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Cues and Signals An Ethological Approach To Music
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David Huron, « Cues and Signals: An Ethological Approach to Music-Related Emotion », Signata
[Online], 6 | 2015, Online since 31 December 2016, connection on 29 March 2017. URL : http://
signata.revues.org/1115
Signata - PULg
emotion, body and
Performance
David Huron
Ohio State University
1. Evoking Emotions
How does music evoke or induce emotions in listeners? here are diferent
approaches to the study of emotion. However, one approach has tended to
dominate thinking regarding emotions-an approach we might refer to as the
Emotion Communication Model (ECM). his model might be described as
follows: A person feels an emotion (such as happiness), and this causes them
to generate an appropriate display (such as smiling). An observer perceives
(recognizes) the display and infers that the individual feels happy. If conditions are
right, the observer then empathizes or partakes of that same emotion. In this way,
a represented or displayed emotion can ultimately lead to an induced or evoked
emotion in an observer.
In the ECM model, the purpose of an emotional display is to communicate the
afective state of the individual making the display. In this scenario, expressions of
anger, sadness, happiness, etc., are communicative acts, intended to convey our
afective state to those around us. Applied to music, it is widely presumed that
some acoustical features or gestures imitate various elements of common human
afective displays, and this provides one of the ways by which music is able to
communicate emotions that listeners recognize.
In this chapter, I do not dispute the ECM model as a possible route to inducing
emotion in listeners. Instead, I note a number of severe limitations to the ECM
mode. At the same time, I propose another way of considering the issue, which
ofers new ways of understanding how musical sounds might evoke or induce
feeling states in listeners. he approach is inspired by research in the ield of
ethology (the study of animal behaviour).
3. Size Matters
When two animals interact, many behaviours can be classiied as either antagonistic
(e.g., aggression), or ainitive (e.g., submission, greeting, sharing). In general, when
animals create threatening displays they behave in ways that tend to make them
appear larger. his includes raised hair, ruled feathers, standing upright, arching
of the back, looming, and other behaviours that make the animal seem bigger.
Conversely, when animals create submissive or friendly displays, they typically
behave in ways that tend to make them appear smaller, such as bowing, squatting,
sitting, head-lowering, or limb-withdrawing.
hese visual behaviours have acoustic parallels. One of the best generalizations
one can make about acoustics is that large masses or large volumes tend to produce
low frequencies of vibration whereas small masses and small resonant cavities tend
to produce higher frequencies. Morton (1977) carried out a seminal comparative
study of vocalizations in 28 avian and 28 mammalian species. Morton found that
high pitch is associated with submissive and ainitive behaviours whereas low pitch
is associated with threatening and aggressive behaviours. Bolinger (1978) observed
An Ethological Approach to Music-Related Emotion 333
3.1. he Smile
he linguist John Ohala extended Morton’s observations regarding sound-size
symbolism to include the vocal ilter (resonant frequency) as well as the vocal
source (pitch). As with pitch, resonant frequency arising from vocal-tract cavities
is also correlated with size (Ohala, 1980, 1984).
Ohala argued that sound-size symbolism can be used to account for the human
smile (Ohala, 1994). For over a century, scholars have pondered the apparent
enigma of the smile: why would showing one’s teeth (commonly associated with
aggression) be construed as a sign of friendliness? Ohala drew attention to the fact
that one can hear a smile (irst demonstrated by Tartter, 1980). Without seeing a
person smiling, the smiling is nonetheless evident in the sound of the voice. Flexing
the zygomatic muscles characteristic of smiling causes the lesh of the lips to be
drawn tight against the teeth. his efectively shortens the length of the vocal tract
and so shits the resonance upward. In short, the sound of the smile is the sound
of a smaller resonant cavity. he upward shit in the spectrum is consistent with
334 Emotion, Body and Performance
3.2. he Pout
Ohala extended his observations regarding the smile in the opposite direction.
Instead of retracting the lips against the teeth, one can thrust the lips forward away
from the teeth-lengthening the vocal tract with a characteristic drop in the irst
formant frequency. Ohala refers to this as the “o-face.” An example is evident in the
human “pout.” According to sound-size symbolism, this lowering of the frequency
should be associated with anti-social rather than pro-social behaviour. Indeed, the
classic “brutish” or “loutish” voice involves extending the lips away from the teeth.
he cliché sound of the aggressive hooligan ofers a polar contrast with the sound
of smiling-consistent with sound-size symbolism.
