Brower - A Cognitive Theory of Musical Meaning PDF

Yale University Department of Music
A Cognitive Theory of Musical Meaning

Author(s): Candace Brower
Source: Journal of Music Theory, Vol. 44, No. 2 (Autumn, 2000), pp. 323-379
Published by: Duke University Press on behalf of the Yale University Department of Music
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A COGNITIVE THEORY
OF MUSICAL MEANING
CandaceBrower
1. Introduction
This articlepresentsthe outlines of a theory of musical meaningthat

drawsupontwo ideasthathaverecentlyemergedin the cognitivesciences.
First is the notion thatthinkingconsists, at least in part,of matchingpat-
ternsof thoughtto patternsof experience.Second is the notionthatmuch
of ourthinkingconsists of mappingpatternsof bodily experienceontopat-
ternsin otherdomains.Althoughthe theorydrawsupon work carriedout
across the cognitive sciences, it focuses upon the work of two writers-
social scientistHowardMargolisand philosopherMarkJohnson.
According to Margolis (1987), all thinking-from the recognitionof
a musical motive to the proof of a mathematicaltheorem-is based on
patternmatching.1That is, we make sense of the world aroundus by
matching perceived patterns to patterns stored in memory. Margolis
describes the cognitive process as beginning with the selection of a pat-
ternto matchan incoming stimulus.Selection is carriedout throughwhat
he calls jumping, or a leap of intuition.Selection may be immediate,as
when we see a familiarobject. Or it may take a certainamountof time,
as when we see someone whose appearancehas changed significantly
since we last saw them. If the match is exact, or nearly so, the searchfor
323

meaningmay end there. If the matchis only approximate,however,this
may initiate a second step in the cognitive cycle, called checking, in
which we compare patternsand note their similarities and differences.
Checkingmay then give rise to higherlevels of meaning,as we initiatea
search for a higher-level patternto account for similarities and differ-
ences found in patternsmatchedat a lower level.
Patternmatchingalso plays an importantrole in MarkJohnson'sthe-
ory of embodiedmeaning(Johnson1987).2Johnsonclaims thatmuch of
ourthinkingis metaphoricalin thatit involves a mappingof patternsfrom
one domain of humanexperience to another.The patternsthat Johnson
describes as most basic to our thoughtprocesses derive from the imme-
diate experienceof our own bodies. Beginning with our firstattemptsto
reach out and grasp a toy or a morsel of food, we learn about such phe-
nomena as cause and effect, motion, force, energy, and balance through
the ways in which they play a partin our own goal-directedactions.This
learning is capturedin the form of patternsthat Johnson calls image
schemas.Accordingto Johnson,we use image schemasto make sense of
our experiencesin more abstractdomains-domains as diverseas visual
art, emotion, social interaction, and mathematics. For example, the
BALANCEschema, which we learnthroughthe balancingacts of our own
bodies, allows us to make sense of such diverse concepts as visual bal-
ance, emotional balance, balance of power, and balancing an equation.
Bodily image schemas-especially those involving force and motion-
appearto underlieour understandingof music as well.3We findevidence
of this in the languageused to describeit: strong and weak beats, rising
andfalling lines, voice leading, leading tones, harmonicgoals, and so on.
Musicalpatternsparticularlylend themselvesto this sortof metaphorical
mapping,being markedby changesof rateandintensitythattranslateeas-
ily into force and motion.
These two theoriesprovidethe basis for the theory of musical mean-
ing to be offered here. Margolis's theory of patternmatching suggests
thatmusic takes on meaningwith respectto itself as a resultof our map-
ping the musicalpatternsthatwe hearonto those storedin memory.John-
son's theory of embodied meaning furthersuggests that these patterns
take on metaphoricalmeaning as a result of our mapping them onto
image schemasderivedfrom bodily experience.Accordingto the present
theory,musical meaningarisesmore specificallythroughthe mappingof
the heardpatternsof a musical work onto three differenttypes of stored
patterns:(1) intra-opuspatterns-patterns specific to the work itself;
(2) musical schemas-patterns abstractedfrom musical convention;and
(3) image schemas-patterns abstractedfrom bodily experience. These
threetypes of patternmatchingare shown in Figure 1. The firsttwo types
give rise to intra-domainmapping,while the thirdgives rise to metaphor-
ical, or cross-domainmapping.4
324

musicalpattern
I intra-opuspatters |<
intra-domain
mapping
patterns , 4
storedin musicalschemas <-
memory
cross-domain mapping
image schemasI"
bodilyexperience
Figure 1. Musical patternmatching
A centralpremiseof the theoryis thatmanytonalconventionsarethem-

selves groundedin bodily experience.Thatis, the image schemasthatlend
coherence to our bodily experience are metaphoricallyreflectedin con-
ventionalpatternsof melody,harmony,phrasestructure,and form.These
conventional mappings are the everyday metaphors of music-cross-
domainmappingsthat are carriedout easily and unconsciouslyby expe-
riencedlisteners.Understandinghow tonalconventionreflectsbodilyexpe-
riencecangive us insightintothenovelmetaphoricalmeaningsof a musical
work,just as examiningeverydaylinguisticmetaphorscan provideinsight
into the more complex metaphorsof poetry(LakoffandTurner1989).
Conventional cross-domain mappings-the everyday metaphors of
tonal music-can be representedin the form of music-metaphorical
schemas. These schemas show in a generalway how the variousaspects
of tonal organizationare shaped by the image schemas that underlie
them. The conjoiningof musical and image-schematicstructurein these
schemas is representedby double arrows in Figure 1. Each musical
schema serves as a templateupon which can be mappedthe concretepat-
terns of a musical work. Correspondencesbetween concretepatternand
musical schema yield generic-level metaphoricalmeanings, which then
serve as the backdropfor the interpretationof their differences on the
basis of more complex metaphoricalprojections.
Intra-opuspatternmatching adds yet anotherlayer of meaning. Pat-
terns that recur within a musical work map not only onto schemas for
tonal convention,but also onto versions of the same patternheardearlier
in the work.Each pattern,or paradigm,establishesits own paradigmatic
axis, with each new statementof a patternmappingonto those that pre-
cede it, as shown in Figure 2.5 Drawing upon the basic-level metaphors
MUSICAL EVENTS ARE ACTIONS and A MUSICAL WORK IS A JOURNEY, we
325

IA paradigmaticaxis
fV 1f fr
IA'
I\ I A"
A'"
rI 2I A"" t
Figure 2. Intra-opuspatternmatching
can interpretsuccessive statementsof a patternas a sequence of related

actions making up a musical narrative.It is intra-opuspatternmatching
thatallows us to assign relativelyprecise meaningsto surface-levelmusi-
cal events. The close correspondencebetween the patterns matched
heightens our sensitivity to their differences,allowing even subtle alter-
ations to take on meaning through their contributionto the narrative
structureof the work.
The remainderof this articleexpandsupon the theoryoutlinedabove,
with the aim of developingtools for analysis thatcan help to uncoverthe
metaphoricalmeanings of individualmusical works. Parttwo examines
the image schemas that are most pervasivein our everydayexperience,
schemas that play an especially importantrole in our embodied under-
standingof music. Partthree shows how these image schemas map onto
conventionalfeatures of tonal melody, harmony,key, and phrase struc-
ture, capturedin the form of music-metaphoricalschemas. Partfour of-
fers an overview of musical narrativeand musical plot structure,show-
ing how variedpatternrepetitioncontributesto the narrativeunfoldingof
a musical work. Partfive presentsa narrativeanalysis of Schubert's"Du
bist die Ruh"' that serves to illustratethe analytictechniquesintroduced
and to reveal the richly integratednetwork of cross-domainmappings
through which the meaning of the song is conveyed. The article con-
cludes by consideringthe theory'srelevancefor music outside the com-
mon-practiceperiod, as well as its potentialfor furtherdevelopment.
2. Embodied Image Schemas
The image schemasthat appearto play the most importantrole in our

embodiedunderstandingof tonal music-CONTAINER, CYCLE,VERTICAL-
ITY, BALANCE, CENTER-PERIPHERY,and SOURCE-PATH-GOAL-are also
amongthe most pervasivein everydayexperience.These schemasreflect
326

basic featuresof our bodily experienceof space, time,force, and motion,
as follows:
1) We experience space as made up of boundedregions.
2) We experiencetime as markedoff into cycles.
3) We experience the body as centered,balanced, and extending up-
wardfrom a stable ground.
4) We experience motion as following pathwaysleading to goals.
Mapping these features of our bodily experience of the physical world
(the source domain) onto music (the target domain) yields the music-
metaphoricalconcepts of musical space, musical time, musical force,
and musical motion.6
Certaingeneral characteristicsof the image schemas to be discussed
here shouldbe kept in mind. First,althoughthey arerepresentedin visual
form, the understandingthat they convey is primarily somatosensory.
Ourunderstandingof the interactionof such propertiesas motion, force,
and balance derives from our own bodily motions, from ourselves exert-
ing force and having forces act upon us, and from maintainingour own
sense of balance. Second, two or more image schemas may combine in
cross-domainmappings,allowing for the constructionof more complex
metaphoricalmeanings. Because image schemas are both simple and
abstract,they are easily adaptedto one anotherand a varietyof structural
featureswithinthe targetdomain.Finally,each image schemalends itself
to elaborationon the basis of its entailments,consequences of its struc-
turethatgive rise to moreextendedinferencesandthus to moreelaborate
metaphoricalinterpretations.
The following discussion focuses on those entailmentsand combina-
tions of schemas thatplay a significantrole in the constructionof music-
metaphorical meaning. In some cases, this will involve combining
schemas that govern aspects of bodily experience that are likely to co-
occur.Forexample, ourexperienceof an orderedrelationshipamong sta-
ble and unstabletones appearsto result from the simultaneousmapping
of pitches onto threedifferentimage schemas-CENTER/PERIPHERY, VER-
TICALITY,and BALANCE-reflecting our association of bodily stability
with centeredness,uprightness,and balance.
The CONTAINER schema, by which we conceptualize space, consists

of a boundaryand two regions, inside and outside, as shown in Figure 3.
Entailmentsof the schema that can be inferredfrom the propertiesof
physical containersinclude the following:
(1) An object must be either inside or outside of a container.
(2) Motion from inside to outside (and vice-versa) is constrainedby
the walls of the container.
327

outside
-
boundary
Figure 3. CONTAINERschema
NESTEDCONTAINERS
+ CENTER-PERIPHERY
Figure4. Schema for hierarchy
(3) A containermay itself be in motion.

