tonal music, we predictedthat higherratingsof joy would be associatedwith higherratingsof tempo,whereashigherratingsof sadnesswould
be associatedwith lower ratingsof tempo.
Melodic and rhythmiccomplexitymay also be usefulin the differentiation of emotionsin music.Our predictionswere basedon both theoretical
and empiricalconsiderations.First,accordingto Berlyne's(1971) optimal
complexitymodel,listenersshouldpreferstimuliperceivedto havea middle
level of complexity.Becausethe ragas were unfamiliarto listeners,only
relativelysimplemelodiesandrhythmsshouldfall withinthis optimallevel.
Second,researchershave found that simplermelodies,that is, those containingfewervariationsof melodiccontourand morerepetition,are associatedwith positiveand peacefulemotions,while morecomplexmelodies,
that is, those featuringmore variationand less repetition,are associated
with anger and sadness (Crozier,1974; Imberty,1974; Vitz, 1966a). Finally,a numberof studieshave reportedan associationbetweenirregular
rhythmsand negativemoods and between regular,repetitive,or flowing
rhythmsand positive moods (Hevner,1935; Rigg, 1964). Basedon these
considerations,we predictedthat positive emotions would be associated
with relativelysimple melodies and rhythms,whereasnegativeemotions
would be associatedwith relativelycomplex melodiesand rhythms.
For pitch range, we predictedthat ragas perceivedas having a wider
pitchrangewouldbe associatedwithnegativeemotions.A numberof studies
haveprovidedstrongevidencethatlistenersexpectpitchproximityin melodies (e.g., Cuddy & Lunney,1995; Krumhansl,1995a, 1995b; Narmour,
1990, 1991; Schellenberg1996, 1997; Thompson,Cuddy& Plaus, 1997;
Thompson &cStainton, 1998). Thus, ragas perceivedto involve a wider
rangein pitchmay be less predictable,yieldinga higherlevel of arousal.In
addition,ragas involvinga narrowpitch range may be processedas one
auditorystream (Bregman,1990) and, hence, may be easier to process.
Ragas that are both more predictableand processedas a single auditory
streamshouldbe assignedrelativelyhigh ratingsfor positiveemotions(joy
andpeace)andrelativelylow ratingsfor negativeemotions(angerand sadness).
Timbrehas also been found to influencelisteners'ratingsof emotion in
music. Behrensand Green(1993) presentedlistenerswith improvisations
intendedto evoke specific emotions, performedon violin, timpani, and
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50
Laura-Lee Balkwill & William Forde Thompson
voice. Theyreportedthat theirlistenerswere moresensitiveto sadnessand
fearexpressedin violin and vocal improvisationsandto angerexpressedin
timpaniimprovisations.Gabrielssonand Juslin (1996) includetimbrein
some of theirpsychophysicalprofiles:musicperceivedas happywas characterizedas havinga "bright"timbre,musicperceivedas angrywas characterizedas having a "harsh"timbre, and music perceivedas having no
expressionwas characterizedhavinga "cold"timbre.
Becausethe alap samplesrecordedfor this studywere performedin two
distinctivetimbraiclasses(stringsand flute),this variablewas not ratedby
listenersbut includedas a coded variable.Interviewsconductedduringa
fieldresearchtripto Indiawith expertson Hindustanimusicindicatedthat
the rasaof raudra/anger
is most effectivelyexpressedon traditionalstringed
instruments,particularly
sitar,andit is almostneverexpressedon the bansuri
flute (A. Ranade,S. Rao, and S. Devasthali,personalcommunication,December1996 to January1997). Therefore,we predictedthat the flute timbrewould be associatedwith higherratingsof peace and the stringtimbre
would be associatedwith higherratingsof anger.
Method
LISTENERS
Fifteen men and 15 women from the York University community, ranging in age from 23
to 46 years, volunteered to participate in the study. All 30 were raised in a Western culture
and exposed to music of the Western tonal system. Two of them reported a minor amount
of exposure to Hindustani music as interested listeners but had no knowledge of the conventions of the Hindustani tonal system. The remaining 28 listeners indicated no familiarity
with Hindustani music.