4. Multimodal Signals
Are displays such as smiling or frowning ethological signals or ethological cues?
Ethologists have identiied a number of ways by which signals can be distinguished
from cues. One property of signals is that they tend to exhibit redundancy where
the signal is repeated or sustained over time and over multiple sensory channels
(Wiley 1983; Johnstone 1997; Partan & Marler, 1999). Since signals are intended to
be communicated, a “subtle” or “timid” signal is unlikely to be efective. Employing
more than one sensory modality makes the signal more conspicuous (Paulmann
& Pell, 2011). For example, in the case of the rattlesnake’s rattle, there is both a
distinctive acoustical component (sound of the rattle) as well as a distinctive visual
component (raised shaking tail). Ostensibly, even if an observer is only able to hear,
or just see the snake, the signal could nevertheless be successfully communicated.
By contrast, many (though not all) cues do not exhibit multimodal features. his
simply relects the fact that cues are behavioural artefacts (like the buzzing of a
mosquito’s wings), and not explicitly intended to be communicative. We have
already seen an example of the tendency for multimodal displays in the case of the
smile: Ohala’s main claim is that it would be wrong to regard the smile as solely a
visual display.
In the past, emotion researchers have tended to focus on the visual aspects of
facial expressions without considering other sensory modes. From an ethological
perspective, we would expect many facial expressions to qualify as signals-and
therefore tend to be accompanied by distinctive acoustical features, not just visual
features. Facial expressions that are not accompanied by distinctive acoustical
features are more likely to be artefactual cues rather than signals.
An Ethological Approach to Music-Related Emotion 335
video recordings of performing musicians. hey found that when the musical
texture involves predominantly low pitches there is a tendency for the musician to
lower her/his eyebrows. Conversely, when the music involves predominantly high
pitches, there is a tendency for the musician to raise his/her eyebrows.
4.1. Sarcasm
Another basic facial expression is the so-called contempt or sneer display (Ekman,
1972). Like the smile and the pout, comparative research suggests that the contempt
expression exists cross-culturally (Ekman & Heider, 1988). he sneer is regarded
as a variant of the disgust expression. Speciically, the disgust display involves
characteristic lexion of the levator labli superioris muscles that elevate the upper
lip and the depressor septi muscle that constrict the nostrils. his is presumed to
have originated in eforts to reduce the inhaling of ofensive odours. he sneer
display is essentially “one-half” of a disgust expression. hat is, lexion occurs
asymmetrically on one side of the face only. Unlike the disgust display, the sneer is
regarded as a social display: As Ekman notes, the disgust response efectively says
“I ind this disgusting” whereas the sneer says “I ind you disgusting.”
Plazak (2011) carried out a seminal study in which instrumentalists were asked
to play various passages in a sarcastic fashion. hrough sound alone, listeners were
readily able to recognize musical sarcasm compared with other afective conditions.
Acoustic analyses using speech-based methods showed that sarcastic renditions
exhibited elevated “nasality” measures—at least for some instruments. hat is, the
instrumental sounds approached the “nya nya” timbre associated with vocal taunts
characteristic of sneer or contempt. Once again, from an ethological perspective,
the contempt or sneer facial expression is correlated with a distinctive auditory
efect (nasalization). he facial expression and sound go hand-in-hand. And once
again, these same auditory features can be observed in a musical context.
4.2. Cuteness
Ethologists also make use of the Peircean concept of an index. he index conveys
information by virtue of its factual connection to an object. Amphibians, such as
frogs, grow continuous throughout their lives. As a consequence, the size of a frog
provides a good index of its longevity, and so a reasonable index of its capacity
to survive. he pitch of a frog’s croak is directly related to its size, and females
preferentially mate with male frogs that produce the lowest croak-that is, those
male frogs who have survived the longest.
From infancy to adulthood, the human vocal tract similarly increases
in length. At birth, the typical vocal tract length is roughly 8 centimetres. By
adulthood, the length has doubled to roughly 16 centimetres in length (Vorperian
et al., 2005). Some years ago, we carried out an experiment where listeners judged
the “cuteness” of a wide variety of sound-producing objects. Listeners broadly
An Ethological Approach to Music-Related Emotion 337
agree when judging the relative cuteness of sounds. We learned that the sound-
producing objects judged “most cute” share two physical attributes. hey all share
a small resonant cavity activated by a small amount of energy. he dimensions of
the most cute-sounding objects resemble the size of an infant’s vocal tract.
