Music Expectancy and Thrills. (Huron and Margulis, 2010)

c u .
v 1 v v : I
MUSICAL
EXPECTANCY AND
THRILLS
david huron and
elizabeth hellmuth margulis
21.1 Introduction
In the history of scholarship pertaining to music and emotion, the phenomenon of
expectation has occupied a central and perhaps privileged position. The traditional
emphasis on expectation may be traced in part to some of the unique properties of
music compared with other arts. Commentators have suggested that in many arts,
emotions are evoked through stylized depictions or representations of common emo-
tional displays (e.g. Aiken, I,,8). In arts such as portraiture, sculpture, drama, lm,
mime, and dance, human body language and facial expressions may evoke, portray, or
suggest particular affective states. While music sometimes contains representational
elements, philosophers and music commentators have long recognized that music is
not a representational art in the way that painting or sculpture can be.
Nevertheless, throughout history, music has frequently been described as the most
emotional of the arts. Next to conversation with a close friend, music is the most com-
monly sought catalyst when people want to change moods (Thayer, I,,o). Whether
people seek joyful animation or sad nostalgia, music is often the art of choice.
Paradoxically, music achieves its affective power through seemingly abstract tone
sequences, largely devoid of representational content. What accounts for musics suc-
cess in evoking emotions when its capabilities for representing the natural world seem
so constrained?
21-Juslin & Sloboda-Ch-21.indd 575 7/24/2009 4:30:30 PM
,,o musical expectancy and thrills
A possible answer to this question begins with the recognition that music consists
of a sequence of sound events that unfolds in time.
I
The foremost dimension avail-
able to musicians is the temporal dimension. While other elements of music may play
important emotional roles, a number of scholars have understood that the psychology
of time plays a paramount role in musical experience (Jones, I,,o). Temporally rooted
phenomena such as anticipation, surprise, and delay underlie important aspects of
musically evoked affect.
The idea that time is a central element in emotion contrasts starkly with mainstream
research in the psychology of emotion. Until recently, emotion research has been
unduly consumed with facial expression. The psychology of emotions preoccupation
with visual stimuli has been accompanied by a corresponding neglect of the role of
time. But time permits a listener to engage with a stimulus in an active, predictive way,
allowing for dynamic uctuations in affective responses.
In this chapter, we provide an overview of contemporary and historical research
on music and expectation. We describe some of the functional biology involved in
prospective cognition, review common experimental methods used in expectation
research, summarize some of the pertinent neuroanatomy and physiology, discuss
some of the mechanisms by which expectations are thought to be acquired, and
identify some of the affective consequences of expectation. In addition, we summa-
rize some of the main theories of musical expectation, including theories by Meyer,
Narmour, Margulis, and Huron. The chapter ends with an extended discussion of the
phenomenon of music-induced frissonthe chills or thrills characterized by a sen-
sation of the hair standing up on the back of ones neck, accompanied by sensations
of coldness and pleasure.
21.2 Biological origins
A number of authors (Hawkins & Blakeslee, :oo; Huron, :ooo; Raichle et al, :ooo;
Suddendorf, :oo,) have drawn attention to the biological importance of expectation.
The ability to foretell the future confers obvious survival benets even when the pre-
dicted future is just seconds away. The mental aptitude to form expectations is widely
assumed to be a product of evolution by natural selection. That is, our predictive fac-
ulties arose through efforts over millions of years to produce organisms capable of
clairvoyance and prophecy.
The adaptive value of accurate expectation is evident in the speed of behavioural
responses. Innumerable reaction-time studies have shown that animals respond
to stimuli more quickly when the stimulus is more predictable (e.g. Aarden, :oo:;
Bharucha & Stoeckig, I,8o; Bigand & Pineau, I,,,; Margulis & Levine, :ooo; Tillman,
Bigand, & Pineau, I,,8). For example, when asked to indicate whether pitches go
up or down, listeners are faster to respond when the melodic contours conform to
21. 3 the nature of musical expectations ,,,
their expectations (Aarden, :oo,). In general, anticipating events buys an organism
additional timetime to prepare.
21.3 The nature of musical expectations
Prediction is so important for survival that evolution appears to have created more than
one predictive mechanism. One way that organisms prepare for the future is by men-
tally enacting different future scenarios through the process of imagination (Wilson
& Gilbert, :oo,). Imagining future scenarios is not limited to humans. In running a
maze, the brain areas associated with different spatial trajectories are activated when
the mouse pauses to consider its options (Johnson & Redish, :oo,). That is, the neural
regions associated with different pathways are replayed, suggesting that the stationary
mouse is imagining different routes.
Other predictive mechanisms are more automatic and require no active contem-
plation. When listening to a familiar playlist of songs, for example, listeners typically
anticipate the beginning of the next song in the playlist as the current song ends. This
familiar experience occurs even when the relationship between successive songs is
entirely arbitrary. That is, listeners can learn to anticipate future sounds, even when
there is no musical principle or structural relationship connecting the two events.
21.3.1 Statistical learning
More formal demonstrations of this effect have been made by Jenny Saffran, Richard
Aslin, and their collaborators. In a classic experiment, Saffran et al (I,,,) constructed
small musical vocabularies consisting of six three-note gures. Using these g-
ures, they then constructed long tone sequences in which the six gures were played
repeated in random order. The tone sequences were constrained so that the same gure
was never presented twice in succession. They then exposed eight-month old infants
to this isochronous tone sequence for up to :o minutes. From the infants perspec-
tive, they simply heard a steady stream of pitches with no grouping cues to indicate
that the sequences had been constructed out of three-note gures. Following this
exposure phase, the infants heard pairs of three-note gures. Using a head-turning
paradigm, Saffran and her colleagues demonstrated that the infants had abstracted the
three-note gures from the original vocabulary used to construct the tone sequences.
Experimental controls allowed Saffran and her colleagues to conclude that the infant
responses had nothing to do with the structure of the gures and related only to their
familiarity.
Over the past decade, a considerable volume of experimental research has accumu-
lated supporting this phenomenon of statistical learning. Listeners learn to anticipate
,,8 musical expectancy and thrills
sequences of sounds merely through exposure; they anticipate most strongly the sound
sequences to which they have been most frequently exposed.
These learned expectations are limited to prospective rather than retrospective rela-
tionships between stimuli. For example, listening to the beginning of one song does not
typically help a listener recall the end of the previous song on a familiar playlist. That
is, expectations move forward in time. From a biological perspective, this limitation
makes sense, since the goal of expectation is to prepare an organism for the future, not
the past.
Statistical learning is evident in many aspects of music listening. In Western music,
duple and quadruple meters are more commonplace than triple meters. Consistent
with this, Brochard et al (:oo,) have shown that listeners exhibit a binary meter bias.
Similarly, nearly three-quarters of Western music is in the major mode. Consistent
with this, Huron (:ooo) has noted that listeners assume unfamiliar works to be in
major keys.
In many ways, the statistical nature of these automatic expectations should not be
surprising. When predicting future events, a straightforward strategy is to predict
the recurrence of the most common past event, including the most common contin-
gencies (X typically occurs in context Y). Notice that if expectations arise from com-
monly occurring sound patterns, then the main factor inuencing expectation is the
listeners sonic environment. Because listeners have different listening backgrounds,
predictability must be listener specic. Nevertheless, since listeners in a given culture
are exposed to broadly similar acoustical environments, they will probably acquire
broadly similar expectations. Since musicians cannot afford to tailor musical works
for a specic individual listener, only the culturally shared forms of predictability are
available in the musicians psychological tool kit.
21.3.2 Mental representations for expectation
The mental representation for prospective knowledge remains an open area of research.
In describing expectation-related knowledge, researchers have appealed to a variety of
concepts, including paradigms, scripts, and heuristic rules. Whatever the nature of pro-
spective knowledge, experimental evidence suggests that the knowledge listeners have
of future events represents imperfect approximations of objective patterns.