(4) Smallercontainersmay be nested inside largerones.
(5) The boundariesof a containermay be fixed or flexible.
(6) A flexible containermay expandor contractin response to
changes in internalor externalpressure.
Inthephysicalworld,we experiencecontainmentmostdirectlythrough
our bodies. We experiencethe body itself as a containerwith other con-
tainersnestedwithinit-the lungs, the stomach,andotherinternalorgans.
We experience containmentat a particularlyvisceral level throughthe
expansionandcontractionof the lungs, which give rise in turnto feelings
of tension and relaxation.We also experienceourselves as nested within
a series of ever-largercontainers-a room, a building,a neighborhood,a
city, a state. The schema for nested containersmay also combine with a
CENTER-PERIPHERY schema, as shown in Figure 4. Figure 4 shows one
way in which we understandthe concept of hierarchy-that is, as suc-
cessive layers radiatingoutwardfrom a core. We tend to conceive of its
structureas originatingin the center,with each addedlayer mirroringin
some way the structureof the core.7
The CYCLE schema serves to organize our experience of time and

the changes by which we measuretime. Figure 5 representsthe CYCLE
328

schema in two forms, each highlightingdifferentfeaturesof the schema.
As a circle in Figure 5a, the schema implies continuousmotion along a
closed pathway,each iterationof the cycle ending where it began. As a
wave in Figure 5b, the cycle takes the shape of a repeatingpatternof
peaks andtroughs,suggesting climaxes alternatingwith points of repose.
Figure5b emphasizesthe periodicityof the cycle, its capacityto markoff
equal, or functionallyequivalent,units of time.
The CYCLE schema combines easily with the CONTAINER schema,
incorporatingmuch of its structure.The circle, being closed, can be con-
ceptualized as a containerfor motion aroundits perimeter.In its wave
form, individualiterationsof the cycle mark off units that can be con-
ceptualized as temporal containers, their boundariescorrespondingto
beginnings and ends. These temporalcontainersmay be of fixed dura-
tion, as in the case of conventionalcycles such as minutes, hours, and
weeks, or they may be subjectto expansionandcontraction,as in the case
of most bodily cycles. Cycles may also be nested, with largercycles sub-
suming smallerones, producinga temporalhierarchycomparableto the
spatialhierarchyshown in Figure 4.
An importantfeatureof the CYCLEschemathatis revealedby its wave
a.
b.
Figure 5. CYCLE schema
up vs. down
tension vs. relaxation
Figure 6
329

form is its inherentbinarystructure.As Figure6 shows, each iterationof
the cycle is made up of complementaryhalves. This reflects the alterna-
tion of processes or states relatedby binaryopposition:up versus down,
tension versus relaxation,in versus out, departureversus return.We ob-
serve this sort of opposition in many bodily cycles-the alternationof
left andrightin walking,in andout in breathing,back andforthin swing-
ing. The alternationmay be balanced,so thatthe halves of the cycle mir-
rorone anotherexactly.Orthe alternationmay be asymmetrical,as in the
case of most bodily processes of tension and relaxation,with the climax
sometimes coming well after the midpoint of the cycle. A wave can
assume an infinite varietyof forms, and in fact it is this kind of flexibil-
ity that allows the schema to play such a pervasive part in our under-
standingof temporalexperience.
The schema shown in Figure 7 combines aspects of schemas for

CENTER-PERIPHERY, and BALANCE. It reflects the way that
VERTICALITY,
the force of gravityacts uponthe body,causing us to maintainan upright,
balancedposition with respectto the earth'ssurface.The downwardpull
of the force of gravitycauses us to interpretthe groundas both a point of
origin and a maximally stable position. The closer we are to the ground,
the more stable we feel ourselves to be. The central,verticalaxis can be
interpretedsimilarlyas a maximallystableposition withinthe horizontal
dimension.We experiencethe body as maximallystable when its weight
is evenly distributedaroundits verticalaxis. Any change in this distribu-
tion will cause the force acting on one side of the body to temporarily
outweigh thaton its opposite,resultingin an impulse to adjustthe body's
position so as to restoreequilibrium.
An important entailment of the CENTER-VERTICALITY-BALANCE
schema
is the establishmentof a consistentrelationshipbetween stabilityandten-
sion. We experiencebodily tension wheneverwe extendthe body upward
in opposition to the force of gravity,and likewise we experience relax-
ation when we allow the body to fall back downward.In a similar way,
we tense our muscles when we shift the body away from its centralaxis
forceof up
gravity down
balance- - >
;? -~- ground
center
schema
Figure 7. CENTER-VERTICALITY-BALANCE
330

forceof propulsion
motion
x
o O
source path goal
schema
Figure 8. SOURCE-PATH-GOAL
so as to keep ourselves from being pulled over sideways, and we relax

them again once we realign ourselves vertically.
schema shown in Figure 8 organizes our

The SOURCE-PATH-GOAL
experienceof motion, specifically goal-directedmotion.8The basic com-
ponents of the schema are (1) the source, or point of origin, (2) the goal,
(3) the pathleading from sourceto goal, (4) the trajectoryof motion, and
(5) the force propellingthe motion. Relevantentailmentsof the SOURCE-
schema include the following:
PATH-GOAL
(1) Motion is carriedout by an agent who wills the motion to take

place.
(2) Goal states tend to be maximallyor minimally stable within a
local context.
(3) Lower-levelgoals tend to be subsumedby higher-levelones.
(4) The endpointof motion may or may not coincide with the goal.
(5) Motion may or may not follow a path leading to the goal.
(6) Otherforces, including gravityand inertia,may enhance, inhibit,
deflect, or block motion towarda goal.
(7) Blockage producedby otherforces may be overcome by repeat-
ing the action, increasingthe force of propulsion,or by seeking
alternatepathwaysof motion.
(8) The approachto a goal tends to be accompaniedby an increase
in tension and arrivalat a goal by relaxationand the slowing
and/orstoppingof motion.
Entailment 1 describes a feature of the SOURCE-PATH-GOALschema
that plays a centralrole in its mappingonto tonal music: an agent who
conceives of the goal and who causes motion to take place.9This entail-
ment in turngives rise to many others. Entailment2 suggests that there
are two distincttypes of goals, reflectingthe humanneed for movement,
activity,and challenge on the one hand, and for rest, security,and stabil-
ity on the other. We tend to move through life in cycles in which the
attainmentof one type of goal is followed by striving for the other. In
leaping, we extend the body to its highest possible point, only to seek a
stable landingimmediatelyafter.Entailment3 likewise reflects our need
for a largersense of purpose.When we pursuea higher-levelgoal thatcan
331

only be reachedthrougha series of small-scale actions, we imbue those
actionswith a meaningbeyondtheirimmediatefulfillment.Fromthe tak-
ing of a single step, to the executionof a series of steps from one location
to another,to the completionof an entirejourneyinvolving departureand
return,each completedmotion takes on meaningin relationto the whole.
Entailment4 distinguishesbetween the goal of motion and its end-
point, while entailment5 makesa similardistinctionbetweenthepath for
motionandits trajectory.Both goal andpathwaymustbe conceptualized
before goal-directedmotion can take place. Yet, motion directedtoward
a goal may not reach its goal, or may diverge from the pathwayleading
to it. As entailment6 suggests, otherforces may preventmotionfrom fol-
lowing its expectedcourse. This may resultin the repetitionof action, an
increasein the force of propulsion,or the searchfor an alternativepath-
way, as suggestedby entailment7.
Entailment8 reflectsthe way we experiencespeed andtension as they
play a partin our own goal-directedactions.As we approachan unstable
goal, we tend to move towardit with increasedspeed, tension, and antic-
ipation. Upon reachingthe goal, we tend immediatelyto seek its oppo-
site-stability, relaxation, and the slowing and/or stopping of motion.
Thus, each completed motion correspondsto a completed cycle of ten-
sion and relaxation.
The correspondencebetween completed motions and cycles of ten-
sion and relaxationallows for the superimpositionof the SOURCE-PATH-
GOAL schema onto the CYCLE schema.A single completedmotion is rep-
resentedin Figure9a, a series of completedmotions in Figure9b. In this
superimposition,stable and unstablegoals map onto troughsand peaks,
respectively,while beginnings and ends of motion map onto beginnings
and ends of cycles.
t t t t
tensing speeding unstable departure
a. > relaxing slowing stable return
I I I I
b.
r...._- . .-.-.. .
i -- --...---- -------- ------- - ----------.
and
Figure9. Superimpositionof SOURCE-PATH-GOAL
CYCLE schemas
332

3. Music-Metaphorical Schemas
3.1 Melody. Among the conventions for tonal melody that can be
representedimage-schematicallyare the following:
(1) Melody moves primarilyby diatonic step, secondarilyby chro-
matic step or arpeggiation.
(2) An unstablemelodic pitch normallyresolves downwardand/orto
its neareststable neighbor.
(3) Melody normallycomes to a point of final rest on the tonic.
Evidence of the embodied origins of these conventionsis to be found
in the languageused to describethem.The descriptionof melody as mov-
ing by step clearly reflects the bodily experienceof walking. Interpreted
according to the SOURCE-PATH-GOALschema, it suggests a step-by-step
progression along a pathway leading to a goal. Just such an image is
brought to mind by Schenker's description of the fundamentalline:
"Since it is a melodic succession of definitesteps of a second, the funda-
mental line signifies motion, striving towarda goal, and ultimately the
completionof this course. In this sense we perceiveour own life-impulse
in the motion of the fundamentalline, a full analogy to our inner life."
(Schenker,[1935] 1979, 4)
The schema in Figure 10 makes explicit the cross-domainmapping
that underliesthe metaphorof goal-directedmotion, allowing us to ob-
serve specific points of correspondencebetween musical and image-
schematicstructure.10 It representsthe diatonicscale as a pathwaythrough
melodic space ascending from 1 to 8, with the chromaticscale and the
arpeggiatedtonic triadappearingas alternativepathways.The pitches of
the tonic triadappearas stable pillars, showing that they are likely rest-
ing points for melodic motion. Differences in the width of these pillars
representdifferences in stability,the widest pillar being occupied by 1,
followed by 8, 5, and then 3. Solid and dottedhorizontallines convey dif-
fering degreesof stabilityas well, with diatonicpitches shownto be more
stable than chromaticones.11
Thatthe tones occupying stablepillarsarerankedin the orderin which
they appearin the overtoneseries suggests thatit is in relationto the over-
tone series thattheir stabilityis understood.12Figure 11 providesan em-
bodied explanation.Its mapping of the overtone series onto the VERTI-
CALITY schema portraysthe fundamentalas metaphorical"ground,"the
lowest, most stable location within the musical space of a single tone. By
extension, harmonicroot and tonic pitch can be interpretedas "ground"
tones within triadicspace and key space, respectively.13Since the VERTI-
CALITY schema correlatesstability with vertical height, the relative sta-
bility of the othertones of the tonic triadcan be correlatedwith theirheight
above this metaphoricalground.
333

force of inertia:
ascending A ''-
dpvncndina
..-
/';',' 7 8 force of
.V-~
-
"-,'i~ . gravity
pathways of "
melodic motion: - .
arpeggiated ~ " 3
diatonic -
chromatic L "iL" 2
force of C C# D DO E F F# G Gt A A# B C
attraction: Db Eb Gb Ab Bb
strong X
weak ....
Figure 10. Melodic paths, forces, and stable goals in a majorkey
As a consequence of our interpretingmelodic tones as having differ-

ing degrees of stability,we experiencethem as acted upon byforces. We
feel these forces to act most strongly on the unstabletones of a melody,
pulling them upward or downwardto the closest stable tones. Rudolf
Arnheim (1984) points out that the sensation of forces plays an analo-
gous role in our experienceof visual art.Accordingto Amheim, in view-
ing art, we experiencevisual objects as if they were governedby forces
of attractionand repulsion.The most pervasiveof these forces he likens
to the force of gravity,which causes us to experienceall visual objects as
if they were pulled downward. More localized forces are felt to be
exerted by the individual objects themselves, which we experience as
pulled towardor repelledby otherobjects.Overall,the individualobjects
seem to strivetowardlocationsthatwould allow these forces to come into
balance.
In a similar way, Arheim proposes, we experience musical tones as
subject to both a constant downwardpull of gravity, which acts with
equal strengthat all locations, and a more variable force of attraction
exertedby the tonic. He suggests thatthese two pulling forces act to rein-
force or oppose one another,the downwardforce of gravitylessening the
upward pull to 8 in the motion from 7 to 8, while strengthening the down-
ward pull to 1 in the motion from 2 to 1.
Steve Larson (1993) has elaborated upon Arnheim's theory of melodic
forces, invoking a third force of inertia, which he defines as the tendency
for melodic motion to continue in the same direction. He attributes the
force of tonal attraction not to the tonic pitch alone, but to each member
of the tonic triad, each of which he describes as exerting a pull on the
334