Four experts on Hindustani music also participated in the study. These listeners had
either taught or studied Hindustani music for an average of 33 years each. The experts were
asked to identify each raga in addition to specifying the dominant rasa. All of them asserted
that the performances they heard were competent renditions of the ragas and that these
ragas were associated with the intended rasas.
MATERIALS
Cassette recordings of the alap portions of 12 raga performances were used in this experiment. The alaps in this study were field recordings (obtained during a 1996-1997 field
research trip in India) of performances by two professional Hindustani musicians: a bansuri
flute player and a stringed instrument player (sitar, dilruba, and surbahar). Both performers
had studied classical Hindustani music for over 20 years and had extensive experience
playing before audiences and making professional recordings.
During the recording sessions (conducted separately),each performerwas asked to choose
several ragas they would normally choose to evoke each of four target emotions: joy, sadness, anger, and peace. Then they were asked to play only a short alap from each raga they
had selected. The performers supplied the names of the ragas they had chosen, which were
later verified for spelling and associated moods (Danielou, 1991; Kaufmann, 1968).
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51
Emotion in Music
The performances were recorded on a portable AIWA cassette recorder.Three improvisations for each target emotion were recorded (for a total of 12) and dubbed onto separate
cassettes for randomization of presentation to listeners. The length of these recordings ranged
from 52.8 to 247.3 s (mean = 165.28 s). Table 1 lists the ragas selected by each of the two
performers. It may be noted that the performers independently chose two of the same or
similar ragas to convey the same emotions: Bhupali for joy and Yaman/YamanKalyan for
peace.
Ragas were presented to listeners on a CS 703D AKAI compact cassette deck through
Sennheiser HD 480 headphones. After each presentation, listeners' ratings were entered
directly onto a Power Macintosh computer.
A brief demographic questionnaire was completed by each listener. Some of the items
included were age, sex, cultural background, and familiarity with Western and Hindustani
music.
PROCEDURE
Listeners were tested individually. After filling out a demographic questionnaire, they
were told they would be hearing 12 ragas ranging in length from one to four minutes and
that for each raga they should indicate which of the four target emotions was most dominant. The ragas were presented in a different order to each of the 30 listeners.
After identifying the dominant emotion in each piece, listeners were asked to rate the
degree to which they believed that emotion was conveyed on a scale from one (emotion not
conveyed) to nine (emotion strongly conveyed). Next, they were asked to rate each piece on
similar scales for the other three target emotions, as well as for tempo, rhythmic complexity,
melodic complexity, and pitch range. Listeners were given definitions and verbal examples
of each of these psychophysical dimensions as follows:
For judgments of tempo, they were asked to think about the overall pace of the excerpt;
was it very fast (a rating of 9) or very slow (a rating of 1) or somewhere in between? For
judgments of melodic complexity, listeners were asked to think about how much was going
on melodically in the excerpt; was there a lot of repetition as in "Mary had a Little Lamb"?
Would it be easy to sing it back to themselves (very simple- a rating of 1)? Did the melody
Table 1
Musical Stimuli
Raga
Rasa
1
2
2
Bhupali
Khamaj
Bhupali
Hasya
(Joy)
Bansuri flute
Sitar (stringed)
Surbahar (stringed)
2
1
1
Jogya
Bhairavi
Bhopali-Todi
Karuna
(Sadness)
Dilruba (stringed)
Bansuri flute
Bansuri flute
1
2
1
Hindol
Adana
Sohini
Raudra
(Anger)
Bansuri flute
Sitar (stringed)
Bansuri flute
1
2
2
Yaman Kalyan
Yaman
Bhilaskhani
Shanta
(Peace)
Bansuri flute
Surbahar (stringed)
Dilruba (stringed)
Performer
Instrument
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52
Laura-LeeBalkwill& WilliamFordeThompson
changea greatdeal and go in unexpecteddirections;would it be difficultto sing it backto
themselves(verycomplex- a ratingof 9)?