An example of such an imperfect approximation can be found in the phenomenon
Leonard Meyer famously referred to as gap llwhat von Hippel referred to as post-
skip reversal. Post-skip reversal is the notion that listeners expect a large interval to
be followed by a change of direction. This pattern can be observed in music all around
the world. The majority of large melodic leaps are indeed followed by a change of
direction. However, this pattern is known to be an artefact of a well-known statistical
behaviour, regression to the mean. If we encounter a tall person on the street, the next
person we encounter is likely to be shorter. But the presence of the tall person did not
cause a shorter person to appear. The operative principle is that most people are of
average height. Similarly, high pitches are likely to be followed by pitches closer to the
21. 3 the nature of musical expectations ,,,
average pitch. Since large melodic intervals will tend to move a melody away from the
central pitch region, large melodic intervals will tend to be followed by a change of
direction. However, the large interval does not cause this reversal. Instead, the opera-
tive principle is that most pitches in a melody are of average pitch height. Using large
samples of music from ve continents and spanning six centuries, Von Hippel and
Huron (:ooo) provided a formal statistical demonstration of regression to the mean in
the case of music. There is no objective tendency for large intervals to be followed by a
change of direction apart from regression to the mean.
However, subsequent experiments carried out by von Hippel (:oo:) and by Aarden
(:oo,) showed that Western-enculturated listeners expect post-skip reversal rather
than regression to the mean. Listeners do not expect ensuing pitches to be closer to
the average pitch. Instead, they expect large leaps to be followed by a change of direc-
tion. For this particular pitch pattern, listeners have acquired an expectation that is an
imperfect approximation of the pattern evident in real music. Meyers notion of gap
ll is an appropriate description of listener psychology, but an erroneous description
of objective musical organization: gap ll exists in listeners heads, not in musical
scores. Other examples of such imperfect heuristic expectations are documented in
Huron (:ooo).
21.3.3 Memory
In recent years, psychologists have become more cognizant of the importance of
predictive brain mechanisms. Hawkins and Blakeslee (:oo) emphasize that predic-
tion is not just one of the things your brain does, its the primary thing . . . the cortex is
an organ of prediction (p. 8,). Suddendorf (:ooo) characterizes the capacity to antici-
pate the future as a transformative step in human evolution. Raichle and Gusnard
(:oo,) suggest that anticipation is a primary component of the default mode, the pat-
tern of neural activity that occurs when the mind is not engaged in any particular task
(Bar et al, :oo,).
The concept of the predictive brain has transformed thinking in many areas of psy-
chology, notably core research in memory. For much of the past century, memory
has been conceived of as a sort of storage system akin to a librarysomething like a
repository of past experiences. Yet in recent decades, researchers have recognized that
the adaptive purpose of memory must be prospective rather than retrospective. From
a biological perspective, memory would be useless unless it helped future behaviours
to be more adaptive (Huron, :ooo).
The role of memory in prospective cognition is evident, for example, in the pro-
cess of imagination (mentioned earlier). Recent research has shown that memory
provides the database for simulating future scenarios. For example, patients suffering
from amnesia due to hippocampal damage show specic impairments when imag-
ining scenarios such as a day at the beach or a shopping trip (Hassabis, Kumaran,
Vann, & Maguire, :oo,). In contemplating the future, remembered events are woven
together to create plausible future storylines. Addis, Wong, and Schacter (:oo,) argue,
,8o musical expectancy and thrills
for example, that future thinking is an important, if not the primary, function of
episodic memory (p. I,,).
The idea that the biological function of memory must be prospective rather than
retrospective suggests that the classic distinctions between various forms of memory
(e.g. semantic memory, episodic memory, working memory, etc.) are better thought
of as different forms of expectation. This idea was rst advanced for music by Jamshed
Bharucha (I,,), who distinguished schematic from veridical expectations and linked
them to long-term and episodic memory respectively.
Bharucha suggested that knowledge of how a particular musical work goes is a dif-
ferent sort of knowledge from knowledge of how music in general goes. Both types of
knowledge are omnipresent in listening. That is, when anticipating the unfolding of
events in a musical work, our expectations are informed not just by (possible) familiar-
ity with the work, but by familiarity with a musical language. These independent parallel
processes help to explain a classic problem in musical expectation, sometimes referred
to as Wittgensteins puzzle (Dowling & Harwood, I,8o): How is it possible that a decep-
tive cadence can continue to sound deceptive even though a listeners familiarity with
the work means that the deception is entirely expected? According to Bharuchas view,
schematic expectations (reecting how music in general goes) remain surprised, even
though veridical expectations (reecting how this work goes) remain unsurprised.
Further conceptual developments can be expected as psychologists reinterpret the
huge memory literature in light of the prospective functioning of memory. All memory
research will need to be reinterpreted in terms of the question How does this memory
phenomenon assist an organism by creating future adaptive behaviours?
21.4 Affective consequences of
expectation
In tandem with this reconception of memory, there has been a parallel reconception of
emotion and motivation systems. In the past, affective neuroscientists focused on the
pleasures associated with achieving particular desirable outcomes (such as food, warmth,
companionship, etc.). The hormone and neurotransmitter dopamine, for example, has
long been viewed as the brains principal reward system,
:
and until recently was thought
to reward particular outcomes. However, researchers now regard the hedonic effects
of dopamine as linked to the experience of seeking/expectation rather than to the plea-
sure of consumption/satiety (e.g. Panksepp, I,,8). For example, dopamine is released
as the moment approaches when an animal receives a reward (e.g. food, water, sex, play
object). But when the reward is received or consumption begins, dopamine levels drop.
When the dopamine system is destroyed, an animal may die of hunger, even when food
is plentiful, and even though eating the food will be pleasurablesimply because the
animal is not motivated to eat (Panksepp, I,,8). The dopamine deciency characteristic
of Parkinsons disease robs individuals of their will.
21. 6 experimental methods in expectation research ,8I
Dopamine appears to reward wanting or expectation, not consummation. The role
of dopamine is apparent in the effects of exogenous drugs (like cocaine) that emulate
the effect of endogenous dopamine. These drugs do not simply result in a blissful stu-
por. Instead, they cause users to feel a strong sense of pleasurable engagementof
energy, focus, purpose, drive, zest, or concentration. The positive feelings evoked by
consumption involve different hedonic systems.
Like a driver seeking a lling station, the feeling of wanting must occur well
before the fuel is actually needed. (If organisms got hungry only when glucose levels
approached empty, then more animals would die of hunger.) In short, all feelings of
want, desire, anticipation, drive, or interest (such as feelings like hunger or curiosity)
are future-oriented affects intended to promote specic future-adapative outcomes.
The most important brain rewards are not those that reward the acquisition of particu-
lar resources, but those that reward striving for those resources.
21.5 Prediction effect
Another example of reinterpreting the emotional literature in light of prospective
brain operations can be found in the so-called mere exposure effect (Moreland &
Zajonc, I,,,). In I,o,, Max Meyer demonstrated that listeners show increased liking
for a musical work as they become increasingly familiar with it. Throughout the twen-
tieth century, a large volume of research accrued supporting the preference for familiar
stimuli (for a review, see Bornstein, I,8,).
However, Huron (:ooo) argues that the empirical research has been misinterpreted.
Huron proposed that accurate prediction is so essential for survival that brains must
have special structures that motivate (reward) accurate prediction. Rather than a pref-
erence for familiarity, he argues that the experimental evidence is more consistent with
a prediction effect, where the rewards for accurate prediction are misattributed to
expected stimuli. Listeners prefer familiar stimuli not because they are familiar, but
because they are predictable. In Huron (:ooo), this suggestion is used to explain many
music-related feelings, such as the increased satisfaction associated with ending on a
cadential tonic rather than the leading tone.
21.6 Experimental methods in
expectation research
Expectations can take various forms and trigger various consequences. Accordingly,
the methodologies used to investigate them vary widely. Broadly speaking, investiga-
tors can take an explicit or implicit approach in collecting data. Explicit approaches
,8: musical expectancy and thrills
require the listener to directly report his or her expectations; implicit approaches
uncover them more obliquely. Implicit approaches are generally preferred because
they minimize demand characteristicsin which the behaviour of experimental par-
ticipants is inuenced by their own hypotheses about the purpose of the experiment
(see Chapter Io, this volume).