unstablepitches on eitherside. He explainsthatjust as the attractiveforce
of a physical magnet increases with proximity,so does the pull exerted
by stable tones on their unstable neighbors.As a result, we experience
this force as strongor weak, dependingupon whetherthe tones are sep-
aratedby half step or whole step. Thus, we experiencea strongpull from
7 to 1 and 4 to 3, but only a weak pull from 2 to 1 and 6 to 5.
The melodic forces of inertiaandgravitythatLarsondescribesappear
to be the resultof the metaphoricalprojectionof ourbodily experienceof
these forces in the physical world. That we experience the pull of the
tonic with similar vividness suggests that this force also has embodied
origins. In The Body in the Mind, Johnson accounts for the interplayof
visual forces described by Amheim-the experience of objects being
attractedor repelled by one another-in terms of the workings of the
BALANCE schema. I propose that the BALANCE schema similarly under-
lies our experienceof the pull of the tonic.14
We have alreadyobserved that mappingthe overtone series onto the
VERTICALITY schemayields the metaphoricalconcept of tonic as ground.
Yet another image-schematic mapping, that of NESTED CONTAINERS,ap-
pearsto underlieourunderstandingof tonic as center. Based uponexper-
imentaldataon the perceivedrelatednessof tones, Krumhansl(1979) has
proposeda three-tieredhierarchicalarrangementof triadic,diatonic,and
chromaticpitches, which she representsin the form of a three-dimen-
sional cone. Figure 12 shows how this arrangementof pitches can be rep-
resented image-schematicallyas a set of nested containers.The pitches
of the tonic triadconstitutethe core, the remainingdiatonic pitches the
-E
-C
-G
less stable
C more stable
C
fundamental
a ground
Figure 11. OVERTONE-VERTICALITY

schema
335

middle layer, and the chromaticpitches the outermostlayer.This schema
combines the NESTEDCONTAINER schema with CENTER-PERIPHERY
and
BALANCE schemas to representthe pitches of the central tonic triad as
maximally stable, and the remainingdiatonic and chromaticpitches as
progressivelymore unstableas a result of their increasingdisplacement
from the center.
Note that the schema in Figure 12 attributescentricity to the tonic
triadas a whole. In this schema,the pitches of the tonic triadjoin together
to form a central axis, the most stable location within the horizontal
dimension. Yet the pitches of the tonic triad, being of different height,
occupy different positions along the central, vertical axis. Thus, the
BALANCEschema applies both horizontally(i.e., to horizontaldisplace-
ment from the central axis) and vertically (i.e., to vertical displacement
from stable locations along the central axis). As a result, unstabletones
seem to gravitatetowardthe stable tones that are closest in height, each
one acted upon most stronglyby the stable tones immediatelyabove and
below. These two stable tones exert opposing, but unequalforces that-
when combinedwith the force of gravity-determine the overall strength
and directionof the pull towardone tone or the other.
Figure 13 providesa physical analogy,showing the change in the bal-
ance of forces acting upon a block rotatingfrom a lower to an upperposi-
tion along an inclined plane. Like a tonal melody moving through the
space of an octave, the block can occupy four differentstable positions,
one for each side of the block. As the block rotatesfrom one stable posi-
tion to the next, at first the unequalforces acting on either side sum to a
force that strongly favors motion back to the lower position (point b).
Once the block has rotatedhalf way (point c), the force on the left still
slightly outweighs thaton the right,reflectingthe overall downwardpull
of gravity,thus favoring motion once again to the lower position. Con-
tinued rotationof the block eventually results in a change in the overall
direction of the pull (point d), so that the sum of the forces now favors
^Bf -<^>~^^^ ttriadic,diatonic, and

<)D 4 ) collections
"chromatic
"
1^^^f^^^^b' / :~.nested containers
unstable - stable - unstable
Figure 12. NESTED CONTAINER/CENTER-PERIPHERY

schema
336

b.
a.
stable I unstable 'stable
Figure 13
rotationto the higher position. In a similarway, an unstablepitch that is

closer to its lower stable neighbor (i.e., 4), is felt to be pulled strongly
downward,an unstablepitch thatis equidistantfrom its two stableneigh-
bors (i.e., 2) is felt to be pulled weakly downward,while one thatis closer
to its upper neighbor (i.e., 7), is felt to be pulled strongly upward.This
distributionof strongand weak forces of attractionis shown in Figure 10.
Figure 14 reveals a slightly differentdistributionof melodic forces for
the minor mode. Withinthe lower tetrachord,we might expect the low-
ering of 3 to b3in minor to result in a weakening of the pull from 4 to 3
and a change in the directionof pull for 2. Yet 4 and2 resolve in minoras
they do in major, suggesting that the OVERTONE-VERTICALITYschema,
with its implied majortriad,overridesthe schema for the minormode in
determiningthe strength and direction of the pull of the tonic. In the
upper tetrachord,on the other hand, the lowering of 6 to 16 results in a
much strongerdownwardpull to 5. Of the unstabletones of the scale-
2,4,6, and7-only 6 changes its location in the shift from majorto minor
mode. This may explain why i6, much more than ,3, has been ex-
ploited-especially by Romantic composers-as an expressive marker
of the minormode. In harmonicminor,the downwardpull from L6to 5 is
intensified by the opening of a gap between k6 and #7, which impedes
continuedmelodic ascent. It is here that we find the motivationfor rais-
ing both 6 and 7 in the ascending melodic minor scale, and for reverting
to the lowered scale degrees in the descending form. In melodic minor,
forces of inertiaand tonal attractionwork togetherto allow both ascend-
ing and descending motion to follow the path of least resistance.
Differences in the experienceof ascendingand descendingmotion in
majorand minor modes appearto underliedifferences in their affective
associations as well. As far back as the Renaissance, major mode has
been associated with happiness and minor mode with sadness (Zarlino
1558). Arheim (1984) offers a bodily explanation for these feelings,
337

C D Eb F G Ab B4 C
Figure 14. Melodic paths and forces of tonal attractionin a minorkey
attributingthe feeling of "vigor"associated with the majormode to the

ease with which melodic motion seems to ascendwithin the majorscale,
andconverselythe feeling of sadnessassociatedwith minorto the appar-
ent effortfulness of the ascent in minor.15Arheim argues that rising
motionis facilitatedin the majormode by the placementof half steps and
whole steps within the scale. Within each tetrachord,the "vigorous"
motion of the first two whole steps is followed by an easier half-step
ascent at the end, the repetition of this patternof intervals within the
space of an octave causing us to hearthe motion from 3 to 4 as parallelto
thatof 7 to 8. In the minormode, on the otherhand,the lowering of scale
degree3 makestraversalof the lower tetrachordmore difficultby robbing
us both of the vigor of the motion from 2 to 3 and the feeling of resolu-
tion in moving from 3 to 4. The lowering of scale degree 6 makes ascent
within the uppertetrachordeven more difficult,with the ascent from5 to
6 hinderedby the strongpull from L6back to 5 and the ascent from 6 to 7
by the widening of the gap between them.
Figures 10 and 14 provide a "snapshot"view of the distributionof
melodic forces for major and minor scales, implying that the center of
tonal gravity remains fixed. Yet just as we continually shift the body's
center of gravity so as to maintainstability while in motion, we realign
ourharmoniccenterof gravityover the course of a musical work in order
to maintainour sense of stability with respect to harmonyand key. Re-
flecting the nested structureof the tonal hierarchy,we interpretthe root,
third, and fifth of the sounding harmonyas most stable at a lower level
while interpretingthe first,third,and fifth degrees of the key as more sta-
ble at a higherlevel. As a result,we experiencethe forces of tonal attrac-
tion as fluctuatingover the course of a work accordingto local conditions
of harmonyand key.
338

Our experience of pitches an octave apartas not merely closely re-
lated, but in some sense identical, gives rise to yet anothermapping of
melodic space, this time onto the CYCLEschema. In Figure 15, the major
scale is representedas a circularpathalong which motionleads firstaway
from the tonic and then back to its startingpitch. Thus, the path that is
representedas continuously ascending in Figure 10 is representedas
doublingback upon itself in Figure 15.
This experienceof pitches an octave apartas both same and different
allows for a perceptualparadox.On the one hand,we can interpreta scale
as a verticalpathextendinginfinitelyupwardanddownward.Onthe other,
we can interpretit as a closed circle traversingthe space of a single octave.
It is this propertyof musical pitch space-that we experience it as both
"open"and"closed"-that Douglas Hofstadter(1979) bringsto ouratten-
tion as anexampleof the phenomenonhe calls "StrangeLoops."He points
out how this propertywas exploited by J. S. Bach to create a seemingly
infinite ascending sequence in The Musical Offering,which he likens to
the endlessly rising staircasesof M. C. Escher.Shepard(1964) bringsthis
paradoxeven more vividly to our attentionthroughhis computer-gener-
ated "Shepard's tones," which continuously ascend while remaining
within the space of an octave, much as the bands on a barbershoppole
spiralever upwardwhile the pole itself remainsin place.16
Differences in the way we interpretharmonicversusmelodic distance
give rise to a similarparadox.Comparisonof Figures 10 and 12 reveals
that the distance between pitches-our experience of "nearness"and
"farness"-differs for each schema. In Figure 10, closeness is correlated
with pitches that are close in frequency. Thus, C and Db are close to-
gether,and C and G are far apart.In Figure 15, on the otherhand,close-
ness is correlatedwith the closeness of the harmonic relationshipbe-
tween pitches. In this space, C and G are close together,while C and Db
are far apart.Highly chromaticmusic tends to exploit this propertyof
"near-yet-far," using chromaticvoice leading to move easily, yet seem-
ingly mysteriously,to distantregions of harmonicspace.
B-[(-D,
/ \
Be D
return A Ei, departure

A, E
r1. \- F
Figure 15. Circularmelodic path
339

3.2. Harmony. Tonalharmonyappearsto be structuredby the same
image schemas as tonal melody, with a similarset of mappings.That we
describe harmonyin terms of progression suggests that the orderingof
harmony,like that of melodic tones, is governed by the SOURCE-PATH-
GOALschema. On the one hand, tonal harmonyprovides supportfor the
tones of the melody, its "pillars"making motion along an underlying
melodic pathway seem secure; on the other, it traces its own course
throughtonal space towardits own goals.
The simplest mapping of tonal harmony onto the SOURCE-PATH-GOAL
schema is the one Schenkerproposedas the harmoniccounterpartto the
motion of the fundamentalline. According to Schenker,in the progres-
sion I-V-I,"arpeggiationof the bass signifies movementtowarda specific
goal, the upperfifth, and the completion of the course with the returnto
the fundamentaltone" (Schenker 1935, 2). Schenker'sderivationof the
I-V-I progression from the overtone series-the "chord of nature"-
brings into play the VERTICALITY schema, with its mapping of tonic as
ground. As a result, the progressionI-V-Ievokes the experiencenot only
of departureand return,but also of rise and fall, tension and relaxation.
Figure 16 shows how Schenker'sinterpretationof the fundamentalstruc-
ture can be representedimage-schematicallyas a single goal-directed
motion from 3 to 1 in the uppervoice accompaniedby two goal-directed
motions-from 1 to 5 and back to 1-in the bass.
Completion of the I-V-I progression brings into play the CYCLE
schema, and with it implicationsof closure and containment.By itself,
the I-V-I progressionrepresentsa completed cycle of departureand re-
turn,tension and relaxation.Yet the oppositionbetween tonic and domi-
nant also lends itself to continuedoscillation, producingthe wave form
of the CYCLE schemawith its familiarpeaks andtroughs,as shown in Fig-
0 a
3 2 1
I V I
Figure 16. Image-schematicrepresentationof Schenker's

fundamentalstructure
340

V V V V
..... .- ,....- . . - - tonic > ground

I I I I I
Figure 17. I-V-I cycle
. -IV - vii
(IV -vii -) iii vi ii - I
Figure 18. Schema for harmonicpathways
ure 17. Oscillationbetween I and V can provide an impulse for continu-