For judgmentsof rhythmiccomplexity,listenerswere askedto imaginea drummeraccompanyingthe excerpt.Wouldthe drummerbe doingsomethingveryrepetitiousandeasy
to follow (verysimple- a ratingof 1), or would the drummerbe doing somethingvery
changeableand difficultto follow (verycomplex- a ratingof 9)? Forpitchrange,listeners
wereaskedto thinkabouthow low and how highthe melodyranged.Did it staywithinthe
samefew notes as in "Maryhad a LittleLamb"(a ratingof 1), or did it go veryhigh and
verylow likean Italianaria(a ratingof 9)?Theywereencouragedto ask questionsandseek
clarificationof any termsof whichthey were unsure.
Results and Discussion
Table2 illustratesthe correlationsbetweenmeanratingsof the four target emotionsin the 12 ragaalaps.Thereweretwo significantcorrelations
between joy and sadness and between anger and peace. These negative
relationshipswere expected:joy and sadnesswere perceivedas opposing
qualities,as were angerand peace.
Table 3 displays mean ratings of each emotion for ragas intendedto
conveyjoy, sadness,anger,and peace.The highestratingsfor joy and sadnesswere,as predicted,assignedto joyfuland sad ragas,respectively.However,the resultswere less clear for ratingsof anger and peace. Repeated
measuresanalysesof variancewere conductedfor each emotion scale, to
evaluatewhetherthe mean ratingsfor each emotion differedsignificantly
among the 12 ragas. Therewas a significantmain effect of raga for joy,
sadness,anger,and peace (p < .001 for each). These findingsindicatethat
listenersreliablydifferentiatedbetweenthe ragason the basisof emotional
content, even thoughthey had no familiaritywith North Indianmusic.
Table 2
Correlations of Mean Ratings of Emotions Perceived in
Hindustani Ragas
Joy
Sadness
Anger
Peace
Joy
1.000
p=.
-0.96
p = .000
-0.32
p = 303
-0.37
p = .233
Sadness
-0.96
p = .000
1.000
p=.
0.27
p = 396
0.38
p = .218
Anger
-0.32
p = .3O3
0.27
p = .396
1.000
p=.
-0.64
p = .O24
Peace
-0.37
p = .233
0.38
p = .218
-0.64
p = .O24
1.000
p=.
Note - Thevaluesrepresentcorrelationsbetweenmeanratingsof the 12 ragas.
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53
Emotionin Music
Table 3
Mean Ratings of Emotions Perceived in Hindustani Ragas
Type of Melody in Terms of Intended Emotion
Emotion
Joy
Sadness
Anger
Peace
Joy
SE
5.61
(0.41)
3.12
(0.34)
2.30
(0.38)
4.40
(0.35)
Sadness
SE
2.99
(0.38)
5.27
(0.39)
2.75
(0.36)
5.06
(0.40)
Anger
SE
5.12
(0.47)
3.54
(0.41)
3.37
(0.46)
3.69
(0.39)
Peace
SE
2.59
(0.35)
5.58
(0.39)
3.50
(0.39)
4.61
(0.48)
Rated
Note - The values represent means across ragas and listeners. Values in parentheses are mean standard errors.
Contrastanalyseswere conductedto assess the predictionthat mean
ratingsof a given emotionwould be significantlyhigherfor the ragasthat
were intendedto conveythat emotionthan for ragasnot intendedto convey that emotion. The mean ratingsfor the three ragas correspondingto
the ratedemotionwerecomparedwith the nineragasthatwereintendedto
convey a differentemotion. These analysesindicatedthat listenerswere
sensitiveto the intendedemotionin ragaswhen that emotionwas joy,sadness, or anger,but not when that emotionwas peace.
Table4 illustratestheseresults.First,the meanratingof joy for the three
ragasintendedto conveyjoy was higherthan the meanratingfor the nine
ragasnot intendedto convey joy. Second,the mean ratingof sadnessfor
the three ragas intendedto convey sadnesswas significantlyhigherthan
the mean ratingfor the nine ragasnot intendedto convey sadness.Third,
the meanratingof angerfor the threeragasintendedto convey angerwas
significantlyhigherthan the meanratingfor the nine ragasnot intendedto
conveyanger.Finally,the meanratingof peacefor the threeragasintended
to convey peace was not significantlyhigherthan the mean ratingfor the
nine ragas not intendedto convey peace. For three of the four emotions
considered,these resultssupportthe hypothesisthat people enculturated
to one tonal systemcan accuratelyperceivethe intendedemotionin music
of an unfamiliartonal system.