21.6.1 Explicit approaches
One type of explicit approach involves asking participants to perform continuations
after hearing an initial musical fragment or prime. Carlsen (I,8I) and Lake (I,8,)
asked participants to sing continuations following melodic primes. Schmuckler (I,8,)
asked pianists to perform continuations on a keyboard, and Larson (:oo:) asked music
theorists to notate melodic continuations to a given antecedent. Performed comple-
tion tasks rely on musically sophisticated participants, and so the results may not be
generalizable to a wider population. Performed completion tasks may also introduce
production constraints (such as range limitations in the voice) that are not necessar-
ily related to expectations. However, performed completion tasks have the benet of
allowing participants to respond with indenitely long continuations. Since many
other research methods articially limit responses to a single consequent tone, per-
formed continuations can provide valuable information about the scope of musical
expectations.
Another explicit approach builds on the probe-tone methodology pioneered by
Roger Shepard and Carol Krumhansl (I,,,). In probe-tone experiments, participants
hear many repetitions of the same contextual passage, each one followed by a differ-
ent probe. Listeners rate how well the probe ts the preceding context (e.g. Cuddy
& Lunney, I,,,; Krumhansl & Kessler, I,8:; Schellenberg, I,,o; Schmuckler, I,8,).
An advantage of probe-tone experiments is that they allow investigators to collect
data about many potential continuations. However, since the probe-tone method-
ology involves stopping or interrupting the musical ow, it has been suggested that
the responses are confounded with judgements about the suitability of a tone for
terminating a phrase.
A third explicit approach, the betting paradigm, was used by von Hippel, Huron,
and Harnish (I,,8). Participants heard antecedent passages and were invited to bet on
the likeliest continuations. This methodology allows the subjective probabilities for
different continuations to be assessed, but proceeds slowly (on average participants
took three minutes to place their bets for each melodic note) and thus places high
demands on the attention and stamina of participants.
21.6.2 Implicit approaches
An early implicit approach involved participants listening to tones presented alongside
a continuous loud noise, and indicating whether or not they heard a tone (Greenberg
21. 7 theoretical approaches to expectation in music ,8,
& Larkin, I,o8). Listeners were better able to detect a tone if it was expected. A series
of subsequent studies used reaction time to illuminate expectations inaccessible
to explicit report; listeners respond faster to expected continuations. Bharucha and
Stoeckig (I,8o), Bigand and Pineau (I,,,), and Tillman, Bigand, and Pineau (I,,8)
show this effect for harmonic sequences, and Aarden (:oo:) and Margulis and Levine
(:ooo) adapt this approach to the study of melodies.
Perhaps the most commonly used implicit approach for the study of expectation
involves event-related potentials (ERPs). ERPs entail measurement of electromag-
netic activity produced by large collections of neurons, as measured on the scalp (for a
review, see Besson, I,,,). Different ERP features are known to be associated with vari-
ous behavioural outcomes. For example, surprising events such as a musically incon-
gruous out-of-key ending evoke distinctive ERPs (Besson & Macar, I,8,; Verleger,
I,,o). These responses differ depending on the extent of a listeners prior musical
training (Besson & Fata, I,,,; Koelsch, Schmidt, & Kansok, :oo:). Useful ERP data
can be collected even when listeners ignore the music and concentrate on another task
(Koelsch, Schroger, & Gunter, :oo:). Schn and Besson (:oo,) used ERPs to provide
important evidence for the potential modularity of some aspects of music processing.
They examined ERPs in musicians as they listened to music while viewing the score.
Incongruous events elicited a late positive component (LPC) even when they were
notated in the score, and thus known in advance to the listener. This nding sup-
ports the idea that musical processing is characterized by some degree of informational
encapsulationthe ear does not always know what the eye sees.
Other implicit methods include metabolic measurements, such as heart rate and
skin conductance. Steinbeis, Koelsch, and Sloboda (:ooo), for example, found electro-
dermal activity and heart rate changes at moments that were harmonically unexpected.
Additionally, head-turning paradigms have been used to study expectations in infants
and non-human animals (cf. Weiss, Zelazo & Swain, I,88).
21.7 Theoretical approaches to
expectation in music
The subject of musical expectation has attracted sustained interest from both experi-
mental psychologists and music theorists. Nearly all psychologists working in the
eld of music cognition have carried out experiments that bear directly on the issue
of expectation. This includes work by Mireille Besson, Jamshed Bharucha, Emmanuel
Bigand, Lola Cuddy, Irne Delige, Peter Desain, Diana Deutsch, Jay Dowling, Alf
Gabrielsson, Andrew Gregory, Mari Reiss Jones, Patrik Juslin, Carol Krumhansl, Dirk-
Jan Povel, Glenn Schellenberg, Mark Schmuckler, John Sloboda, Johan Sundberg,
Barbara Tillmann, among others. A smattering of physiologically oriented research
has also been carried out, most notably studies by Petr Janata and Jaak Panksepp.
,8 musical expectancy and thrills
Similarly, many music scholars have addressed issues of expectation, including Bret
Aarden, Zohar Eitan, Robert Gjerdingen, Paul von Hippel, Henkjan Honing, Steve
Larson, Fred Lerdahl, Justin London, Elizabeth West Marvin, Dirk Moelants, Yuet-
Hon Ng, Bob Snyder, and David Temperley. However, the most comprehensive theo-
retical attempts to account for the role of expectation in musical experience are found
in the work of Leonard Meyer (I,,o), Eugene Narmour (I,,o, I,,:), Elizabeth Margulis
(:oo,; :oo,), and David Huron (:ooo), to which we now turn.
21.7.1 Meyers emotion and meaning
Leonard B. Meyer ignited contemporary interest in expectation as a core component
of musically evoked emotion. In Emotion and meaning in music (I,,o), Meyer looked
to John Deweys (I8,) conict theory of emotions (as modied by MacCurdy, I,:,),
which suggested that affect arises from the inhibition of tendency. As an example of
this effect, Meyer contrasted the relatively unemotional scenario of a person searching
for and nding a cigarette in his pocket, compared with the relatively emotion-laden
scenario of a person searching for and failing to nd the same cigarette.
Although many mid-century music theorists were interested in the psychology of
the listener, few scholars dared to embrace a psychological approach to analysis. In
order to analyse music from the perspective of the listener, a scholar would have to
wrestle with the variability of human responses, and the whole enterprise seemed des-
tined to collapse in the chaos of multiple meanings. Since musical scores rarely change,
the study of musical scores held a much stronger allure.
By focusing narrowly on expectation, and by positing an idealized competent
listener, Meyer was able to avoid many of the difculties raised by psychologically
inspired analysis. Moreover, in Deweys theory, Meyer found a way to analyse listener
responses in a systematic way: granted listeners who have developed reaction patterns
appropriate to the work in question, the structure of the affective response to a piece
of music can be studied by examining the music itself . . . the study of the affective
content of a particular work . . . can be made without continual and explicit reference
to the responses of the listener or critic. That is, subjective content can be discussed
objectively (I,,o, p. ,:).
Given norms that listeners had abstracted from prior exposure to the relevant style
or genre, certain musical events could be understood to imply other ones, or to pro-
duce a tendency to continue to them. When that tendency was inhibited, affect could
arise. This view allowed musical affect, a notoriously subjective phenomenon, to be
investigated in relation to musical structure, rather than in relation to the idiosyncratic
propensities of individual listeners.
A classic example is found in the deceptive cadence, a harmonic progression in which
the normal dominant-to-tonic resolution is replaced by a dominant-to-submediant
progression. (The tonic and submediant chords share two pitches in common, so the
difference between the two progressions involves a seemingly modest change of shift-
ing one tone by one step.) In the deceptive cadence, the felt urgency (Meyer, I,,o, p. oI)
for resolution to the tonic is denied with dramatic psychological results. Another clas-
sic example appears in rondos at points where thematic return is expected; consider-
able tension can arise simply by delaying the themes reoccurrence.