ous motion like that of a bouncing ball or an oscillating spring. Dance
movements,in particular,often make use of the oscillationbetween I and
V to feed continuousmotion in the foregroundwhile avoidingthe impli-
cation of largerarcs of motion in the background.
The I-V-I cycle may be expandedto bring into its compass other dia-
tonic harmonies, as shown in Figure 18. This figure offers an image-
schematicview of harmonicconventionsof the common-practiceperiod,
representingthe most commonly traveledharmonicpathways for both
major and minor.17It shows the I-V-I cycle nested within a series of
expanded cycles, each of which representsa longer path through har-
monic space beginning and ending at I. The longest path for harmonic
motion can be interpretedas the backwardsextension of the pathfromV
to I to form a completed diatonic circle of fifths, along which harmonic
motion progressesindefinitelyby falling fifth (as indicatedby the right-
ward arrows), suggesting once again the influence of a metaphorical
force of gravity.Justas continuousmelodic descent along a diatonicpath
brings us back to our startingpitch after seven steps, harmonicdescent
along the diatoniccircle of fifths bringsus back to where we began after
a sequence of seven fifths.
The asymmetricalarrangementof chordswithin the schemaof Figure
18, with its proliferationof chords and arrows on the right-handside,
suggests that we experience harmonicmotion as if it were carriedout
under the influence of the centripetal force of the tonic. The schema
shows IV and vii appearingtwice-at the beginning of a cycle of fifths
and above ii and V, respectively-suggesting that we interpretthese
chords as the intersectionof two harmonicpathways.Although IV and
341

vii can function as the first steps within a descending fifth progression,
more often thannot they substitutefor ii andV, respectively,providinga
shorterroute back to I. Alternatively,they may function as intermediate
steps within an interwovencircle of thirds,as indicatedby the downward
arrowsfrom IV to ii andvii to V. Figure 18 also shows IV leadingdirectly
to I as partof a I-IV-Icycle thatinverts,andthuscounterbalances,the rise
and fall of I-V-I.Otheralternativepaths-shown by arrowsleading from
iii to IV, vi to V, and V to vi-can be interpretedas resulting from one
chord substitutingfor anotherof similarpitch content;that is, iii substi-
tutes for I and vi for IV or I. In most cases, similarityof pitch content
translatesinto similarityof meaning, an importantexception being the
deceptive cadence. For we interpretmotion from V to vi not as an alter-
nativepathwayto I, but as the deflectionof harmonicmotion precisely at
the point of expected arrivalat the tonic.
The harmonicspace of Figure 18 may be furtherexpandedby substi-
tuting chromaticallyaltered chords (secondary dominants, augmented
sixths, modal mixture, and Neapolitansixths) for their diatonic equiva-
lents. The raising and/or lowering of individual tones within altered
chordsdoes not so much changethe expectedcourse of harmonicmotion
as heighten the effect of the melodic forces that contributeto musical
expressiveness.In particular,secondarydominantsand augmentedsixth
chordstend to heightenour experienceof goal-directedmotion by creat-
ing temporaryleading tones thatstrengthenthe feeling of pull towardthe
next chord.By contrast,the chromaticalterationsthat give rise to modal
mixtureand the Neapolitansixth are experiencedprimarilyas a change
in affect. Modal mixturehighlights the contrastingaffective qualities of
majorand minorby juxtaposingthem, the effect being much like that of
chiaroscuro-the juxtapositionof darkand light areasin visual art.The
Neapolitansixth takes on its own special affective characterthroughthe
lowering of 2 to form a majortriadin place of one that would otherwise
be diminished. It connotes the positive affect of major in a context in
which the chord itself-built upon a root outside the key-is tonally
unstable. Perhaps reflecting this, nineteenth-centurycomposers often
used the Neapolitanto portraytransientor illusory states of happiness.18
Higher levels of tonal organization-levels at which we experience

modulationas motion from one key space to another-are represented
image-schematicallyin Figures 19-25. These figures combine CYCLE,
PATH, and CONTAINER schemas to reveal the image-schematicorganiza-
tion of the nested hierarchiesof pitch, harmony,and key. Each figure
elaboratesupon the precedingone, showing a progressiveexpansion of
harmonicspace from diatonicto chromaticand from fifth to triadic.
Figure 19a begins by representingthe diatoniccollection as a circular
pathwaythrough"fifth space,"reflecting our intuitionthat tones a fifth
342

,FF G
--- > Eb A
B D
Ab E
'Db,. F .-B'
Gb
a. b.
Figure 19. Circularpathwaysin "fifthspace"
apartare in some sense adjacent;that is, maximally close.19In Figures

19a and b, we see how image-schematiclogic plays a role in modifying
the sounds given to us by nature.A series of pure fifths never doubles
back upon itself to form a perfect circle but ratherextends infinitely up-
ward and downward.That is, motion by pure fifth never returnsto its
startingposition within the chromacircle. However,a nearlyperfectcir-
cle can be constructedout of a seven-note series by joining top and bot-
tom pitches, B and F, to form a diminishedfifth. This diatoniccircle can
then be expandedoutwardto the next point of near-perfectionby extend-
ing the series from seven notes to twelve. Whereas a diatonic series of
fifths can be representedimage-schematicallyas a closed circle by ac-
cepting the presence of a single diminishedfifth, in the case of the chro-
matic circle, closure is attainedby temperingeach fifth to bring F# into
alignment with Gb, thus spreadingthe imperfectionout over the entire
cycle.20
These two paths throughfifth space are superimposedin Figure 20,
highlighting an important correlation between CONTAINER and PATH
schemas. When we project the diatonic collection onto the chromatic
circle, the diatonic collection appearsnot only as a segment of a longer
path,but as a containerenclosing seven pitches of the circle. This divides
chromatic space into two regions, diatonic pitches appearing"inside"
and chromaticpitches "outside"the container.Througha mappingof the
MOVING
CONTAINER
schema, we can then interpret modulation as motion
of the diatoniccontaineralong the chromaticcircle of fifths.Accordingly,
the distance between two keys correspondsto the distancethe container
must move around the circle of fifths-either clockwise or counter-
clockwise, "upward"or "downward"-to get from one key space to the
other.
343

It is here that we find an embodied explanationfor the tendency to
interpretmodulationtowardthe sharpside of the circle of fifths as tens-
ing and towardthe flat side as relaxing, for these are the very sensations
that we associate with the upwardand downwardmotions of the human
body. This interpretationof the sharp vs. flat dichotomy has a history
nearly as long as that of majoras happy and minor as sad. Theoristsand
composers of the eighteenthand nineteenthcenturiesdescribedmodula-
tion to the sharpside as "tensing,""strengthening,"or "hardening,"and
modulationto the flat side as "relaxing,""softening,"or "weakening."21
Such terms were used to describe not only modulation,but the charac-
teristics of sharpand flat keys themselves in relationto C major(Steblin
1981). In some cases, these attributionstook the form of conventional
associations of particularkeys with particularsettings; for example, F
majorbecame known as the "pastoral"key. Since F majoris reachedby
moving down one step from the "natural"key of C major, suggesting
relaxation, it may have seemed particularlywell suited to portraythe
simplicity of natureand the relaxed characterof rurallife.
The paradox of "same-yet-different"comes into play once again in
our experience of modulation, since continuous upward ("tensing")
motion or downward("relaxing")motion along the circle of fifths even-
tually doubles back on itself; movementby six sharpsbringingus to the
same place as movementby six flats.Yet Beethoven (and others)claimed
to have had no difficulty distinguishingthe "hardness"of the key of C#
majorfrom the "softness"of Db major(Steblin 1981). That enharmoni-
cally equivalent sharp and flat keys can be experienced as having dif-
ferent characterssuggests that the distinction is made on the basis of
whether one understandsthe key to have been reached throughmotion
upwardor downwardfrom C major.
Figure 21 representsthe outwardexpansion of fifth space to "triadic"
space, constructedby adding to each fifth a major third, thus capturing
our intuition that these three tones are maximally close, reflecting their
Ebmajor
circleof 5ths Cmajor
pathway modulation '
.-'~ I ~\l motionof container

diatoniccollection
container clockwisej up
E counterclockwise= down
diatonicj inside
chromatic outside Db.. Ft.
Figure 20. Schema for modulation
344

D.A. .--.E.
' Bb D..:
.'. . i .
44?
Figure 21. Triadicspace
adjacency within the overtone series. The added major thirdsjoin to-
gether to form a second circle of fifths, interlockedwith the first as part
of a chain of alternatingmajorand minorthirds.Once again, we see how
the impulse for containment and closure serves to shape the musical
material provided by nature. Pure thirds, in exact imitation of nature,
would producea set of tones thatareclose to, but not identicalwith, those
of the first circle of fifths, resulting in a potentially infinite outward
expansionof pitch space. In orderto achieve closure in triadicspace, the
thirdsmust be tempered-as were the fifths in chromaticfifth space-so
as to bring the tones of the second circle into correspondencewith the
tones of the first.
Triadic space, like fifth space, brings into play NESTEDCONTAINER
andPATHschemas,as shown in Figure22. Figure22 representseach triad
not only as a set of three adjacenttones, but also as a containernested
within the successively larger containersof the diatonic and chromatic
pitch collections. Furthermore,just as any two adjacenttones of the inner
circle of fifths may join with the interveningtone in the outer circle to
form a major triad, any two adjacenttones of the outer circle may join
with an interveningtone of the inner circle to form a minor triad.Thus,
the minor triad,despite its absence from the overtone series, assumes a
prominenceequal to that of the majortriadin triadicspace.
Figure 22 also shows how the NESTED CONTAINERschema combines
with the CENTER-PERIPHERYschema to represent the tonic triad as cen-
ter. As Figure 22 shows, the tonic triadoccupies the central,most stable
position withindiatonickey space, being balancedby overlappingIV and
V chords arrangedsymmetricallyon either side. This helps to explain
why the I-V-I cycle so often expands to I-IV-V-I,the latter being the
resultof joining togetherthe ends of the diatonicsegmentof triadicspace
to form a circle (thus reversingthe process of expansion carriedout in
fifth space). The I-IV-V-Icycle can be representedin wave form by plac-
345

IV
a minor triad *close V C major triad *> center
Dths B triadic & diatonic

cths& 3rds E'
:,5ths&3rds=
:A A; collections 0
pathways
"pathways c: ' nested containers
C,,,..\w
**L;'#
Gb major triad : distant B*G
Figure 22
I ...-j- .j.\ I tonic X center
IV
Figure 23. I-IV-V-Icycle
ing IV at the lowest point, V at the highest, and I at the midpointof the
wave, as shown in Figure 23. This schema representstension and relax-
ation as a functionof displacement-not from tonic as ground-but from
tonic as center. Thus, the I-IV-V-I cycle emphasizes the opposition
between dominantand subdominant,with the tonic triadappearingat the
point where opposing forces come into balance.
Figure 22 representsin more concrete form the harmonicpathways
shown in Figure 18. Harmonic progression can be interpretedimage-
schematicallyas motion of the triadiccontaineralong one of three alter-
native paths: the inner circle of fifths, the outer circle of fifths, or the
interwoven circle of thirds. Harmonicdistance thus correspondsto the
distance traveledaroundthe circle in moving from one chord to another.
Modulationcan be representedsimilarly as motion of the key container
along one of these three pathways,in this way introducingan additional
degree of freedomfor change of key. Whereasin fifth space, C majorand
a minoroccupy the same space, in triadicspace, they occupy distinct,but
overlappingspaces. Thatis, modulationfrom C majorto a minorappears
as motion of the diatonic containeralong the circle of thirdsby a single
step in the counterclockwise direction, as shown in Figure 24. This
causes D, the "highest"note within the space of C major,to reappearas
346

the "lowest"note within the space of a minor.It also causes the main axis
containingthe structuralfifths of the key (tonic, dominant,and subdom-
inant)to shift from the innerto the outercircle, these now being filled in
not by majorthirds,butby minorones. Thus, key space undergoesa kind
of inversion,reflectingthe flipping of all of the triadsacross the central
axis, so that the triads that were majorbefore are now minor, and vice-
versa.
Figure25 shows the furtherexpansionof triadicspace to major-minor
space, formed throughthe addition of a third circle of fifths inside the
first to form two interlockingchains of thirds.This schema allows us to
representparallel major and minor as overlappingcontainers,which in
turncan combine to form the expandedspace of modal mixture.Figure
25 shows that the move from major to parallel minor does not involve
motion along any of the three pathways,but ratherthe "flipping"of dia-
tonic space across the central axis, capturingour intuition that parallel
keys lie side by side.22
*
a minor
C major
circle of 3rds
0 pathway
Figure 24. Modulationfrom C majorto a minor
C majorandC minor E
overlapping containers
.
A#" .B
'
,c ? c"/.'
C",--'FI,
G.: . j~"/
.J A-..D.
D~* *~~B~*G1
Figure 25. Major-minorspace