Of course infants are capable of generating loud sounds that are not cute.
However, when cooing or gurgling, small energy activates a small cavity producing
sounds that readily evoke nurturing and protective behaviours-in short, they
engender parenting behaviours. Imagine the dire consequences if human parents
did not ind their infants cute. Without this afective response, humans would
not survive for long. Moreover, the response generalizes beyond infant sounds.
What a sopranino recorder, ocarina, and music box share in common is a small
resonant cavity activated by a small amount of energy. In each case, the sounds are
readily described as “cute.” We hear these sounds as fragile, vulnerable, innocent
or helpless. For the irst year of life, the vocal tract grows rather slowly. Ater 12
months, the rate of growth increases notably. It is in the irst year that the vocal
tract produces the cutest sounds-a period in which the child is most vulnerable
and most in need of parental attention. he infantile quality of the voice is echoed
in characteristic visual features, including a round (rather than long) face, large
eyes (relative to the head size), small nose, and small ears. hese are the classic
“baby face” features.
he musical use of cuteness is apparent in the recordings of the American
popular singer from the 1920s, Helen Kane (whose voice became the model for the
Betty Boop cartoon character). Kane had a diminutive stature, including a small
head, and correspondingly short vocal tract. Her singing style is quintessentially
“cute” sounding. Unlike the intentional lowering of vocal pitch, or the voluntary
smiling resonance, the bulk of the vocal tract length is ixed by anatomy-and
therefore a true index of infantile vulnerability in both the Peircean and ethological
senses.
Paul and Huron (2010) studied the role of “breaking” voice in music. Country
music fans identiied instances of cracking or breaking voice in their music
collections. Each identiied song was paired with a matched (control) song from
the same album sung by the same singer-a song that did not contain any instance
of breaking voice. Without hearing the music, independent judges rated the lyrics
of both target and control songs for grief-related content. Breaking voice was found
to correlate positively with grief-related lexical content in the lyrics.
Why, we might ask, do voices break? In general, grief exhibits a highly
distinctive set of physiological characteristics, including watery eyes, nasal
congestion, constriction of the throat, erratic breathing, and pufy face. When
crying for an extended period, the face tends to become “pufy” with notable
inlammation around the eyes. In isolation, any medical doctor would diagnosis
these symptoms as characteristic of a systemic allergic response. Moreover,
inlammation-such as that seen in the face ater a long bout of crying-is caused
by histamines. hese are the same histamines that cause an allergy suferer to reach
for a bottle of antihistamines.
Notice that the allergic response leads to characteristic visual (facial) features,
and also leads to distinctive vocalizations through the accompanying pharyngeal
constriction. In short, crying recruits the systemic allergic response, leading to
characteristic visual and auditory features consistent with an ethological signal.
his sort of physiological “borrowing” is known as an exaptation (Gould & Vrba,
1982).
he features of crying go beyond the efects of an allergic response. For
example, allergy suferers experience no compulsion to vocalize. When crying,
however, the urge to vocalize is so strong that the vocal cords remain engaged
even when inhaling—resulting in a characteristic gasping sound. he ingressive
phonation characteristic of crying is consistent with an innate compulsion to make
a sound.
Notice that crying bears all the hallmarks of an ethological signal. Crying
appears to commandeer the allergic response as an exaptation that produces
both distinctive visual and distinctive acoustical features. hat is, grief entails
multimodal elements congruent with the goal of conspicuousness.
If crying is a signal, what does it signal? Limitations of space preclude any
detailed exposition here. Jefrey Kottler has proposed that weeping is the human
“surrender” signal (e.g., Kottler & Montgomery, 2001). Kottler has documented
how weeping “turns of” aggression and leads to sympathetic altruistic behaviours
directed toward the person crying. For the person crying, assistance is purchase at
the cost of a loss of social status. hat is, crying parallels the submission/surrender
displays found in many other social animals. Support for Kottler’s theory comes
from the work of Gelstein et al. (2011) who collected tears from women who had
been induced to weep by watching a touching scene from a movie. For comparison
purposes they also collected saline solution that was trickled down the women’s
340 Emotion, Body and Performance
cheeks. Men were then asked to smell both real and imitation tears. Neither had
any noticeable odour. Nevertheless, the real psychic tears produced a marked
physiological efect: testosterone levels dropped signiicantly when men were
exposed to the real tears. In addition, other measures showed that sniing the
tears signiicantly impeded sexual arousal. he results of this study suggest that
psychic tears contain a chemical pheromone-an odourless air-borne hormone
that inluences the behaviour of others.