Throughout analytic discourse, expectations are most often mentioned when they
are violated (Margulis, :oo,). But in addition to the affect triggered by violations,
Meyer postulates a different type of responseapprehension and anxiety (I,,o,
p. :o)that is thought to arise out of uncertainty. Uncertainty can be understood as the
absence of clear expectations (most commonly experienced when listening to music in
an unfamiliar style or genre), or the stimulation of multiple, mutually exclusive expec-
tations (for example, an event that hovers ambiguously between several possible inter-
pretations). Thus, expectations can contribute to affect both in the case that they are
denied, and in the case that they fail to be clearly established. The default, unvalenced
scenario, then, would be one in which expectations are clearly established and fullled.
According to Meyers conception, such banal music would be rare, since composers
are typically interested in moving listeners. Most works would entail a mixed choreog-
raphy of expectations fullled and expectations thwarted.
Meyers work coincided with the introduction of a new mathematical tool,
information theory. Devised at the Bell Telephone Laboratories by Claude Shannon,
information theory provides a generalized method for characterizing the quan-
tity of information in any message. It does so by measuring the predictability of
successive symbols. When a symbol (such as a musical note) is virtually certain, it
carries little information. Conversely, high uncertainty is associated with high infor-
mation. Shannon himself recognized the applicability of his theory to music, and
Meyer (I,,,) saw the link between Shannons theory and his own ideas about musical
implications.
Beginning in the late I,,os, a number of music scholars further explored the appli-
cability of information theory to music (cf. Youngblood, I,,8; Krahenbuehl & Coons,
I,,,; for more recent accounts, see Knopoff & Hutchinson I,8I; and Snyder, I,,o),
often using the theory to understand characteristics of musical styles. The psychoaes-
thetics movement in the I,,os (Berlyne, I,,I; see also Chapter I,, this volume) sought
to connect information theory to musical experience in the tradition of Meyer, and
several recent studies have pursued this line of inquiry, looking at how information
theory and other probabilistic approaches to music might underlie cognitive and affec-
tive processing (Huron, :ooo; Margulis & Beatty, :oo8; Temperley, :oo,).
In assessing Meyers contribution, it is appropriate to emphasize the novel and
pioneering spirit of his work. Although ordinary listeners were captivated by possi-
ble relationships between music and emotion, the intellectual milieu of mid-century
American scholarship was remarkably hostile to the study of musical emotion. On
the one hand, American psychology was dominated by a severe form of behaviour-
ism that regarded emotions as occult qualities beyond the realm of legitimate psy-
chological research. On the other hand, American musicology was dominated by a
reaction against the excesses of nineteenth-century (romantic) scholarly writing in
which authors indulged in effusive emotional descriptions whose introspective ights
of fancy tainted the entire subject of musical emotion.
,8o musical expectancy and thrills
From our current vantage point, Meyer might be faulted for having relied too heav-
ily on Gestalt principles, whose woolly formulations have received sustained criticism
by perceptual psychologists. However, Meyer was far ahead of his time in integrat-
ing cognitive and affective aspects of mental functioning. In drawing attention to
the importance of expectation, Meyer anticipated the conclusions of cognitive neuro-
science by half a century. Meyer was a lone voice, largely out of step with mainstream
currents in both musicology and psychology, whose work was nevertheless philosoph-
ically erudite and musically sophisticated. He single-handedly carved out an important
area of scholarship. His legacyusefully dubbed the Penn School by David Butler
has included such psychologically informed theorists as Robert Gjerdingen, Eugene
Narmour, and Justin London.
21.7.2 Narmours Implication-Realization theory
In some ways, Eugene Narmours Implication-Realization theory might be regarded
as a generalization and deep explication of Meyers notion of gap ll. However,
Narmours monumental work (I,,o, I,,:) goes beyond Meyers nascent ideas to build
a more embracing theory of the cognition of melody. Unfortunately, limitations of
space permit only a bare outline of the theory.
The Implication-Realization theory is based on two overarching principles: that
similarity implies further similarity, and differentiation implies further differentia-
tion. Narmour regards these principles as applicable in all musical parameters, includ-
ing pitch intervals, melodic contour, dynamics, rhythm, and (forthcoming) harmony.
Applying the principles to intervallic motion (the size of successive melodic intervals) and
registral direction (the contourup, down, or lateralof these intervals), Narmour
creates a taxonomy of melodic gures, each with its own implicative content. For exam-
ple, process (P) signies a small melodic interval followed by another small melodic
interval in the same direction; the similarity in both domains (small interval to small
interval, the preservation of direction) yields an implication for further similarity:
continuation to another small interval in the same direction. Reversal (R), however,
signies a large melodic interval followed by a small interval in the opposite direction.
It represents differentiation in both domains (large interval to small interval, a change
of direction). In addition, the reversal creates closurea point after the fullment
of strong implications at which further implications are suppressed. Both bottom-up
perceptual principles and top-down stylistic constraints play roles in the theory.
Narmours theory attempts to characterize the uctuating sense of goal-directedness
in melodies, explaining where melodies seem strongly implicative, and where they
seem less so. The theory emphasizes note-to-note connections over more background,
hierarchic ones. Margulis (:oo,), building on Narmours theory, has used Lerdahl
and Jackendoffs (I,8,) time-span reduction to add a hierarchic account. Narmour
hypothesizes a variety of possible affective responses to implication, including cogni-
tive exhilaration when subconscious inferences are validated, cognitive irony when they
are proved only partly right, and cognitive shock when the inferences prove incorrect
(where the qualier cognitive is meant to distinguish these aesthetically induced
states from their everyday counterparts).
Of the many contributions made by Narmour, it is important to draw attention to his
revolutionary attitude toward empirical testing. In the past, music theorists typically
offered interpretations of musical phenomena with little interest in testing their ideas.
If a particular theory was inherently unfalsiable, music theorists tended to view this
as a strength of the theory rather than a weakness. Following a trend begun by Lerdahl,
Narmour has been a strong advocate for holding up theoretical claims to the light of
empirical tests. Although not himself an experimentalist, his books typically end with a
litany of empirically testable claims that derive from his theorizing, and an invitation to
experimental psychologists to separate the defensible from the indefensible. The happy
consequence of this attitude has been an explosion in experimentation, with a predict-
able mix of success and failure (Cuddy & Lunney, I,,,; Krumhansl, I,,,; Schellenberg,
I,,o; Schellenberg, I,,,). In promoting empirical engagement, Narmour has raised
the bar for music theorizing.
21.7.3 Marguliss theory
Margulis (:oo,), building on Lerdahls notions about the relationship between attraction
and tension (Lerdahl, :ooI; Lerdahl & Jackendoff, I,8,; Lerdahl & Krumhansl, :oo,),
proposes three types of musical tension that arise from specic circumstances within a
model of deeply schematic melodic expectationsexpectations that inuence listeners
experience, but are not themselves directly accessible. The model produces quantitative
predictions about the expectedness of notes within melodies, and proposes a relation-
ship between these predictions and experiences of musical tension. The model assumes
that tension is not a unitary, all-or-nothing phenomenon, but rather a differentiated
one, admitting of multiple distinctive types. Surprise-tension is thought to arise when
events occur that were not predictable beforehand, and registers phenomenologically
as an experience of intensity and dynamism, motivating closer attention from the lis-
tener. Denial-tension is thought to occur when an unexpected event occurs in place of
an alternative, highly expected event, and registers phenomenologically as an impres-
sion of intentionality or will in the music. Expectancy-tension is thought to occur when
an event generates a particularly strong expectation for a subsequent one, and registers
phenomenologically as an impression of forward-directedness in the melody. All of these
impressions are eeting, subtle, distinctly musical, and, this model argues, consequences
of expectations formed dynamically as music transpires. Marguliss model builds on the
work of Lerdahl and Narmour, adds a hierarchic component, forms quantitative predic-
tions, and makes explicit a proposed relationship between expectation and tension.