347

The shift frommajorto parallelminorpreservesthe structuralfifthsof
the key, thus heighteningour perceptualawarenessof the loweredthirds.
This throws into relief the affective propertiesof the change of mode,
which combines the characteristicsof the move from majorto minor-
from happyto sad-with that of softening associatedwith the addingof
flats. In this case, the effect of softening is due not to downwardmotion
of the key container,but to the lowering of 3, 6, and 7 in melodic space.
That a shift either to the minor mode or to the flat side of the circle of
fifths is accompaniedby downwardmotion-whether in harmonic or
melodic space-may help to explain why eighteenth- and nineteenth-
centurytheoristsattributedmany of the same qualitiesto minor and flat
keys, and likewise to majorand sharpkeys, with minorkeys having mul-
tiple flatsthoughtto be particularlysad and languid,and majorkeys with
multiple sharps thought to be particularlycheerful and lively (Steblin
1981).
The schemas that underlieour interpretationof harmonyas stable or

unstableappearto be the same as for melodic tones, namely, the OVER-
TONE-VERTICALITY and NESTED CONTAINER/CENTER-PERIPHERY schemas.
It is the latterschema that appearsto govern our perceptionof harmonic
stabilityin relationto a tonic. This is conveyedmost clearlyby Figure26,
which lays out the circularspace of Figure22 in horizontalfashion, with
the chain of interlockedtriadscontinuingindefinitelyin eitherdirection.
Like the melodic schema of Figure 12, it representsthe tonic triad as a
containernested at the centerof diatonicspace, itself nested within chro-
matic space. It representsboth tonic triadandkey as centrallylocatedand
thus maximally stable, and other harmonies and keys as increasingly
unstablethe greatertheir displacementfrom the tonal center.
The schema of Figure 26 relates to that of Figure 22 much as our
embodied experience of the earth'ssurfacerelates to reality;that is, we
experiencethe earth'ssurfaceas flatbecause its curvatureis hiddenfrom
us. In a similar way, the curvatureof triadic space remains unnoticed,
allowing us to interpretthe continuouschain of interlockedtriadsas the
"horizontal"dimension of harmonicspace, in contrastto the "vertical"
dimension that dictates the arrangementof pitches within individual
chords.Like the surfaceof the earth,triadicspace lacks a fixed center,the
symmetricalarrangementof tones in triadicspace giving no inherentpri-
ority to any particularpitch, triad,or key over any other.Only with the
establishmentof the key of a musical work do the hierarchicalrelations
of the NESTED CONTAINER/CENTER-PERIPHERY schemabecome a percep-
tual reality.
While our perceptionof harmonicstabilityin relationto a tonal cen-
ter appearsto be governed by the NESTED CONTAINER/CENTER-PERIPH-
ERY schema, our perceptionof the stabilityof individualchords appears
348

IV I V
- - -Bb - -,F *- -C - - G - D- /V -F - - C --G?- --- Dt --. At - -
.---G'B-----A,F--- ESB F-- : A:---"
--'(O---D- E
---"- Fi#---"C---
unstable -- stable -- unstable
Figure 26. Schema for harmonicstability
to be governed by the OVERTONE-VERTICALITY

schema. That is, the over-
tone series serves as a prototypeagainst which we measurethe stability
of each vertical sonority.23Since the overtone series representsthe most
stable harmonicconfigurationof pitches, the more closely the arrange-
ment of pitches correspondsto the overtone series, the more stable the
sonority will seem to be. Thus, in tonal music, the preferencefor chords
with the root in the bass at beginnings and endings of arcs of tonal
motion, and especially the preference shown for a spacing that comes
close to duplicatingthat of the overtone series-i.e., root, octave, fifth
and third-appears to be not just a matterof preferencefor good sonor-
ity, but a reflectionof the psychological desire for maximumstability at
points of musical repose. Likewise, the preferencefor ending works in
the minormode in the parallelmajoror with a Picardythirdcan be taken
to reflectthe closer correspondenceof the majormode to the OVERTONE-
VERTICALITYschema, causing us to experiencemajoras more stablethan
minor.
We have distinguishedhere between the "horizontal"and "vertical"
dimensions of harmonicstability on the groundsthat the formeris gov-
erned by the NESTEDCONTAINER/CENTER-PERIPHERYschema and the
latter by the OVERTONE-VERTICALITYschema. Yet from an experiential
standpoint,the two dimensions are not entirely separable.As we have
alreadynoted, mappingtonic as groundsupportsour interpretationof the
bass of I-V-I as ascending from the groundand then returningto it, thus
contributingto our sense of the stabilityof the tonic. If insteadof return-
ing to tonic, harmonicmotion continues in the same directionalong the
circle of fifths, ascent will also appearto continue, with the root of each
successive chordseeming to move to its upperfifth.The resultis the para-
doxical sensationof motion ascendingcontinuouslyalong a closed path-
way, once again bringingto mind the endless staircasesof M. C. Escher.
3.3. Phrase Structure. Figure 27 shows how the phrasestructureof
a musical work maps onto a combination of CYCLEand SOURCE-PATH-
schemas, showing how the phrasesof a musical workcan be under-
GOAL
349

melodic
t t T t peak
speeding tensing rising unstable m
slowing relaxing falling stable .i ..
~ 4^~ 4
4^ 4^~ ....---
- -.'-*- ""
-.\ ---tonally - most s
?--;- distant
.=
I ,V-I I V V .X X .V-I
o departure *0 o--return --
Figure 27. Schema for phrasestructure
stood as a series of goal-directedmotions, with smaller arcs of motion

nested within largerones. It capturesthe way thatharmony,melody, and
rhythmwork togetherto articulatea series of completedmotions within
an overall progressionof departureand return.In its depiction of a spe-
cific numberof phrases and relatively specific tonal plan, it constitutes
more of a prototypethan a schema, illustratinghow the conventions of
phrasestructuremight be realized in a typical work or section.
The rise and fall of each arc of motion reflectsthe normativeshape of
the melodic line-the way thatmelody tendsto rise andfall over the span
of a phrase. Underlying this interpretation is the VERTICALITYschema
andthe implicationthatmotionis carriedout underthe influenceof grav-
ity. We naturallyinterpretrising lines as requiringan output of energy
and tension in orderto overcomethe force of gravity,and falling lines as
giving into it. It is in the domain of melody that the mapping is most
clearly iconic, since the rise and fall of each arc of motion correspondsto
the actualtrajectoryof the melodic line.
Horizontalarrowsrepresentcompletedarcs of harmonicmotion, each
supportinga completed arc of motion in the melody. The overall trajec-
tory of harmonicmotion shows the expected cycling of harmonyaway
from the tonic and expansionof the tonic-dominantcycle. Thus, the ini-
tial arc of harmonicmotion-leading from I to V and back to I-under-
goes expansionover the next threephrases,revealinga generaltendency
towardmotion leading away from tonic to a point of greatesttonal dis-
tance followed by motion of return.
Each phraseis representedas having two distinctgoals: the climax of
the phrase-the turningpoint between tension and relaxation,and the
cadence-the maximally stable event at the end of the phrase.The cli-
max is nearerthe end thanthe beginningof each phrase,reflectinga pat-
tern of tension and relaxationfamiliarto us from everydayexperience.24
350

The rise and fall of each wave reflects a general correlationamong five
pairsof oppositions:speeding vs. slowing, tensing vs. relaxing,rising vs.
falling, unstable vs. stable, and departurevs. return.We have already
observed correlationsamong the last four of these in mappings of har-
mony and melody onto the OVERTONE-VERTICALITYand NESTED CON-
TAINER/CENTER-PERIPHERY schemas. In laying out the music along a
temporalaxis, we can see how rhythmalso contributesto our experience
of music as goal-directed motion through our mapping of changes in
durationonto motion startingand stopping, speeding and slowing.
Rhythm makes the metaphor of goal-directed motion particularly
vivid, for musicalrhythmsmap notjust metaphorically,butliterally,onto
the sounds of bodily motion, in particularthe soundof our own footsteps
in walking or running.It is primarilyrhythmthattells us where each arc
of motion begins and ends. The rise and fall of each arc of motion in Fig-
ure 27 reflects this, showing the tendencyfor musical motion to acceler-
ate leading up to a climax, followed by deceleration and the eventual
stoppingof motion with the arrivalat a stable goal.
The slurs underneaththe harmonyshow that phraserhythmtends to
be both regularand binary,at its most regularforming hierarchiesof 2-,
4-, 8-, and 16-barunits.Suchrhythmicregularityclearlyreflectsthe work-
ings of the CYCLEschema.At manylevels of temporalexperience,human
activity tends to organize itself into cycles. From low-level patternsof
walking and breathingto higher-level patternsof waking and sleeping,
working and resting, we use these cycles to locate ourselves within the
flow of time, anticipatingthe timing of upcomingevents throughthe reg-
ularityand predictabilityof the cycles thatthey help to define. In a simi-
lar way, we attuneto the periodicitiesof tonal music to anticipateupcom-
ing events within a musical work. Tonal music reflects the regularityof
the rhythms of everyday life while emphasizing the synchronization
among simultaneouslyunfolding events, yielding a multi-leveledrhyth-
mic hierarchythat is regular,yet flexible. At the phraselevel, this regu-
larity allows us to anticipatewhere arcs of motion will end, thus to hear
phraseexpansionas a delay in the expected arrivalat a tonal goal.
Together,the music-metaphoricalschemas of Figures 10 through27
show that the bodily metaphorsthat underlietonal conventionare both
complex and systematic. They show that the basic metaphorof goal-
directedmotion is supportedby mappingsof tonic as centerand ground,
triadsandkeys as nested containers,scales andarpeggiosas pathwaysfor
melodic motion, circles of fifths and thirds as pathways for harmonic
motion, andtonal motion as subjectto forces of gravity,inertia,and tonal
attraction.These basic-level metaphorsmay undergoextensive elabora-
tion in the context of a musical work organized according to narrative
principles. The MUSIC-AS-NARRATIVEmetaphor, which portrays the events
of a musical work as a coherentseries of actions, supportsmany higher-
351

level conventionsof tonal music, includingthose of form.As the follow-
ing section will show, many of these conventionscan be capturedin the
form of schemas for musical plot structure.
4. Music as Narrative
Accordingto Ivan Todorov,an ideal narrativebegins in a stable state,

progresses toward disequilibrium,then reaches a new state of equilib-
rium by the end.25The general outlines of such a narrativestructurecan
be seen in the rising and falling contoursof Figure 27. If Figure 27 por-
traysthe overall shape of a musical narrative,then the music-metaphori-
cal schemas of Figures 10 through 26 provide us with more detailed
informationabout its possible content. Figure 28 illustratessome of the
ways that the three most importantfeaturesof these schemas-contain-
ers, pathwaysand goals-can play more specific roles in the elaboration
of musical plot.26
Figure28a suggests thata musical container,at its simplest,functions
metaphoricallyas a containerfor motion. Among the musical elements
that can serve as metaphoricalcontainersare an interval,a chord, a key,
anda registralspan.One of the most vivid meansof evoking containment
is throughthe use of a stable intervalas a containerfor the motion of the
melodic line. In particular,the octave-the outsideintervalof the chroma
circle-combines the propertiesof stability and closure that we associ-
ate with physical containers.Many simple melodies remain entirely or
mostly within the span of an octave, either from 1 to 8 or 5 to 5, suggest-
ing a mapping of OCTAVE-AS-CONTAINERcombined with either TONIC-
AS-GROUND or TONIC-AS-CENTER. These two mappings are portrayed
image-schematicallyin Figure29.
Some musical containers,once established,may expandandcontract,
as shown in Figure 28b, giving rise to feelings of tension and relaxation.
We have alreadyseen thatthe schema for an expandingcontainerunder-
lies the gradualexpansionof the I-V-I cycle over the course of a musical
work. It is also reflectedin the expansion of key space to include chro-
matically alteredchords. Figure 30 offers an image-schematicinterpre-
tation of the expansion of diatonic key space to incorporatemodal mix-
ture,augmentedsixth chords,the Neapolitan,andthe two most common
secondarydominants,V/IV and V/V. The expanding containerschema
may also come into play in our experience of melodic containment.A
melody may remainwithin the bounds of an octave only to extend this
range upwardby a single step at the climax. The feeling of tension that
results can be attributedboth to the ascent and the force needed to over-
come the resistanceof the upperboundaryof the octave.
Perhapsthe most visceral experience of expansion comes from the
registralexpansionthatresults when the rise and fall of the melodic line
352