An analysisof sex revealedthatwomenweresignificantlymoresensitive
to the emotionof joy in the ragas,F(l,28) = 6.54, p < .05. No otherdifferences betweensexes were observed.
The next set of analysesaddressedour second researchquestion:Were
listeners'ratingsof emotion in the ragasinfluencedby theirperceptionof
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54
Laura-LeeBalkwillôc WilliamFordeThompson
Table 4
Mean Ratings of Emotion for Ragas Intended to Convey Specific
Emotions vs Ragas Intended to Convey Other Emotions
Emotion
Rated
MeanContrastResults
P
F
MeanRatingof Ragas
Intended(n = 3)
Other(n = 9)
5.61
5.27
3.37
4.61
Joy
Sadness
Anger
Peace
3.57
4.80
2.85
4.45
(0.41)
(0.39)
(0.46)
(0.48)
60.43
23.45
4.41
.70
(0.40)
(0.40)
(0.38)
(0.42)
.0001
.0001
.0366
.4032
Note - Valuesin parenthesesare meanstandarderrors.
psychophysicalcues? To evaluatethis question,we enteredmean ratings
for each of the four rated psychophysicalcues into stepwisemultipleregressionsfor eachemotion.One additional(unrated)predictor,timbre,was
also includedin the analysis.Timbrewas coded as a dichotomousvariable:
ragasperformedon a stringedinstrumentwere coded as 0, and ragasperformedon the flute were coded as 1. Tables5-8 show, for each of the four
emotions,the correlationand regressionresults.
Table5 revealsthat ratingsof joy were stronglyassociatedwith ratings
of tempo,rhythmiccomplexity,andmelodiccomplexity,but not with pitch
rangeor timbre.Stepwisemultipleregressionrevealedthat tempo and melodic complexityprovideduniquepredictivepower.As predicted,ratings
Table 5
Mean Joy Ratings: Correlations and Stepwise Multiple
Regression
Correlations
Tempo
J~5
fry
.000
p
Melodic
Rhythmic
Complexity Complexity
^76
.002
^66
.010
Pitch
Range
Timbre
~A4
/L3
.075
.685
Regression
R2= .91
AdjustedR2= .89
F = 47.39;SignifF=.0001
Variablesin the Equation
Variable
B
Tempo
120
AS
1L28
-.65
.30
-.40
Melodic
complexity
SEB
Beta
T
6^85
-2.17
SigT
XJÔÔÏ
.0578
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55
Emotion in Music
Table 6
Mean Sadness Ratings: Correlations and Stepwise Multiple
Regression
Correlations
Tempo
-.92
.000
Sadness
p
B
Variable
Tempo
Melodic
complexity
^98
.61
Rhythmic Melodic
Complexity Complexity
.75
.003
.64
.012
Pitch
Range
Timbre
-.53
.039
-.003
.990
Regression
R2 = .91
Adjusted R2 = .89
F = 44.19; SignifP=. 0001
Variables in the Equation
T
SEB
Beta
^4
.24
-1.33
.49
-6.93
2.53
SigT
M01
.0321
of joy were positivelyrelatedto ratingsof tempo. These resultsindicate
that meanjoy ratingscan be predictedby a weightedsum of mean tempo
ratingsand mean melodic complexity ratings.Together,these two variables accountedfor 91% of the variancein meanjoy ratings.
Ratingsof sadnesswere significantlycorrelatedwith ratingsof tempo,
rhythmiccomplexity,melodiccomplexity,and pitchrange,but not timbre.