21.7.4 Hurons ITPRA theory
Compared with other theories of expectation, Hurons (:ooo) account places greater
emphasis on biology and enculturation. He emphasizes the adaptive advantage of
,88 musical expectancy and thrills
forming accurate expectations, and suggests that expectation-related emotions are
intended to reinforce accurate prediction, promote appropriate event-readiness, and
increase the likelihood of future positive outcomes (p. ). At the same time, Hurons
theory emphasizes the role of cultural environment and statistical learning as the
source of listener expectancies.
The core of Hurons theory is an analysis of the timecourse of expected/unexpected
events (see Figure :I.I). Huron proposes that responses to future events can be usefully
divided into ve components dubbed Imagination, Tension, Prediction, Reaction, and
Appraisal (ITPRA for short). The ve components can be grouped into pre-outcome
and post-outcome phases. In the pre-outcome phase, an individual might consciously
imagine different possible outcomes and vicariously experience some of the feelings
that would be expected for each outcome. For example, the act of imagining being
reunited with a loved one may evoke anticipatory feelings that act as the motivation
to embark on a long journey. Independent of the emotions evoked by imagining out-
comes, the pre-outcome phase also entails a tension component: As an anticipated
event approaches, arousal and attention states are ne tuned so that ensuing behav-
iours are optimized. Expecting to catch a ball requires a different mental and corporal
state from expecting a phone call, or expecting a sought word to come to mind. These
preparations are accompanied by distinctive feelings, associated with muscle tone,
respiration, rumination, etc.
After an event has occurred (post-outcome phase), three distinct processes are ini-
tiated. The accuracy of an individuals prediction is assessed (prediction response).
Positive feelings are evoked when the outcome is expected, and negative feelings are
evoked when the outcome is surprising. The purpose of the prediction response is to
Fig. 21.1 Illustration of the time course for Hurons ITPRA theory of expecta-
tion. Feeling states are rst activated by imagining different outcomes (I). As
an anticipated event approaches, physiological arousal typically increases, often
leading to a feeling of increasing tension (T). Once the event has happened,
some feelings are immediately evoked related to whether ones predictions were
borne out (P). In addition, a fast reaction response is activated based on a very
cursory and conservative assessment of the situation (R). Finally, feeling states
are evoked that represent a less hasty appraisal of the outcome (A) (from Huron,
2006).
Tension
Appraisal
Reactive
event
onset
Imaginative
time
Prediction
21. 8 musical examples ,8,
reinforce accurate prediction. At the same time, a quick and dirty reaction response
is generated. Reaction responses (such as the startle reex) are defensive in function.
These short-lived responses tend to assume a worst-case scenario, and so most of these
responses prove to be overreactions that are quickly extinguished. Finally, the appraisal
response represents a more leisurely assessment of the situation that takes into account
complex social and situational factors. Appraisal responses (which originate in the cor-
tex but are not necessarily conscious) commonly inhibit reaction responses (which
originate in subcortical structures). Because reaction responses involve fewer synaptic
connections, they are considerably faster than appraisal responses. These fast and slow
responses reect the neurological embodiment of two usually contradictory goals:
(I) the need to respond as quickly as possible to dangerous circumstances, and (:) the
need to judge as accurately as possible the value of some event or situation.
Huron suggests that for a given sound event (like the onset of a chord), the listeners
overall feeling state is a dynamic mixture of the feelings generated by the imagination,
tension, prediction, reaction, and appraisal responses. These responses may all be posi-
tively valenced, or they may all be negatively valenced. But most experiences involve a
complex mix of positively and negatively valenced responses.
21.8 Musical examples
Scholars have suggested that many psychological effects arise from the phenomenon
of expectation, including delay, anticipatory tension, premonition, deception, humor,
garden-path phenomena, and others (e.g. Huron, :ooo; Margulis, :oo,; Meyer, I,,o;
Narmour, I,,o, I,,:; Temperley, :oo,). The analytic literature provides many musical
examples of these purported effects. However, limited space precludes illustrating all
of the suggested effects. Here we briey describe two examples of musical surprise.
Figure :I.: shows the well-known opening to Sergey Prokoevs Peter and the Wolf.
The upbeat tempo, wide leaps, dotted rhythms, major-key harmony, and use of stac-
cato all contribute to a happy, carefree feeling. At the third measure, however, Prokoev
abruptly shifts to a lowered submediant harmony. This harmonic surprise is accompa-
nied by an unorthodox melody that oscillates between E at and B naturala rare use
of the augmented fth interval. The B natural clashes with the C of the accompanying
harmony. Above the melody, some of the transitional probabilities for successive scale
tones are shown (expressed in bits). For major key melodies, typical transitional prob-
abilities lie in the range of three to ve bits (Huron, :ooo). In this context, the E at/B
natural alternation jumps out. The probability of the seventh scale tone being followed
by the lowered third scale tone is just.oooo. Compared with the melodic intervals in
the rst two measures, the intervals of the third measure are strikingly improbable. For
many listeners, the pitches sound wrong, as though Prokoev had mistakenly written
B rather than C,. In fact, music theorists refer to such transgressions as wrong-note
harmonies or wrong-note melodies (Rifkin, :ooo).
Prokoevs wrong notes display a number of characteristic properties. The notes typi-
cally involve semitone displacements from tonally appropriate notes. Often the pitches
are at by a half step. The wrong notes are commonly approached and left by melodic
leaps. As in the above example, Prokoev tends to immediately repeat the wrong-note
sequenceas if to say Yes, I really intended that pitch.
Prokoevs wrong notes are probably not unrelated to his penchant for neo-classical
writing. In choosing to write music with conventional tonal and phrase structures,
Prokoev makes his wrong notes more obvious to listeners accustomed to the musi-
cal language of the classical period. Prokoevs conventional classical style provides
the schematic backdrop for his wrong notes. The psychological effect of Prokoevs
music has been variously described as quirky, weird, and impertinent. By repeat-
ing these improbable patterns, Prokoev assures listeners that the notes are clearly
intentional. It is not inappropriate for listeners to interpret intended wrongness as a
symptom of impertinence.
Recall earlier, Bharuchas distinction between generalized (schematic) expectations
and work-specic (veridical) expectations. Like the deceptive cadence, frequent expo-
sure to Prokoevs music will signicantly attenuate the sense of surprise, although
veridical familiarity will fail to extinguish the schematic surprises. Familiarity will
lessen, but not eliminate, the sense of oddity.
If Bharuchas schematic/veridical distinction holds merit, then we ought to be able
to observe musical passages that exhibit the reverse scenarioa veridical surprise
accompanied by a schematic non-surprise. Figure :I., shows such a passage (dis-
cussed in Huron, :ooo). The passage is from the Adagio movement of Peter Schickeles
Quodlibet for Small Orchestra (I,,,). Schickele is a musical humorist, better known as
PDQ Bach. In the live Vanguard recording of this work, the passage evokes sustained
and appreciative laughter.
The passage is a modied quotation from the second movement of Beethovens
Fifth Symphony (also shown in Figure :I.,). The two passages are identical until the
beginning of the fourth measure: Where Beethoven follows the B at with an E nat-
ural, Schickele follows the B at with an A at (see marked intervals). In the origi-
nal, Beethovens theme branches into a new key area, but Schickele simply brings the
phrase to a stereotypic close. Schickeles version is surprising only to listeners familiar
with the original Beethoven, and this familiarity is essential to the musical humour.
Fig. 21.2 The opening to Sergey Prokoevs Peter and the Wolf.
4.3
2.9 3.9
13.8
14.6
5.4
21. 9 frissonthrills from chills ,,I
In fact, Schickeles version is much more consistent with the norms of Western classical
music. In most musical humour, gags involve doing something absurdly improbable.
But in this situation, Schickele achieves a humorous effect by substituting a musically
banal passage for a musically adventurous one. Schematic and veridical expectations
can be surprised independently.
In the two examples described above, we have seen how surprise might lead to feel-
ings such as oddity or levity. But these examples only hint at the range of psychological
effects evoked by choreographing listener expectations.