a. containerfor motion b. expansion of a container
. .............
.......... ....
. ..............
c. containerin motion
C X Q
d. motion from one
containerto another
30)
4 .1
e. departurefrom and f. following an alternative
returnto a pathway
pathway
g. overcomingblockage
i.
.a
At
h. reachingthe boundary i. escape from j. gaining entry
of a container a container to a container
Figure 28. Schemas for musical plot structure
is mirroredby contrarymotion in the bass. From a bodily perspective,

registralexpansion and contractionmap most naturallyonto motion of
the chest and lungs as we inhale and exhale. The lungs firstexpand,fill-
ing with air, as a result of the tensing of the muscles of the diaphragm,
and then contractas a result of their relaxation.Roger Sessions (1950)
once defineda musical phraseas "thatportionof music thatmust be per-
formed ... figurativelyin a single breath."This suggests that we experi-
353

to - ............8 ceiling
ito8
octave .............................
4J
container
-1 floor
5to5
octave
ocav 1 * center
container
Figure 29. Schemas for melodic containment
.A.-.---:.E ,- diatonic key space
', 'B - chromatically

b?' "
:c '..:.. : c. ..c
*.*G. - **F
F*''*. ' *B
Figure 30. E of
xpansion key space
ence the expansion and contractionof registralboundariesin the typical

phraseas mirroringthe motion of the chest and lungs in respiration.
Figure28c shows the schema for a containerin motion, alreadyfamil-
iar to us as a means of representingchange of key. We have seen that
modulationcan be portrayedimage-schematicallyas the motion of a key
containeralong the circle of fifths. Figure 28d offers an alternativeview
of modulation-one thatrepresentschange of key as motion leaving one
containerand enteringanother,thus crossing a boundarybetween them.
Whetherwe interpretchange of key accordingto one schemaor the other
is likely to depend in partupon the relative smoothness or abruptnessof
the tr ansitio n
between and
keys, whetherthe passage tou ches upon the
interveningkeys over the course of the movementfrom one key space to
the
other.27
The remainingschemas of Figurere 28 flect
eng the agement of higher
levels of cognitive processing. To interpretmusic according to these
schemas, one must not only be familiarwith tonal convention, but also be
able to bringboth partsof the cognitive cycle-jumping and checking-
354

into play. In Figures 28e-g, featuresthatappearin parenthesesrepresent
parts of a schema recalled from memory but not actually heard, corre-
spondingto the listener'sunfulfilledexpectations.In orderto experience
melodic motion as departingfrom and returningto a pathway,as shown
in Figure 28e, the completedpathwaymust firstbe constructedin imag-
ination.To experiencemotion as blocked, as in Figure28g, one must first
imagine the goal towardwhich motion is directed.
WhereasFigures 28e and f show how meaningresultsfrom the diver-
gence of a musical patternfrom schemas for tonal convention, Figures
28g-j show how meaning results from the divergenceof a patternfrom
earlierversions of itself. In Figures 28g-j, each schema featuresa series
of repeatedmotionsdirectedtowardthe same goal. These schemasreflect
ways in which entailments 6 and 7 of the SOURCE-PATH-GOALschema
work in conjunctionwith one anotherto suggest the need for repeated
action. Entailment6 suggests thatpursuitof a goal may be frustratedby
forces that inhibit, deflect, or block motion, while entailment7 suggests
thatthese forces may be overcomeby repeatingthe action, increasingthe
force of propulsion,or by seeking alternatepathwaysof motion. It is in
Figures28g-j thatwe see how intra-opuspatternrepetitioncontributesto
our experience of music as narrative.
Because in the case of intra-opuspatternmatching,the patternheard
and the patternrecalled from memory are equally concrete, mappings
can be relativelyprecise, allowing even subtle differencesto take on sig-
nificance. Mappings involving intra-opus patterns and tonal schemas
often work together, the mapping of intra-opuspatternsmaking overt
those based on tonal convention.That is, they make it possible for us to
hear literally what we would otherwise only imagine. In the final action
representedin Figure28g, continuationof motion confirmsthe existence
of a pathwayand goal that were previously only imagined. Likewise, in
Figure 28i, the continuation of motion that previously ended at the
boundaryof the containerallows us to understandthe boundaryof the
containeras having blocked earlierattemptsat escape.
To see how intra-opuspatternmatchingand schemasfor plot structure
work togetherto give rise to musical narrative,it will be useful to exam-
ine a work in which these come fully into play. Schubert's"Du bist die
Ruh"' (Example 1) provides a useful illustration.In analyzing a work
with text, we can considerhow meaningemerges not only from the three
forms of patternmatchingalreadydiscussed, but also from the matching
of the image-schematicstructureof the music to thatof the text. In music,
as in poetry,differentmetaphoricalmappingsoften work togetherto cre-
ate a unified effect. Image schemas for containers,cycles, and pathways
share structuralfeaturesthat allow them to be combined, each mapping
onto differentdimensions of a musical work at the same time. The vari-
ous alignments among these mappings contributeto the music's meta-
355

phorical resonance, resulting in an intensificationof meaning like that
found in poetry.28In a textedwork,this effect is furtherheightenedby the
resonancesestablishedbetween music and text.
5. Analysis of Schubert's "Du bist die Ruh"'
Before examiningthe image-schematicstructureof the music, it will

be useful to considerthatof the text. Figure31 shows the text of "Dubist
die Ruh"' side by side with its translation.Wordsand concepts thathave
particularresonancewith respect to the poem itself are underlined.The
text, like the music, takes on meaning with respect to itself throughthe
recurrence of certain sounds and images: "peace," "longing," "joy,"
"pain,""eyes,""heart,"and "fullness."
The poem is structured image-schematically by CONTAINER and
SOURCE-PATH-GOAL schemas. The schema for goal-directed motion is
evoked in connection with entering and filling two bodily containers,
the eyes and the heart, two metaphoricaldwelling places for the soul.
The image of a filled containerbecomes increasinglyvivid as the poem
progresses,reaching a climax at the very end with the words, "O fill it
full!"
The poem gains much of its emotionalforce from two pairsof expres-
sive oppositions-peace versus longing and pain versusjoy-providing
an opportunityfor the heighteningof expressionthroughtheirjuxtaposi-
tion. At the beginning of the poem, the heart-metaphorically, the bod-
ily containerfor emotion-is filled with joy and pain. The beloved is bid
to enterthe dwelling place of the heartthrougha doorthatopens andthen
closes, to drive out the pain and fill the heartwith joy. The poem closes
by juxtaposing two complementarypositive images-the filling of the
heartwith joy and the filling of the eyes with radiance.
These are the metaphoricalmeanings of the poem for which we shall
seek correspondencesin the music. As the analysis will show, the images
conveyed by the music do not form a one-to-one relationto those of the
text, but rathercomplement them, elaboratingupon and extending the
metaphoricalmeaningsof the text.
Figures 32 and 33 providethe main frameworkfor the analysis of the
song. They reveal generic-level metaphoricalmeanings that result from
the song's conformanceto tonal convention,as well as the more specific
meanings that result from deviations from convention and from intra-
opus patternsestablishedearlier.
Figure 32 shows how the music of "Du bist die Ruh'" maps onto the
schema for phrasestructure.The upperpartof the figure shows the pre-
cise trajectoryof melodic motion and placementof stable and unstable
goals within each phrase;phraserhythmandarcs of harmonicmotion are
representedbelow. As the figure shows, the music divides clearly into
356

1) Du bist die Ruh, You are rest,
Der Friede mild, Mild peace,
Die Sehnsuchtdu, You are longing,
Und was sie stillt, And that which stills it
2) Ich weihe dir I consecrateto you,

Voll Lust und Schmerz, Full of joy and pain,
Zur Wohnunghier As a dwelling here
Mein Aug' und Herz, My eyes and heart,
3) Kehr'ein bei mir, Come enter in,

Und schliesse du And close
Still hinterdir The door quietly
Die Pfortenzu, Behind you.
4) Treib'andernSchmerz Drive otherpain

Aus dieser Brust! Fromthis breast!
Voll sei dies Herz May this heartbe filled
Von deinerLust, With yourjoy,
5) Dies Augenzelt, The tabernacleof these eyes,

Von deinem Glanz By your radiance
Allein erhellt, Alone is lit,
O full' es ganz! O fill it full!
Figure 31. FriedrichRiickert's"Du bist die Ruh"'
three sections: a piano introduction,a first phrase group, to which are

sung the first four stanzas,and a second phrasegroup, to which the fifth
and final stanza is sung twice. For convenience, individualphrases are
numbered one through seven. Notable departuresfrom convention-
those for which we shall seek metaphoricalexplanation-are markedby
exclamationpoints.
As Figure 32 shows, the song exhibits many featuresof conventional
phrase structure-the regular nested cycles of tension and relaxation,
rise and fall, stability and instability, and departureand return.As we
might expect, the song as a whole reachesboth its climax and its melodic
high point in its penultimatephrase.Most lower-level arcs of motion-
sections, phrases, and subphrases-exhibit a similar patternof tension-
relaxationand melodic rise and fall. Yet two phrasesdepartin a notable
way from the schema for melodic shape:in phraseone, the melodic peak
occurs very close to the beginning;in phrasesix, it occurs at the very end.
Arcs of harmonicmotion and phraserhythmlargely conform to con-
ventions governed by the CYCLEschema. Arcs of harmonic motion
357

Du bist die Ruh
Langsam (Lento)
66,
bbJJ R n J w
:JI. jdj -"
1- ?"L' r? '
7
Du bist die Ruh, der Frie - de mild,
, L f- F F f-
^
12
P Paw 1I
Vr
7'wp- die Sehn - suchtdu,
riI und
f
was
r sie stillt. Ich wei he
{ mV
r, r^ i W= i _vri r ____
17
^ I13-;
ti dir
7 -
voll Lust und Schmerz

r
zur Woh-
p ir
nung hier
, 11 1 . I 1* AI JI JI I J J I
)7r CL (, L - F
Example 1. Schubert,op. 59/3, "Du bist die Ruh"'
358

22
6,~~~~i,
mein Aug und Herz, mein Aug und Herz. _
I J- I' I A I
f~ ~~' f.
31
A
~ I J ~'I J ~ ~
~Kehr ~~~ ~
ein bei mir, und schlie Be du still hin ter
36
dir die Pfor ten zu. Treib an - dern Schmerz
Example 1. (continued)
359

41
aus dieser Brust! voll sei dies Herz von dei- ner
:~ f. f- r f'
46
Lust, von dei- ner Lust.
TV TT r 1- J J
i
M
JJ. I
51
y^: -r- -r - -r -
-
-' L"
-
I
I
_
I -
ir
Dies Au - gen- zelt, von
r>-
'
-r
56
iKS Wr
dei -
o|r
nem Glanz
rr
al - lein
n
er
|
-
ir -1
hellt,
~' '1T ei fffr '- -r -r -r r :r r T

_ cresc. f
360

'
62
o fill es ganz, o full es ganz!
I.. J
ijbs Iw j nIo -W-
67
"Ir - r -rFm
I :
Dies Au - gen- zelt, von dei - nem Glanz al
|< ^^^B~~~~ ^^^^b F ~F cresc.
72 -P- . P
' "
T Pt I - \-llr
lein er - hellt, o full es ganz,
i -
78
_-~ ~-, Ir , I 1
o full es ganz!
-'
361

r- piano introduction-I , ~~I~ firstphrasegroup
climax of first phrasegroup
(2) 8 (3) 8 (4) 1 (5)

..... . ... ..... .
.........
.....
8 12 16 20
I V7-I II:I-...--V7-I I-------V7-I vii?7/V----V vii?7/V..---V7-I :I
'2 / `2"2 / ' 2 /
7! /'-2 -22
4 4--4 "4 "6
18
0 departure 0 0-- return-0
second phrasegroup
climax of song
- Ab5
(6) / (7)
expansion ' 4
of ....................................... ... ... .... ...
containf
container
- E 4 ........ ............. ........ ...... ............