7. Sadness as Cue
Recall that sad speech is associated with six acoustic features: quieter, slower, lower
in pitch, more monotone, mumbling, and dark timbre. What, we might ask, do
these features share in common? All six features can be plausibly attributed to
low physiological arousal. Low energy is associated with low epinephrine levels
and low acetylcholine levels. Low acetylcholine leads to weakness (laccid muscle
tone) and sluggishness (slow muscular reactivity). Slow muscle movement causes
sluggish movement of the lips, tongue and chin. hat is, the articulatory muscles
move slower producing a slower rate of speaking as well as a more mumbled
articulation. When the pulmonary muscles (involved in breathing) are relaxed, the
subglottal air pressure drops, producing a quieter sound. Similarly less tense vocal
folds result in a lower overall pitch. Slow movement of the cricothyroid muscle
results in less responsive pitch movements, leading to smaller pitch movements or
a more monotone pitch infection. Finally, the relaxed facial musculature includes
weak zygomatic activity; there is no active smile, so the lips tend to pull away from
the teeth resulting in a longer vocal tract and consequently a darker timbre. In
short, all of the features of “sad voice” can be plausibly regarded as artefacts of low
physiological arousal.
An important observation to be made about sad voice is that people tend to be
mute when sad: sad people don’t vocalize much. his disposition to remain silent
contrasts notably with grief. Although crying can be done quietly, there remains
a strong compulsion to vocalize when crying. As we have seen, the compulsion
to vocalize is so strong that weeping tends to engage the vocal folds even when
inhaling-an otherwise rare phenomenon.
In continuing research we have been looking at the uniqueness of nominally
sad facial expression and vocalization. Although the research is not complete, it
appears that there is no distinctive or unique “sad” facial expression. A presumed
“sad” face appears to be indistinguishable from a “sleepy” or “relaxed” face. he
“glum” faces commonly observed on a public bus or train are oten deemed sad.
However, people thought to appear sad are oten simply relaxed. Similarly, our
experimental tests suggest that listeners are unable to distinguish “sad” voice from
“sleepy” voice. Unless a person audibly yawns, sad and sleepy voices exhibit no
discernible diferences.
An Ethological Approach to Music-Related Emotion 341
ways. Understood as motivational states, there are good reasons why some emotions
would be experienced without any accompanying expression (covert emotions).
Many afective states can exercise a transforming efect on behaviour without
being communicated: e.g., jealousy, love, hunger, disappointment, suspicion,
pride, curiosity, etc. Of course, some afective states may indeed be recognizable
even though they are not expressive signals (e.g., sleepiness, pain, etc.). But these
states are recognized because of the spill-over of physiological consequences that
observers learn to decipher through past experience. he observed features for
these states are artefacts rather than intentional communications; that is to say,
they are ethological cues rather than signals.
Notice that modern ethological theory is incompatible with the Emotion
Communication Model (ECM) described in the introduction. First, the ECM
model fails to distinguish signals from cues. hat is, it fails to distinguish intentional
communicative acts from artefactual (yet informative) behaviours. A second
related problem with the ECM model is that it assumes that all expressions are
intended to convey what an individual feels: if I feel angry, then I naturally express
that anger. However, for biologists this scenario makes no sense. he purpose of an
intentional expression (i.e., a signal) is to change the behaviour of the observer to
the beneit of the signaller (Bradbury & Vehrenkamp, 1998). Signals may certainly
convey information, but their purpose is manipulation, not information per se.
In the past, some psychologists have tended to reify emotions as their
expressions. In Ekman’s work, for example, there is a clear tendency to equate
emotions with distinctive (facial) expressions. Any feeling-state that has no
expression is deemed not to be an emotion. From an evolutionary and ethological
perspective, these views are clearly problematic. hese issues will become clearer
ater we reconsider displays of sadness and grief.