21.9 Frissonthrills from chills
A musically induced affect that shows close links to musical surprise is the phenom-
enon of frisson (e.g. Sloboda, I,,I; Gabrielsson & Lindstrm, I,,,, :oo,). Frisson can
be described as a pleasant tingling feeling associated with the exing of hair follicles,
resulting in gooseesh (technically called piloerection) accompanied by a cold sensa-
tion, and sometimes producing a shiver. Dimpled skin is evident in the region of the
back of the neck and upper spine, often including the shoulders, scalp and cheeks, and
sometimes extending to the entire back, belly, groin, arms, chest, or legs (Panksepp,
I,,,). The experience may last from less than a second to more than ten seconds.
Longer responses usually involve one or more waves of spreading gooseesh. Grewe,
Nagel, Kopiez, and Altenmller (:oo,) note that the occurrence of such shivers is
signicantly correlated with judgements of the pleasantness of music works. Some
reports mention that the response may be accompanied by smiling, laughing, weep-
ing, lump-in-throat, sighing, breath-holding, or heart palpitation. For the purposes of
this chapter, we will focus exclusively on the prototypical response involving topical
(skin-related) sensations.
Fig. 21.3 Passage from the Adagio movement of Peter Schickeles Quodlibet for
Small Orchestra (A), which is a modied quotation from the second movement of
Beethovens fth symphony (B).
A
B
,,: musical expectancy and thrills
Researchers have proposed a number of different labels for this response, including
thrills (e.g. Goldstein, I,8o, Kone cni et al, :oo,), chills (e.g. Grewe et al, :oo,, Guhn
et al, :oo,), and frisson (Sloboda, I,,I; Huron, :ooo). Bernatzky has suggested the term
skin orgasm (see also Panksepp, I,,,); however, this term has gained few adherents. In
the interests of precision, we will follow Slobodas suggestion and use the term frisson.
Listeners can nd music thrilling without necessarily experiencing gooseesh. The
term chills is best reserved for the phenomenological feeling of coldness, which, like
piloerection, may be considered a characteristic symptom of the frisson response.
Apart from music, gooseesh (piloerection) can be evoked in many other situations.
Gooseesh can occur when experiencing fear (such as hearing an unknown sound while
walking alone in a dark alley), when viewing disgusting photographs, during orgasm,
or in response to ngernails scratching a blackboard (Halpern et al, I,8o). Of course,
gooseesh is a common response when we are cold, but paradoxically, it can also arise
when immersing ourselves in a hot bath. Gooseesh can also be evoked by physical con-
tact with another person, when experiencing a sudden insight (such as an unexpected
solution to a problem), while observing an inspiring moment in a competitive sport,
or when experiencing great natural beauty, such as viewing a large canyon (Goldstein,
I,8o). Notice that the experience of gooseesh can be either pleasant or unpleasant. The
term frisson, however, applies only to the pleasure-inducing form. Simply put, frisson
might be dened as pleasurable piloerection or enjoyable gooseesh.
21.9.1 Individual differences
Not everyone experiences music-induced frisson. Goldstein (I,8o) carried out a
survey of employees in a business unconnected to music, in which he achieved
a Ioo per cent return rate. Of these, , per cent reported never having experienced
a music-induced thrill. Similarly, Grewe et al (:oo,) found only ,, per cent of par-
ticipants reported music-induced chills. Kone cni et al (:oo,) were able to induce
thrills in only ,, per cent of participants. By contrast, ,o per cent of the music stu-
dents included in Goldsteins (I,8o) study reported having experienced music-
induced thrills. It appears that only about half of the general population may be familiar
with the experience. The capacity to experience music-induced frisson may encourage
certain people to pursue a career in music.
Panksepp (I,,,) and others have observed that music-induced frisson is more likely
to be reported by female listeners than by male listeners. In addition to gender differ-
ences, personality differences have been observed by Grewe et al (:oo,). As measured
using the Sensation Seeking Scale (Litle & Zuckerman, I,8o), chill responders are less
adventurous or thrill seeking. That is, reactive listeners are less likely to enjoy physical
risk taking, such as skydiving or riding rollercoasters. One might say these listeners are
more sensitive or thin-skinned. Grewe and his colleagues also found that the more
reactive listeners have greater familiarity with classical music, identify more with the
music they prefer, and are more likely to listen to music in concentrated (rather than
21. 9 frissonthrills from chills ,,,
background) situations. In short, susceptibility to music-induced frisson is correlated
with musical interest.
Listeners who experience music-induced frisson are typically able to point to par-
ticular moments in a work when the frisson is evoked (Sloboda, I,,I). This specicity
has encouraged researchers to search for musical features that might be responsible for
the frisson. These efforts have been confounded, however, by poor inter-listener con-
sistency (e.g. Blood & Zatorre, :ooI). Early on, investigators discovered that musical
works that evoke frisson for the experimenter commonly fail to evoke frisson in other
listeners. Asking participants to bring their own frisson-inducing music reinforced this
discovery: when participant-selected music is employed as stimuli, listeners inevitably
experience more frisson in response to their own music than to music brought by other
participants (e.g. Kone cni et al, :oo,). Moreover, when different listeners experienced
frisson in the same work, the points of frisson can differ.
This effect led some researchers to conclude that familiarity may be a key to
music-induced frisson. However, this observation is confounded by the reliance on
participant-selected music: if asked to bring a piece of music that causes you to shiver,
participants are likely to choose pieces that they particularly love, and well-loved pieces
are apt to be highly familiar. Consider a gustatory parallel. If asked to bring a dish of
your favourite food to a pot-luck dinner, what is the likelihood that you will nd a dish
that you like even better than your own favourite but brought by someone else? If peo-
ple attending a pot-luck dinner tended to prefer their own culinary offering to those
of others, one would not be justied in claiming that familiarity is the most important
aspect of taste.
Guhn, Hamm, and Zentner (:oo,) addressed this possible confound by measuring
the familiarity of different works not selected by the participants. They found a correla-
tion of zero between the frequency of frisson responses and familiarity. This suggests
that listeners become familiar with works that a priori cause them to experience fris-
son, not that frisson arises due to increasing familiarity.
21.9.2 Causes of frisson
In light of the high proportion of non-responders, and given the high individual vari-
ability between responders, the best efforts to identify potential causes of frisson have
involved careful pre-selection of experimental participants. When participants were
selected according to high self-reports for musical sensitivity, Guhn et al (:oo,) were
able to show a high degree of inter-subjective consistency in the location of frisson
responses as determined by self-report and skin conductance measures. In addition,
Guhn et al found that heart rate responses are also highly correlated between such
participants. Even when a participant doesnt exhibit a frisson response, heart rates are
still highest at moments when frisson responses are evoked for other participants. This
suggests that sympathetic arousal may be a necessary, though not sufcient, compo-
nent of frisson.
,, musical expectancy and thrills
Among researchers, there is considerable agreement about acoustical and musical
correlates of frisson (Blood & Zatorre, :ooI; Craig, :oo,; Grewe, et al :oo,; Guhn, et al
:oo,; Panksepp, I,,,, I,,8; Rickard, :oo; Sloboda, I,,I). The most important acous-
tic correlate is a rapid large change of loudness, especially a large increase in loud-
ness (subito forte). A less robust acoustic correlate appears to be the broadening of
the frequency range (i.e. the addition of low bass and/or high treble). Musical cor-
relates include the entry of one or more instruments or voices; the return of a melody,
theme, or motive; an abrupt change of tempo or rhythm; a new or unprepared har-
mony; abrupt modulation; or a sudden change of texture. Music deemed sad (e.g.
slow tempo, quiet dynamic, minor key) is roughly twice as likely to evoke frisson as
happy music (Panksepp, I,,,).
Notice that two common elements can be found in this list of features. First, adjec-
tives such as abrupt, rapid, sudden, new, and unprepared suggest that the precipi-
tating musical events may be surprising or unexpected. A second common theme is
high energy, such as increased loudness or the addition of sound sources. Notice also
that slow, quiet passages (such as are commonly found in sad music) provide an espe-
cially contrasting background against which unexpectedly energetic events may be
highlighted.