Table 7
Mean Anger Ratings: Correlations and Stepwise Multiple
Regression
Correlations
Tempo
Anger
p
.007
.492
Variable
B
Timbre
1.07
Rhythmic Melodic
Complexity Complexity
.27
.203
.32
.155
Regression
R2 = 31
Adjusted R2 = .24
F = 4.51;SignifF=.O596
Variables in the Equation
Beta
SEB
.50
.56
Pich
Range
Timbre
.12
.356
.56
.03
T
2.12
SigT
.0596
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56
Laura-LeeBalkwill& WilliamFordeThompson
Table 8
Mean Peace Ratings: Correlations and Stepwise Multiple
Regression
Correlations
Tempo
Peace
p
^62
.015
Rhythmic Melodic
Complexity Complexity
^77
.002
Pitch
^69
.007
Range
Timbre
^40
.099
^J~5
.031
Regression
R2= .74
Adjusted R2 = .68
F = 12.48; SignifP=. 0025
Variable
B
Rhythm
Timbre
-.52
-.63
Variablesin the Equation
T
SEB
Beta
.13
.29
-.68
-.38
-3.88
-2.25
SigT
.0037
.0607
As expected, ratings of sadness had a strong negative relationshipwith
ratingsof tempo. Mean tempo ratingsand mean melodiccomplexityratings contributeduniquepredictivepowerin the regressionequation.These
two predictorswere highlysignificantand togetheraccountedfor 91% of
the variancein mean ratingsof sadness.
None of the listener-rateddimensionswere significantlycorrelatedwith
ratingsof anger.Timbre,however,was significantlycorrelatedwith these
ratings.Therewas a positiverelationshipbetweenratingsof angerand the
ragasperformedon stringedinstruments.In the stepwisemultipleregression, timbrewas the only significantpredictorof mean angerratings,accountingfor 31% of the variance.
Mean ratingsof peacewere significantlycorrelatedwith meanratingsof
tempo,rhythmiccomplexity,melodiccomplexityandtimbre,but not pitch
range.As predicted,high ratingsof peacewere associatedwith low ratings
of tempo. In the stepwiseregression,meanratingsof rhythmiccomplexity
and timbrecontributedsignificantpredictivepower in the equation.These
two variablesaccountedfor 73% of the variancein meanratingsof peacefulness.
AlthoughinitialresultsindicatedthatWesternlistenerswerenot reliably
sensitiveto the intendedemotion of peacefulness(see Table4), it appears
that simpler rhythms and flute timbre were used by listeners as
psychophysicalcues in assigningratingsof peacefulnessin the ragas.
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57
Emotionin Music
EXPERTDATA
Table9 shows a comparisonbetweenmean ratings,made by the 4 expert and 30 naive listeners,of ragasintendedto convey each emotion and
the ragas not intendedto convey that emotion. It should be noted that
thereis a similarpatternof meanratingsfor expertand naivelisteners:for
all four emotions,both groupsassignedhigherratingsto ragasintendedto
convey that emotion than to ragas not intendedto convey that emotion.
Expertsassignedrelativelylow ratingsof angeroverall.This observationis
consistentwith the North Indianview,previouslynoted,that angeris rarely
employedin ragasbecauseof its incongruencywith the peacefulnatureof
Hindustanimusic.
The correlationbetweenmean ratingsassignedby expertand naive listenerratingswas significantfor joy,r(10) = .61, p = .036; and sadnessr(10)
= .83. p = .001; but not for anger,r(10) = .36, p = .253; and peace, r(10) =
.47, p = .12. A closerlook at the differencesbetweenmeanratingsfor each
emotion indicatesthat experts made somewhat clearerdistinctionsthan
naive listeners.Giventhe experts'knowledgeof the tonal conventionsof
Hindustanimusic and the raga-rasasystem, this result is consistentwith
our model.
General Discussion
The resultsof this studysupportour modelof the perceptionof emotion
in music.Westernlistenersweresensitiveto intendedemotionsin Hindustani
ragas, even though they were unfamiliarwith the tonal system and the
raga-rasasystem of conveyingmoods within that tonal system. Furthermore,listeners'ratingsof the psychophysicaldimensionsin the ragaswere
predictiveof theirjudgmentsof emotionsin the ragas.