..
54 62
II:I V7/IV-I V- IV6-------V7-I:

7! - '""'
12
12
0- departure --*0 0- return--
Figure 32. Phrasestructureof Schubert's"Du bist die Ruh"'

(piano interludesand postlude omitted)
exhibit the progressiveexpansionof the I-V-I cycle, leading to and away

from the tonic in ever-widening circles. Phrases one, two, and three
returnimmediatelyto I, while phrasefour cadences on V followed by a
returnto I at the end of phrasefive. The point of greatestdeparturefrom
tonic coincides-as we might expect-with the climactic sixth phrase,
which cadences on IV aftertonicizing bVI.
The phraserhythmis for the most partregularand binary,showing a
predominanceof two- and four-barunits. Once again, the most notable
departuresfrom conventionare to be found in the firstand sixth phrases,
which departin strikinglysimilar ways. Each consists of a single unin-
terruptedarc of tonal motion seven measureslong. These two phrases-
which stand out by virtue of their length and melodic shape-relate to
362

one anotheras do the complementaryimages of eyes and heart;that is,
througha combinationof similarityand contrast.In the analysis thatfol-
lows, we will discover other ways in which these two phrases comple-
ment one another,highlightingtheir special relationshipto the song as a
whole.
Figure 32 also shows how the melody takes on more specific meta-
phorical meaning through mappings of the CONTAINERFOR MOTIONand
EXPANDING CONTAINER schemas. In the piano introduction and first
phrasegroup, the registralspace occupied by the melody is framedby 1
and8, the melody reachingup repeatedlyto 8 yet neverextendingbeyond
it. The firstpartof the song thus establishesthe octave as a containerfor
melodic motion, with 8 as ceiling and i as floor, allowing us to hear the
melodic ascent of phrasesix as expandingthis container.
Figure 33 shows how the varied repetition of intra-opuspatterns-
especially those of melody-contributes to our hearing of the song as
narrative.As in most tonal works, patternsrecurat many differentlevels,
from individualmotives to entire sections. Figure 33 focuses our atten-
tion on one level in particular;namely,that of the phrase.It is largely at
the phrase level that the musical plot structureof "Du bist die Ruh"'
unfolds.29
While the narrativestructureof "Du bist die Ruh'" is largely articu-
latedthroughthe variedrepetitionof phrase-levelpatterns,motivic recur-
rence also contributesto our sense of an unfolding narrative;in particu-
lar,the recurrenceof the suspension/appoggiatura figurethatfirstappears
in measure3. Figure 33 shows all statementsof this motive, allowing us
to see how the motive takes on meaningin relationto the whole.
In Figure 33, the music has been reducedto an outer-voiceframework
that focuses attention on tonal motion just beneath the surface. The
reductionrevealsthreedifferentlevels of melodic motion.At the surface,
appearingas small, unstemmednotes, are the suspension-appoggiatura
figures. At the first level of reduction, appearingas stemmed notes, is
what I will refer to as the underlying melodic line, a reduction of the
melody to one note per harmony.It is largely the motion of the underly-
ing melodic line that gives rise to our experience of an unfolding narra-
tive. Within this line, the reduction distinguishes between motion fol-
lowing a pathway and motion departingfrom a pathwayusing beamed
half notes and quarternotes, respectively.Harmonicmotion is differenti-
ated in a similarway using half notes and quarternotes in the bass.30
In Figure 33, different statementsof the same patternare vertically
aligned, making it easier to observe similarities and differences in suc-
cessive statementsof each pattern.Aside from the piano interludesand
postlude,all of the music of "Dubist die Ruh'" can be assigned to one or
the otherof the two paradigmaticaxes shown.Axis 1 tracesthe evolution
of a patternof melodic ascent from 5 to 8, while axis 2 traces the evolu-
363

3 f
piano
introduction
phrase1
firstphrase
group 8
phrase2
12
paradigmatic paradigmatic
axis 1 axis 2
phrase3 phrase4
phrase5
secondphrase
group 54 I I
phrase6
;
IV6 it V7
I ; VI6! VAVI WVI V V7/IV! IV
.................
t expansionof melodic,registral,
andtemporal containers
Figure 33. Paradigmaticanalysis of "Du bist die Ruh"'
364

tion of a patternof melodic descent from 6 to i. The piano introduction
combines the initial rise of axis 1 with the fall of axis 2, thus introducing
the two "plotlines" to be developed over the course of the song.
We are now in a position to examine "Du bist die Ruh"' from the
standpointof how each phrasecontributesto the meaning of the song as
a whole. Once again, exclamationpoints are used to indicate significant
deviations from pre-existentpatterns,whetherpatternsof tonal conven-
tion or intra-opuspatternsheardearlierin the work.
The piano introductiondoes much to establishthe mood of the song's
title, conveying restfulness through its treatmentof melody, harmony,
key, rhythm,and texture.The underlyingmelodic line moves entirelyby
step, rising gently from 5 to 6 before descending to the tonic. This is set
harmonicallyby a series of sixth chords, its parallel voice leading sug-
gesting smoothnessand fluidityof motion. The tonality of Eb majorand
the pure diatonicism contributeto its relaxed character,as do the slow
tempo, the unchanging harmonic rhythm, and the repetitive rocking
motion in the right hand.All musical forces-propulsive, inertial,gravi-
tational,and attractive-appear to be at a minimum,allowing the melody
to remain momentarily suspended at its modest peak before drifting
slowly to a point of repose.
The only apparentdisturbancein the serenityof the stepwise descent
is the suspension figure that appearsunadornedin measures3, 4, and 5,
then echoed in ornamentalform in the obbligato voice that comes to the
fore in measure6. The suspension, one of the most conventionalmodes
of expression in tonal music, can be interpretedmetaphoricallyas the
musical agent's momentaryresistanceto the downwardforces of gravity
and tonal attraction.That the agent eventuallyyields to these downward
forces may explain why the suspensionhas so often been describedas a
"sigh."The pervasivenessof the suspensionfigurein phraseone overlays
the sense of restfulnesswith its opposite, longing, conveying an amalgam
of feelings that musically capturesthe words of the second line of the
poem, "Youare longing, and that which stills it."
Phrase two maintainsthe restful characterof the piano introduction
while continuingits initial melodic ascent to a new point of repose on 8.
It is in this phrasethat we hear the first melodic and harmonicdeparture
from tonal convention. Melodic motion skips upwardto Eb, departing
from an ascending pathwayfrom 5 to 8; harmonicmotion is simultane-
ously divertedto I6before closing on the expectedV7-Icadence. Melodic
and harmonicdepartureand returncombine with registralexpansionand
contractionto markthe ELas the climax of the phrase.
The expressivequalityof the Ebof measure 10 is similarto thatof the
suspensionfigureheardin the piano introduction.Justas we can interpret
a suspensionas the musical agent's resistanceto the forces of gravityand
tonal attraction,we can interpretmelodic departurefrom a pathway as
365

the musical agent's willful shifting of motion away from its expected
course.31Furthermore,the strong correlationbetween measures 10-11
and measures 6-7 encourages us to map the former onto the latter, as
shown by the dotted lines. The Eb-D of measure 10 echoes the Eb-D of
measure6, evoking similarfeelings of longing.
Following a literalrestatementof the music of phrasetwo for phrase
three, the course of action shifts smoothly,almost imperceptibly,to axis
two. As the dottedlines show, phrasefour maps onto the descendingpor-
tion of phraseone. The substitutionof the sharplydissonantvii07 of V of
measure 16 for the vi6 of measure2 introducesnew tension, as does the
move towardthe sharpside of the circle of fifths, reflectingthe introduc-
tion of the word Schmerz(pain). Melodic and harmonicmotion at first
continue as in phraseone, with the C-Bb suspensionover V6 in measure
17 recallingmeasure3. Yetthe phraseremainsin the key of the dominant,
with Ah substitutingfor Ab in measure 18. The resultingupwardforce of
tonal attractioncounteractsthe downwardforces of inertiaand gravity,
blocking the continueddescent heard in phrase one and deflecting mo-
tion back upwardto 5. Yet the surfacemelody does not stop on 5, butcon-
tinues all the way to 8, as if the chromaticallycharged,#4gives the line the
momentumit needs to attain,if only briefly,its previousheight. This is
again accompanied by an outward expansion that reaches its greatest
extension on the Eb. Significantly, the EL resolves prematurelyto D,
recalling the earlier EL-Dfigure of measures 6 and 10 while deflecting
motion back to its expected place of rest on 5.
It is in the final phraseof this group that intra-opuspatternrepetition
makes its most significantcontributionto the narrativestructureof the
song. The firsttwo measuresof phrasefive areidenticalto those of phrase
four, stronglyinducing us to map the formeronto the latter.As a result,
we expect to hearAMin measure22. When Al appearsin its place, this
note takes on an affective characterthatits surfacenormalitybelies. For
as Figure 33 shows, the harmonyand underlyingvoice leading are iden-
tical to that heardin measures3-7. It is only when we trace the precise
course of change in the patternunfolding along axis 2 that the signifi-
cance of the Abbecomes clear.Havingheardthe AMof phrasefour as cre-
ating blockage, we hear the Ab of phrasefive as undoing that blockage,
thus reopening a pathway that had been closed just a moment before.
This is reflected in the close alignment between text and music in the
fourth stanza, the two contrastinglines of text, "Drive other pain from
this breast"and "May this heart be filled with your joy," being under-
scored musically by tension and blockage giving way to a release of ten-
sion thatallows melodic motion to continue-as it did in the piano intro-
duction-to a state of repose.
This phrasealso illustrateshow patternrepetitionitself may be expe-
rienced as a force that governs the trajectoryof melodic motion. In the
366