21.9.3 Examples
Figures :I. and :I., illustrate some of these frisson-inducing properties. Figure :I.
shows a passage from Pink Floyds The Final Cut that, as reported by Panksepp (I,,,),
displayed a high probability of evoking frisson responses. The most obvious feature of
this passage is the dramatic increase in loudness. The initial phrase is sung in nearly a
whispered voice, whereas the subsequent phrase is sung in a shouting voice.
Figure :I., shows a more complicated frisson-inducing passage identied by one of
the respondents to Slobodas (I,,I) survey. The passage, from Schoenbergs Verklrte
Nacht, exhibits a subito forte dynamic contrast. In addition, harmonic and rhythmic
surprises coincide with the onset of the D-major chord at the beginning of measure ::,.
In the key of G minor, the D-major chord is the dominant; a progression from E-at
major (VI) to V would be a relatively common progression. However, in approach-
ing this passage, there is no hint of G minor, and the E-at chord is minor rather than
major. Consequently, for Western-enculturated listeners, the D-major chord would
Fig. 21.4 Vocal melody from Pink Floyds The Final Cut. One of the frisson-
inducing passages reported in Panksepp (1995).
be harmonically unexpected. The advent of this chord also involves an element of tem-
poral surprise. Prior to measure ::,, chord onsets systematically avoid the downbeat,
so the sense of meter is signicantly eroded. Although the D-major chord occurs on
the downbeat, this moment is no longer expected for most listeners. In short, the fris-
son-inducing moment coincides with a combination of temporal surprise, harmonic
surprise, and abrupt increase in loudness.
21.9.4 Physiological correlates
Apart from behavioural studies, the frisson response has also attracted physiologi-
cal studies, including observations of skin conductance, heart rate, neurochemical
changes, and hemodynamic changes. Gooseesh or piloerection is positively correlated
with heart rate, although peak heart rate is not a good predictor of frisson responses
(Guhn et al, :oo,). Frisson is more strongly correlated with increases in skin conduc-
tance response (Craig, :oo,; Guhn et al, :oo,; Rickard, :oo; see also Chapter II, this
volume).
Neurochemical changes associated with frisson were investigated by Goldstein
(I,8o). Goldstein administered naloxone, an opiate receptor antagonist, to healthy
volunteers. Naloxone is able to block or signicantly attenuate the positive feelings
that normally accompany the release of endogeneousopioids such as endorphins.
Goldstein used a double-blind protocol in which members of a control group were
injected with an inert saline solution. Of the Io volunteers who received naloxone,
three reported a signicant reduction in music-induced thrills to participant-selected
music. Goldsteins study implies two conclusions. First, the results are consistent
with the view that music-induced frisson can lead to the release of endogenous opi-
ates (such as endorphins), commonly associated with the experience of pleasure. At
the same time, the results seem equivocal: only three of ten volunteers showed any
effect. Since only about half of the population experience music-induced frisson, the
Fig. 21.5 Piano reduction of bars 225230 from Schoenbergs Verklrte Nacht,
a passage identied by one of Slobodas (1991) respondents as reliably evoking a
frisson response.
mixed results might be attributable to the considerable individual variation in frisson
responsiveness.
Neurohemodynamic changes associated with frisson have been investigated
by Blood and Zatorre (:ooI), who carried out PET scans of volunteers listening to
participant-selected music. They found that frisson responses coincided with increased
blood ow in the nucleus accumbens, the left ventral tegmental area, the dorsomedial
midbrain, the insula, thalamus, anterior cingulate, the supplementary motor area and
bilateral cerebellum. Decreased blood ow was observed in the amygdala, left hip-
pocampus, and the posterior cortex. This hemodynamic pattern has been found by
other researchers to be characteristic of euphoric or pleasurable experiences (Breiter
et al, I,,,; see also Chapter I:, this volume). In addition, increased activity in the thala-
mus and anterior cingulate are associated with increased attention.
21.9.5 Theories of music-induced frisson
Two theories have been proposed that attempt to account for the origin of music-
induced frisson: Panksepps Separation Distress theory and Hurons Contrastive Valence
theory. Both theories rely on evolutionary arguments linking affective experience to
physiological changes.
Panksepps Separation Distress theory
Panksepp (I,,,, I,,8) has proposed a theory of music-induced frisson whose founda-
tion is the reactiveness of caregivers to the distress calls of offspring. Few experiences
are more traumatic than the separation of mother and child, ewe and lamb, or hen
and chick. When visual contact fails, offspring typically rely on distress calls as a way
of signalling their location. In order for the distress call to be effective, caregivers must
be responsive. Given the biological importance of nurturing and protecting offspring,
one would expect distress calls to have a powerful motivating (i.e. emotional) effect on
caregivers.
While providing food and protection are the foremost tasks of any parent, the most
common behaviour simply involves reassuring offspring of the parents presence. For
most animals, physical contact (so-called comfort touch) provides such reassurance.
The contact between caregiver and offspring typically results in a mutual increase in
skin temperature. In human language, social comfort is often described using thermal
metaphors, such as warm personality or cold shoulder. When a caregiver perceives a
distress call, Panksepp suggests that feelings of coldness or chill may provide increased
motivation for social reunion. Panksepp and Bernatzky (:oo:) have suggested that
frisson-inducing musical passages exhibit acoustic properties similar to the separation
calls of young animals.
Inspired by Panksepps theory, Beeman (:oo,) has assembled various analyses
related to the acoustics of human infant cries. Note that human hearing is not equally
sensitive at all frequencies. Due to resonances in the pinna and ear canal, the thresh-
old of hearing is much more sensitive in the region Io kHz. Within this region,
sensitivity is most acute in a narrow region between , and Hz (Fletcher & Munson,
I,,,). Beeman notes that human infant cries show an energy peak in this region. Other
research has established that the sound of a crying baby is highly distressing for adult
listeners (Drummond et al, I,,,; Lester, I,,8; Lester et al, I,,:). Apart from the pre-
sumed cognitive motivations, there are straightforward sensory reasons why a crying
baby attracts our attention.
Infant cries are not the only sounds that show a high energy peak in the ears most
sensitive region. The adult human scream also displays a disproportionate amount
of energy in the broad Io kHz region where human hearing is best. This is true of
screams produced by both males and females. A human scream is the sound humans
can hear at the greatest distance. Beeman (:oo,) also notes that this auditory sensitiv-
ity is exploited by professional singers. Sundberg (I,,:, I,8,) discovered that oper-
atic singers are able to concentrate acoustic energy in the so-called singers formant.
In one study, for example, Sundberg measured the spectral resonances in recordings
by the famous Swedish tenor, Jussi Bjrling, and found an especially strong resonance
in the region around , kHz (Sundberg, I,,:, I,,,). Similarly, Johnstone and Scherer
(I,,,) measured the spectral resonances in recordings of the Slovakian soprano, Edita
Gruberov, and found high energy peaks between :., and .I kHz. The singers for-
mant is variously described by vocal teachers as acoustic ping or squillo. As pointed
out by Beeman (:oo,), production of the singers formant is one of the principal aims
of professional operatic training.
Of course, many listeners report that they dislike the sound of the Western
operatic voice. People who hate opera often say that the singers sound hysterical
or overwrought. Professional writers tend to be reserved when criticizing opera, but
amateurs writing on the web are more frank. In the words of one web writer: I dont
like opera because people scream all the time (www.pencollectors.com/projects.htm,
:oo,/I:/Io). For these listeners, it is possible that the acoustic similarity between oper-
atic squillo and screaming is just too close.
Panksepp notes that not everyone is equally responsive to distress calls. A crying
baby may evoke strong nurturing instincts in its parents, but strangers are more likely
to nd the sound annoying. The strongest nurturing emotions are evoked when an
adult has bonded with its offspring. A key factor in bonding is familiarity, and Panksepp
suggests that familiarity with a given musical work has an effect similar to parental
bonding. As a result, he suggests that music-induced frisson is more likely to arise with
familiar music (I,,,, p. :o:).