Table 9
Mean Ratingsof Emotionin Ragasby Naive and ExpertListeners
Naive Group
Other (9)
Emotion
Rated
Intended (3)
Jo^
Sad
Anger
Peace
5.61
5.27
3.37
4.61
(0.41)
(0.40)
(0.46)
(0.48)
3.57
4.80
2.85
4.45
(0.40)
(0.40)
(0.38)
(0.42)
Expert Group
Other (9)
Intended (3)
6.25
6.17
2.5
6.25
(0.76)
(0.68)
(0.25)
(0.38)
3.25
4.28
1.00
5.06
(0.37)
(0.71)
(0.00)
(0.37)
Note - Ratingsweremadeon scalesnumberedone to nine.Valuesin bracketsaremean
standarderrors.
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58
Laura-Lee Balkwill & William Forde Thompson
In the absenceof relevantculture-specificknowledgeregardingthe conventionalassociationsof emotion and music in the Hindustanitonal system, listenersrelieduponthe only resourceat theirdisposal:psychophysical
cues. This strategysucceededfor the perceptionof joy, sadness,and anger
but not for the perceptionof peacefulness.Accordingto our model, this
indicatesthat the psychophysicalcues for joy, sadness,and angerwere salient enough to enable listenersto overcometheir unfamiliaritywith culture-specificcues and to makean accurateassessmentof the intendedemotion. Particularlyin the case of ragasintendedto representjoy and sadness,
ratingsmadeby naivelistenerswere stronglycorrelatedwith ratingsmade
by expertlisteners.That naive listenersdemonstratedsuch a high level of
agreementwith expertlisteners,who weredeeplyfamiliarwith the culturespecificcues embeddedin the musicsamples,is remarkable.
The currentresultsare compatiblewith the resultsof studiesin which
listenersjudgedemotionin musicfromtheirown culture.Gabrielssonand
Juslin (1996) found fast tempi were associatedwith listeners'perceptions
of joyfulnessand anger,and slow tempiwereassociatedwith listeners'perceptionsof sadnessand peacefulness.For ragasintendedto evoke joy and
sadness,the same patternwas observed.In this investigation,73% of the
variancein meanratingsof joy and 84% of the variancein meanratingsof
sadnesscould be accountedfor by mean ratingsof tempo. These results
illustratethat listenerswere able to assess tempo in the Hindustaniragas
and that a strongrelationshipexists betweenthe perceptionof tempo and
the interpretationof emotion in music.
Listenersalso perceivedrhythmicand melodiccomplexityin the ragas,
and theirratingsof these elementswere relatedto theirratingsof joy, sadness, andpeacefulness.Perceptionsof joy wereassociatedwith perceptions
of simplermelodies,and perceptionsof sadnesswere associatedwith perceptionsof morecomplexmelodies.As with tempo, these findingsparallel
the resultsof studiesinvolvingWesternlistenersandWesternmusic.Hevner
(1935, 1936) examinedlisteners'perceptionsof rhythmandharmoniccomplexity,as they relatedto theirjudgmentsof musicallyexpressedemotion.
She found that listenersassociatedsimple harmonywith happinessand
serenity and associated complex harmony with excitement or sadness.
"Firm"rhythmwas associatedwith "dignityand vigor" and "flowing"
rhythmwas associatedwith "happyfeelings." Rigg (1940) investigated
structuralelementsof music and their effect upon listeners'judgmentsof
emotion in music. He found that listenerslinked perceptionsof joy with
faster tempi, simple harmony,iambic or anapesticrhythms,and perceptions of "lamentation"with slow tempi,trochaicrhythms,dissonance,and
legatophrasing.Imberty(1974) evaluatedthe musicof Debussyaccording
to an index of formalcomplexityand anotherindex of dynamism.In his
study,high complexitywas relatedto responsesof "a melancholicor sorrow kind,"and low complexitywas relatedto responsesof "joyand well-
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Emotion in Music
59
being"(seeNielzén & Cesarec,1982, for a review).Our findingsillustrate
that these relationshipsbetween emotion judgmentsand psychophysical
dimensionsof musicis preservedacrossculturalboundaries.
Tempowas not a significantpredictorof meanratingsof peacefulnessor
anger.It is possible that, becauseboth peaceful and sad ragas employed
slow tempi, listenersreliedon other cues to distinguishbetweenthem. In
particular,ratingsof rhythmiccomplexitywere significantlyrelatedto ratings of peacefulness,with simplerhythmsassociatedwith greaterpeacefulness. However,listenerswere unsuccessfuloverallin theirattemptsto distinguish peaceful ragas from other ragas. Thus, it appears that the
psychophysicalcue of rhythmiccomplexitywas insufficientto distinguish
peacefulragasfrom other ragas.