Quiet Loud
High pitch appeasement, fear, alarm
friendliness
Low pitch sad, relaxed, sleepy aggression,
seriousness
through rose-tinted lenses. One might expect that when we are sad, we become
pessimistic, underestimating ourselves. Instead, when sad, we are more realistic
in our self-appraisal-a phenomenon referred to as depressive realism (Alloy
& Abrahamson, 1979). Compared with happiness, sadness encourages more
detail-oriented thinking, less judgment bias, less reliance on stereotypes (Clore
& Huntsinger, 2007) and greater memory accuracy (Storbeck & Clore, 2005).
Listening to nominally sad music is known to induce depressive realism (Brown &
Mankowski, 1993).
facial expressions. Only some feeling states ought to be overtly expressed; that is,
as behavioural motivators, some emotions should be overt while others remain
hidden. Whether an emotion is overtly expressed or covertly masked will depend
on the beneit to the signaller. Overt expressions (signals) are intended to change
the behaviour of the observer, not to induce an emotion similar to that of the
signaller. One should not view a display as symptomatic of the signaller’s afective
state; instead it should be regarded as symptomatic of what afective state the
signaller hopes to induce in the observer.
In order for signals to be communicated, they should be conspicuous.
Accordingly, signals tend to be multimodal. he most likely candidates for signals
are those displays that exhibit both distinctive visual and distinctive acoustical
features. In other words, any sound property that originates as a signal is likely
to be accompanied by distinctive visible behaviours, such as characteristic facial
expressions. Examples of candidate signals including smiling, sneering, and
crying. As we have seen, each of these expressions involves distinctive multimodal
features.
Covert afective states can sometimes be inferred by an astute observer. Such
covert displays (cues) are unintentionally informative. Signals primarily enhance
the itness of the signaller; cues enhance only the itness of the observer.
Signals and cues might be regarded as “push” and “pull” forms of information.
Signals “push” information into the environment-whether they are observed or
not. Cues “pull” information from the environment, whether or not the information
was intentionally placed in the environment. Once again, through experience, the
buzzing of a mosquito can be heard as presaging the possibility of attack, even
though the sound is an artefact of rapidly moving wings.
he acoustical features associated with grief-wailing, moaning, sniling,
punctuated exhaling, ingressive phonation, pharyngealized voice, and cracking or
breaking voice-are linked to distinctive visual features and exhibit the hallmarks of
an ethological signal. By contrast, the acoustical features associated with sadness-
quiet dynamic, slow tempo, low pitch, monotone pitch contour, mumbled
articulation, and dark timbre-appear to be unremarkable consequences of low
physiological arousal. Listeners may infer that these features indicate sadness, but,
as noted, these same features will be evident in other states, such as sleepiness and
relaxation.
We would therefore expect laments, cry songs, funerary wailing, and other
“grieving” expressions to be highly communicative, and inherently cross-cultural
in their meaning. By comparison, we might predict that musics associated with low
physiological arousal-such as meditative music, New Age music, devotional music,
relaxing/easy listening, and lullabies/cradle songs-would be easily confused with
sad music. Nominally sad music would therefore exhibit greater cultural confusion
than “grief” or “lament” music.
348 Emotion, Body and Performance
15. Coda
Scholars have long been interested in the function, evolution, etiology, ontology,
behaviour, and phenomenology of emotion (Cornelius, 1996). here are diferent
approaches to the study of emotion. However, one approach has tended to dominate
thinking regarding emotions-what I have dubbed the Emotion Communication
Model (ECM). Recall that I characterized the model as follows: A person feels an
emotion (such as happiness); this causes them to generate an appropriate display
(such as smiling); an observer perceives (recognizes) the display, infers that the
individual feels happy, and may then also feel a similar emotion.
he ECM model has been widely assumed to underlie induced afect in music
listeners. However, there are serious problems with this model. Most importantly,
the model lacks biological plausibility. In this paper, I have suggested that the
ield of ethology ofers a more nuanced and insightful approach to understanding
how displays evoke emotions in observers. A particular beneit of the ethological
approach is that it ofers analytic tools for deciphering those aspects of emotion
induction that are apt to be learned associations (and so culturally-deined), and
those aspects of emotion induction that are biologically innate (and so species-
wide in their efect).
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