By way of summary, Panksepps theory suggests that the emotional power of the
frisson response lies in the receptiveness and sensitivity of the auditory system to infant
distress calls. Since the principal caregivers in most species are mothers, females would
be expected to be more attentive to separation distress calls, and so would be expected
to be more reactive to music-induced frisson.
Hurons Contrastive Valence theory
Although Panksepps separation distress theory appears to provide a good account
of music-induced frisson, difculties arise in trying to extend the theory to other forms
,,8 musical expectancy and thrills
of frisson. Apart from music, pleasant piloerection can arise when immersing our-
selves in a hot bath, when a potential lover rst touches our hand, when experiencing a
sudden insight, or when riding a rollercoaster. Unpleasant piloerection can arise when
experiencing fear or when we are cold. When exposed to disgusting photographs, the
ensuing piloerection may be described by viewers as making my skin crawl. Hurons
(:ooo) theory of expectation attempts to place music-induced frisson within a larger
account of pleasant and unpleasant piloerection.
Gooseesh is a thermoregulatory response: raised hair provides a good insulator
although the response is less effective in relatively hairless humans. Piloerection is also
used in aggression displays and as a response, when afraid, to discourage attack by
others. Throughout the animal kingdom, a common response to fear is to attempt to
appear larger. When threatened, for example, a cat will arch its back and make its hair
stand on end. Although principally intended to regulate temperature, fear-induced
piloerection appears to be an exaptationa pre-existing physiological response that is
borrowed for other purposes.
In the ITPRA theory, a distinction is made between the reaction and appraisal post-
outcome responses. The fast reactive response is restricted to the brain stem, whereas
the slow appraisal response also involves the neocortex (LeDoux, I,,o). Because brain-
stem pathways involve fewer synaptic connections, they respond much faster than cor-
tical pathways. This neuroanatomical difference is reected functionally in the two
responses. Reaction responses (such as the startle reex) are defensive in function;
these fast-onset responses tend to assume a worst-case scenario, and so most of these
responses prove to be overreactions. The appraisal response represents a more leisurely
(and accurate) assessment of situations. Reaction responses are especially sensitive to
cues suggesting danger. Appropriate acoustic cues include loud sounds (indicating
high energy), and sounds that resemble human alarm signals (such as screams). As
noted earlier, another potent fear-inducing situation arises from surprise. Although it
is possible to be pleasantly surprised (see below), the failure to anticipate an outcome
means that the individual is not prepared for the future.
A classic illustration of the effect can be observed in a surprise party. When a person
is unexpectedly surprised by her friends, the rst response is one of terror: the eyelids
are retracted and the jaw drops, resulting in a classic terror expression. But within half
a second, fear is replaced by happy celebration as the individual recognizes her friends
and the positive social meaning of the event. A quick defensive reaction response is
followed by a slower (inhibitory) cognitive appraisal.
Feeling states appear to be strongly inuenced by contrast. If we initially feel bad
and then feel good, the good feeling tends to be stronger than if the good experience
occurred without the preceding bad feeling. Conversely, if we initially feel good and
then feel bad, the bad feeling tends to feel worse (e.g. McGraw, I,,,). This contrastive
valence may account for the difference between pleasant and unpleasant piloerection.
When we feel cold, the experience is simply unpleasant, so the resulting shivers are felt
as bad. However, when descending into a warm bath, the quick negative reaction to
the rapid change of skin temperature is dismissed by the slower appraisal that judges
the temperature to be welcome. When we are unexpectedly touched by a stranger, our
reaction is wholly negative. But when the unexpected touch comes from a prospective
lover, the initial shock of surprise is quickly displaced by a highly positive appraisal
with a memorably large contrast in feelings from bad to good. Wrestling with a difcult
problem, an unexpected moment of insight replaces a period of stressful rumination
with a sudden feeling of achievement. The terror of riding a rollercoaster is held at
bay by the cortical conviction that Im not going to die. Hearing a loud, scream-like,
or unexpected, sound, sets off reactive alarm bells. But a cortical appraisal inevitably
concludes that its just music. According to Huron (:ooo), frisson arises when an
initial negative response is superseded by a neutral or positive appraisal. Fear, panic,
or anger may all lead to piloerection. But the ensuing cortical processes form their own
judgements about the situation. When the appraisal response concurs with the reac-
tion response, the sense of fear, panic, or anger is amplied. But when the appraisal
response contradicts the reaction response, the cortex belatedly inhibits the fast
subcortical responses and contrastive valence transforms the negative feelings into
something positive.
Notice that the evoking of frisson depends on the individuals susceptibility to expe-
riencing fear. Thick-skinned individuals who are less responsive to fear would be less
likely to experience fear-induced piloerection, and so less likely to experience frisson.
Since males commonly score higher on measures of sensation-seeking, they are less
susceptible to fear, and so may be less likely to experience frisson than females.
An important question raised by this theory is how frisson might be reliably evoked
when a given listener hears a passage repeatedly. If piloerection is a response to fear
or panic, wont musical familiarity ultimately dull the response? Although repeated
stimulation normally leads to habituation, an exception occurs in the case of defen-
sive responses, such as pain. Because the function of fast responses is primarily defen-
sive, these responses must always be ready, even in a world full of false alarms. In order
for defensive responses to remain effective, they must be resistant to habituation or
unlearning. The principal way that biology deals with false alarms is not by desensitiz-
ing defensive reexes, but by adding inhibitory circuits that suppress inappropriate
defensive behaviours after they have already begun. While slower than the reaction
responses, appraisal circuits often begin the process of inhibition within about ,oo
milliseconds. As a result, fast reaction responses are typically short lived and rarely
reach conscious awareness. Our brains and bodies engage in frequent skirmishes with
ghostly dangers while we remain blissfully unaware. It is this resistance to habituation
and unlearning that allows the music to retain its hair-raising power.
Neurological tests of this theory are scant. Consistent with the theory, Blood and
Zatorre (:ooI) observed a marked decrease in amygdala activity in response to musi-
cally induced frisson. However, due to the poor temporal resolution of PET, the con-
jecture that decreased amygdala activity is preceded by a short burst of activity remains
untested.
This summary provides a cursory introduction to Huron (:ooo), whose theory
includes two other strong affective states: laughter and awe. While large violations of
expectation may produce pleasurable gooseesh (frisson), they can also lead to out-
bursts of laughter, or to the expansive breath-holding characteristic of awe. In Hurons
ooo musical expectancy and thrills
theory, all three originate as negatively valenced affects that are transformed through
contrastive valence into positive experiences.
21.10 Conclusion
The feeling of shivers running up and down ones spine is widely reported as one of the
most memorable and pleasurable experiences induced by music. Not all listeners expe-
rience musical frisson, however. Its rarity notwithstanding, frisson is readily observed.
Craig (:oo,) has noted that gooseesh can be directly observed on the forearm of
listeners. Consequently, frisson provides an especially fruitful phenomenon for the
study of music and emotion. We anticipate that frisson will continue to be an attractive
topic of research in the eld of music and emotion.
Since Meyers (I,,o) pioneering work in the I,,os, considerable progress has been
made in understanding the psychology of expectation. The theoretical literature is rich
with speculations concerning plausible expectation-related affects, including different
forms of tension, surprise, deception, premonition, anticipation, relief, humour, and
other phenomena. In this chapter, we have addressed in detail only the phenomenon
of frisson. As the empirical research continues to progress, we anticipate that detailed
theories will emerge concerning the role expectation plays in auditory experience,
including many aspects of musical emotions.
Notes
I. These issues have been explored in relation to other temporal art forms, such as lm. See,
for example, Aumont et al (:oo:).
:. An alternative theory attributes dopamine release to increases in arousal and motivation
(see Horvitz, :ooo).
Recommended further reading
I. Huron, D. (:ooo). Sweet anticipation: Music and the psychology of expectation. Cambridge,
MA: MIT Press.
:. Meyer, L. B. (I,,o). Emotion and meaning in music. Chicago, IL: Chicago University Press.
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