Timbrewas a significantpredictorof mean ratingsof peacefulnessand
anger.The directionof this influencewas expected:the flute timbrewas
stronglyassociatedwith peacefulness,and the stringtimbrewas strongly
associated with anger. However, as with rhythmic complexity, the
psychophysicalcue of timbrewas insufficientto distinguishpeacefulragas
from otherragas.
Pitchrangefailedto emergeas a strongpredictorof listeners'ratingsof
any of the four targetemotions.Previousevidencehas indicatedthat pitch
rangeplaysa role in expectancy(Narmour,1991), and expectancy,in turn,
has been linked to emotion (Meyer,1956). Quite possibly,however,the
"emotions"associatedwith expectancymechanismsmay be generalized
arousal, ratherthan specifiableemotions. This interpretationwould explainwhy pitchrangedid not appearto influenceWesternlisteners'identificationof specificmusicallyexpressedemotion in Hindustaniragas.
OTHER MODELS OF PERCEPTIONOF EMOTION IN MUSIC
The proposedmodel assumesthat, in additionto culture-specificcues,
thereare psychophysicalcues (commonto all auditorysignals)that influence listeners'perceptionsof emotion in music. The connectionbetween
music and emotion has been exploredin a numberof other theoriesthat
we will now discussand comparewith our own theory.
Oneof themoreinfluentialtheoriesof emotionin musicis thatof Suzanne
Langer.In her philosophicaltreatiseof musicand emotion (1957), she developsthe idea that "theformsof humanfeelingaremuchmorecongruent
with musicalformsthan with the forms of language...." This idea stems
from a rejectionof previoustheories that sought to explain the emotive
characterof music solely as a result of music'smimicryof human vocal
expressionsof emotion.
Langerdoes not focus on the issue of whetherthe perceptionof emotion
in musicrequiresan understandingof specificmusicalidioms.Neitherdoes
she explore whether more elementary properties in the music (e.g.,
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60
Laura-Lee Balkwill & William Forde Thompson
psychophysicalones such as changes in loudness or tempo) might map
directlyonto emotionalcontentquiteapartfromthe culturallyspecificcodes
and traditionsof the music.
Langerrejectsthe idea that musiccan representspecificemotions,arguing that music imitates only the form of emotion, not the content. For
example,music may be very emotional,but equallyhappy and sad. This
view suggeststhatthe representation
of emotionin musicis inherentlyvague.
However,it has difficultyaccountingfor findingsthat listenersreadilyattach emotionallabelsto piecesof music (Frances,1958, Expt. 14; Hevner,
1935, 1936).
Mandler(1984) proposeda theoryof emotionin musicbasedon Meyer's
earlierwork on musicalexpectancies.Mandler'saccountdrawsa connection betweenthe emotionalqualitiesof music and the biologicaladaptive
valueof emotionalreactions.Specifically,the interruptionof ongoingschemata,thatis, a violationof ourexpectancies,bringsaboutbiologicalarousal,
which acts as an alertingsignal. This alertingsignal then stimulatesan
interpretationof the stimuli, which, when combinedwith the biological
arousal,is felt as emotion.
Similarto Langer'stheory,Mandler'stheoryholds that music does not
signifyspecificemotions.Fulfillmentsand violationsof musicalexpectancies lead to biologicalarousal,which may lead to an emotionalinterpretation. However,biological arousalis essentiallycontentless,so emotional
qualitiescannot be inferreddirectlyfrom the propertiesof arousal.The
contentof the emotionalreactionis an interpretationthat occurspost hoc.
In contrastto theseviews aretheoriesof emotionin musicthat hold that
music can representspecificemotions (Cooke, 1959; Kivy,1980). Cooke
set out to analyzeelementsof musicalexpressionand to establisha lexicon
of these elementsin termsof the specificemotionsthey were able to convey. He attemptedto test this theoryempiricallyand took as his material
Westerntonal musiccomposedsince 1400 a.d. He identifiedmusicalpatternsof soundthatwerecommonlyusedto expressemotionin this bodyof
work. He then analyzedthese melodicmotifs into their componentintervals and assertedthat each "basicterm"had a particularemotivecharacter
(i.e., scale notes 5-1-2-3 in a minormode = a bold acknowledgmentof the
existenceof tragedy).Effortsto substantiatethis theory empiricallyhave
been unsuccessful.Gabriel(1978) askedlistenersto ratethe emotivequality of Cooke's"basicterms"and foundno significantpatternof agreement
with Cooke'sdescriptionsof theiremotionalcontent.
Kivy'stheory (1980) also centers on the view that music can convey
specificemotionsto the listener.LikeCooke (1959), Kivymaintainedthat
certainmelodicpatternsare conventionallyassociatedwith specifiableexpressivepredicates,such as "is sad," "is angry,"or "is joyful".However,
he acknowledgedthatsomelinksbetweenmusicandemotionmaybe "natural."
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Emotionin Music
61
Kivy proposeda distinctionbetween two types of cues to emotion in
music:"contour"and "convention."In his discussionof contour,he identified elementsof music that he characterizedas having naturalconnections to "emotivelife" (emotionas expressedby vocal utterances,posture,
gesture,and bodilymotion), such as melodiccontour,tempo, and rhythm.
Theseelementswere also featuredin his discussionof convention.Falling
melodiclinessignifyingsadness,leapingmelodicmotionsignifyingjoy,and
slow tempowith measuredrhythmsignifyingdignitywere all conventions
that Kivyidentifiedas beingtypicalof Westernclassicalmusic.
Accordingto Kivy, all conventional associations between music and
emotion ultimatelyderive from naturalconnections between music and
"emotivelife."In turn,he statedthatthesenaturalconnectionsareculturespecific,in that the musicof a culturecan resemblethe emotivelife of only
that culture.Thus, listenersfrom one cultureshould be unableto appreciate the naturalconnectionsbetweenmusicand the emotivelife of an unfamiliarculture.Kivy furtherarguedthat listenersof one culturewould be
unableto perceivemusicfrom an unfamiliartonal systemas musicper se,
but ratheras a sequenceof nonmusicalsounds.
To illustratehis point, he postulateda cross-culturalexplorationof his
theory,using the exampleof North Indianraga music. "TheWesternear,
nourishedon horizontalor (at least) verticalpolyphony (i.e., harmony)
will naturallytend to read Indianmusic harmonicallyor polyphonically
and, of course, fail" (Kivy,1980, p. 90). Accordingto Kivy'spredictions,
Westernlistenersshouldhearragasnot as music, but ratheras an unintelligible collection of alien sounds. "Tothe uninitiatedear, everyraga presents about the same mood: a kind of exotic stupor"(Kivy,1980, p. 89).
Kivy offered no empiricalevidence to support his predictionsabout
Westernlisteners'inabilityto perceiveemotion in the music of North India. The resultsof our investigationcontradictKivy'sassumptions.Westernlistenerswere able to perceiveemotionalexpressivenessin the musicof
an unfamiliartonal system,and furtherevidencesuggestedthat their perceptions were based on psychophysicalelementssuch as tempo, timbre,
and complexity.
Our model providesa useful frameworkfor exploringthe connection
betweenpsychophysicaldimensionsandthe representationof specificemotions in music.It may be that listeners'sensitivityto emotion in musicis a
highly evolved aspect of human sensitivityto psychophysicaldimensions
of our auditoryenvironment.Only by strippingaway the layersof culturespecificcues and interpretationscan we furtherexplorethesepossibilities.4
4. This study was supportedin part by NSERCgrantsawardedto both the first and
secondauthors.We wish to expressour appreciationto all of the peoplewho participated
thosewho renderedassistancealongtheway.Thanksto Jamshed
in thisstudyandparticularly
Bharucha,JaneDavidson,BeverleyDiamond,SuzanneMacDonald,and SandraTrehubfor
theirhelpfulcommentsduringthe initialdesignstagesof this study.Specialthanksto the
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62
Laura-Lee Balkwill & William Forde Thompson
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