physical world,our actionsarepropellednotjust by force of will, butalso
by force of habit. Having performedan action once, we are predisposed
to repeatthat action.32In a similar way, intra-opuspatternsseem to give
rise to theirown repetition,like precutgrooves thatchannelmotion, even
if somewhatarbitrarily,in a particulardirection.It is to this metaphorical
force thatwe might attributethe seeming inevitabilityof musicalpatterns
that unfold along the lines of those heardearlier.Thus, the arc of rising
motion initiatedin measure 18 preparesthe way for its variedrepetition
in measures22-23 and 24-25. Furthermore,the changes introducedinto
the patternwith each repetitionecho earlierpatterns,with the Eb-D-ELof
measures 22-23 recalling the Eb-D-Ebof measures6-7 and 10-11 and
the Bb-AM-Bb recallingthe EL-D-Ebfigureof measures22-23. Thus, what
might otherwisepass for motivic unity can be understoodmetaphorically
as the tendency of musical behaviors, like other human behaviors, to
repeatthemselves.
The piano interludesof measures 26-29 and 49-52 reflect upon the
preceding text and music while setting the stage for musical events to
come. They reflect upon the opposition between joy and pain described
in stanzas two and four througha highly conventionalmode of expres-
sion; namely, the immediatejuxtapositionof parallel major and minor.
Variedpatternrepetitionat the measurelevel over a tonic pedal focuses
our attentionon the contrast,as do the stress accents thatmarkthe alter-
nationbetween 46and b6.The referenceto the immediatemusical past is
made more vivid by the resolutionof b6to 5 in alternatemeasures,bring-
ing to mind the similarresolutionof b6to 5 in the suspensionfigurethat
appearsin the piano in measures 18 and 41.
After repeatingthe music of the first phrase group for stanzas three
and four, Schubertreturnsto axis one for the climax of the song. Phrase
six begins in precise imitationof phrasestwo and three. But in measure
55, the chromaticalterationof C to Cb,foreshadowedby the piano inter-
lude, opens up an alternativepathwaythat passes throughthe key space
of Cbmajor.When the melody ascends to Eb,we no longer hearit as 8 in
the key of Ebmajorbut as 3 in Cbmajor.Whereaspreviouslythe 7-8 res-
olution put a halt to the ascent on the Eb,the change of key bypasses the
expected cadence, allowing the ascent to continue all the way to Ab.
This melodic ascent, like the descent of the precedingphrase,takes on
moredefinitemeaningin relationto earlierevents.As alreadynoted,each
phraseof the firstphrasegrouprises up to and then falls away from Eb5,
as if it were a ceiling beyond which motion cannot go. Each time, the
familiarsuspension figure expresses a yearningthat we come to associ-
ate with falling away from this ceiling. When in the climactic phrase,the
ascent continues,we experiencethe removalof blockage, as if once again
a door has been opened that was closed before, making it possible to
ascend to a previously unattainableheight. Just as the Ab of measure22
367

opens the door to continueddescent to the cadence, the Cbof measure55
opens the door to continuedascent to the climax.
The resultingmelodic expansionis mirroredby similarexpansionsof
register and duration.The registralexpansion heard in phrases two and
three here continues to the very end of the phrase, allowing us to inter-
pretthe earlierexpansionof registralspace-like thatof melodic space-
as having been blocked by the Eb5. Success in overcoming blockage is
communicatedthrough other changes in the treatmentof melody, har-
mony, rhythm,and texture.In contrastto the melodic fluctuationsof ear-
lier phrases,melodic motionis entirelystepwise with no changein its rate
and direction, implying an absence of opposing force. In place of first-
inversionharmoniesand stepwise motion in the bass, we hearroot-posi-
tion chords and bass motion by falling fifth, which-along with the
parallelfifths and octaves and graduallythickeningtexture-suggest sta-
bility andstrength.The suspensionsthatgave the openingphraseits sense
of longing are here transformedinto appoggiaturasin an innervoice that
suggest the overcomingof gravitywith their ascending leaps.
The modulationfrom Eb majorto Cb majorcontributesfurtherto the
feelings evoked by the climactic phrase.As Figure 34a shows, Cb major
lies a full four steps below El majoralong the circle of fifths, nearly the
other side of the circle. Yet Schubertmakes the transitionfrom Eb major
to Cb majorseem particularlysmooth by hinting at Eb minor in the pre-
ceding piano interlude,thuspreparingus to hearmotion along the shorter
route throughmajor-minorspace shown in Figure 34b.
The sensation of motion throughkey space thus minimized, attention
focuses on the change in emotional state. The CLof measure55 bridges
two opposing emotional states, appearingfirstas b6'in Ebminorand then
as i in Cb major,reflecting the transitionfrom pain to joy described in
majo.r ....*'.E
~F :DF*.' B
Figue
3.AtEb E major
.'D..
A G
TlG' (Ebminor) F..
'
C, C6major
F)
\AF \ ::..Cm C"
ci,' G?FLb ' G
G=FL
A? . ..'..
F'? D"...D"L'-
Cbmajor ''Bb?...*:'Eb''
a. b.
Figure 34. Alternativetonal pathwaysfrom ELmajorto CLmajor

368

depressed
Figure 35. Expressiveoppositions

stanza four. After the tension created by the move to the sharp side of
the circle of fifths in phrases4 and 5, the additionof four flats in phrase
6 takes us far to the side of relaxation.Combiningthese two expressive
oppositions-major/happy versus minor/sadand sharp/tenseversus flat/
relaxed-makes possible theexpressionof four"mixed"emotions:happy-
tense (eager), happy-relaxed(peaceful), sad-tense (anxious), and sad-
relaxed (depressed),as illustratedin Figure 35. The additionof four flats
and the returnto the puremajormode in the climactic phraseshifts us to
the leftmost side of the affective plane. The change of key, the melodic
ascent, and the registralexpansion combine to evoke feelings of peace-
fulness and expandingjoy.
In the climactic phrase, the image-schematic structureof the music
does not so much reflectthe meaningof the text as amplify and extendit.
In the poem, the eyes and heartare representedas metaphoricalcontain-
ers, filled, respectively,with the radianceof the beloved and feelings of
joy. What the words do not specifically describe,yet the music conveys,
is the expansion of these two metaphoricalcontainers.It is not until we
hearthe finalwordsof the text, Ofiill'es ganz! (O fill it full!) thatwe fully
graspthe meaningof the climactic phrase.Its remarkableexpansioncon-
veys the image of these two bodily containersbeing filled to theirfullest
extent, an image thatbecomes increasinglyvivid as we approachthe end
of the phrase.Forjust as the melody reaches3 in measure59, suggesting
the likely arrivalat a cadence, V7 of IV takes the place of the expected I,
causing the melody to ascend yet one more step to 4. To accommodate
the unexpectedlengtheningof the phrase,the final syllable (-hellt) under-
goes an expansionof its own.33At the same time, the suddenstoppingof
surfacemotion in measure59 and the diminuendoover the last two bars
suggests that all availableenergy has been taken up by the ascent to the
climax. The vocal line remainssuspendedin this elevated state for a full
369

measureof rest before picking up where it left off in phraseseven on 4,
an octave lower, to retracethe path of descent heardin phrasesone and
five.
In recalling the descent of phraseone immediatelyafterthe ascent of
phrase six, Schubertsets the emotional content of these two phrases in
relief. Though widely separatedin time, the two phrasesand their asso-
ciated web of affective states establish a relationshipto one anotherthat
contributesgreatlyto the emotionalcharacterof the song. Their similar-
ities-their lack of internal subdivision and their unusual length and
melodic shape-serve to heighten our sensitivity to their differences-
bass motion by step, invertedtriads, and falling melodic motion in the
introductionversusbass motionby fifth,root-positiontriads,andmelodic
ascent at the climax. In this way, Schuberthighlights an affective oppo-
sition thatis only hintedat by the text, yet is centralto the music.Whereas
phrasesfour and five focus on the contrastbetween pain andjoy, phrases
one and six highlightthe oppositionbetween peace andjoy, the two pos-
itive emotional states associatedwith love.
6. Conclusion
Havingcompleteda narrativeanalysisthatshows how variousaspects

of the presenttheoryapplyto a tonalwork,we may findit useful to return
to our starting premise to reflect upon its broader implications. The
groundingof the theoryin principlesof humancognition suggests thatit
should be applicablein some way to all musics. Given its emphasis on
the mediatingrole of tonal conventionin cross-domainmappings,what
relevancedoes the theoryhave for music outsideof the common-practice
period? What evidence do we find that the bodily image schemas de-
scribedhere also underliethe music of othertimes and cultures?
Froma historicalperspective,we findevidence of the shapingforce of
embodied metaphorin the changes in compositionalpracticethat led to
the evolution and eventualdissolution of functionaltonality.From rules
governingthe range and placementof structuraltones for chantmelody,
to the preferencefor contrarymotion between outer voices with the ad-
vent of polyphony,to the gradualexpansionof harmonicspace from fifth
to triadic and from diatonic to chromatic,to the hierarchicalnesting of
arcs of tonal motion throughthe stratificationof melody, harmony,and
key, and finallyto the openingup of new harmonicpathwaysandregions
within the fully expandedchromaticspace of the Tonnetz,it is possible
to understandthe evolution of tonal convention as reflecting the ex-
ploration over many centuries of tonality's potential for metaphorical
expression.
By the end of the nineteenthcentury,the expressivepotentialof con-
ventional tonality seemingly exhausted, composers began to seek new
370

tonal languages with fresh expressive resources. Schoenberg made the
most radicalbreak,not only emancipatingdissonancebuteliminatingthe
centralityof the tonic, yet manyof his atonalandeven twelve-tone works
appearto be organizedaccordingto narrativeprinciples, with plots un-
folding along paradigmaticaxes like those found in "Dubist die Ruh'."34
Many of his more conservativecontemporariessimply redefinedtonality,
incorporatinginto their music fresh material-new modes, scales, and
harmonies-that offered new possibilities for metaphoricalexpression.
The presenttheory may have particularrelevancefor this body of music,
for much of it appearsto be governed,at least at times, by metaphorsof
goal-directedness,verticality,groundedness,andcontainment.The music-
metaphoricalschemas presentedhere could be modified to make them
more suitable for mapping onto the post-tonal and neotonal works of
Debussy,Stravinsky,Bart6k,andothers.Pentatonic,whole-tone,andocta-
tonic pitch collections suggest different musical geometries, each with
differentintimationsof grounding,centering,stability,balance, contain-
ment, and strongand weak forces of tonal attraction.An investigationof
these pitch collections from the standpoint of their image-schematic
structurecould provide the basis for more meaningful analyses of this
repertoire.35
Ethnomusicologistshave just begun to investigatethe role of bodily
metaphorsin non-Westernmusic, yet early evidence suggests that meta-
phorplays an equally importantrole in organizingthe music and musical
theoriesof othercultures.Justas eighteenth-andnineteenth-centurycom-
posers andtheoristsassociatedparticularmelodic figures,harmonies,and
keys with particularemotional effects, the Kaluli of PapuaNew Guinea
associate certainmelodic figureswith particularemotions and emotional
behaviors;for example, they attributeto the descendingminorthirdfeel-
ings of sadness, isolation, and loss (Feld 1981). Yet the Kaluli conceptu-
alize melody metaphoricallynot as motion of the humanbody, but as the
motion of water as it flows throughstreams,waterfalls,and pools. The
predilectionfor expressing human agency and goal-directedmotion on
an epic scale may in fact be unique to Western art music, with other
musics, includingmuch contemporaryWesternartmusic, derivingmuch
of its meaning from metaphorsthat come from nature.Debussy saw his
music as evoking "the movement of the waters... the play of curves
describedby the changingbreezes";Messiaen, "theeternityof space and
time";Steve Reich, "thechanginglight as clouds move slowly across the
sky."These descriptionsprovide a strong contrastto the emotional evo-
cations of theirRomanticpredecessorsjust a centuryearlier.In the words
of Liszt, "onesymphonyexpressesto a supremedegreethe severalphases
of passionate, joyous feeling, another-elegaic mourning, another-
heroic enthusiasm,still another-sorrow over an irreparableloss."
Music speaks to us with an immediacy that leaves us largely uncon-
371

scious of the means by which it achieves its effects. Yet the fact that it is
capable of evoking such powerful and varied emotions suggests that it
reflectsupon embodiedexperienceat a very deep level. By extendingour
explanationsof musical structureinto the metaphoricaldomain, we can
better understandmusic's capacity-long recognized but little under-
stood-to convey the innermostrealms of humanexperience.
372

NOTES
1. Margolis'stheoryof patternmatchingfinds supportin the theoryof neuralnet-

works,which explainsour capacityfor patternrecognitionandcategorizationas
resultingfrom the selective strengtheningand inhibitingof neuralconnections.
Fora discussionof theimplicationsof theneuralnetworkmodelformanyhuman-
istic disciplines,includingmusic,see Churchland1995.
2. Althoughthe ideasdevelopedherearebasedprimarilyuponJohnson'sTheBody
in theMind(1987), theyalso drawuponthe workof LakoffandJohnson1980 &
1999,Turner1991& 1996,LakoffandTurner1989,TurnerandFauconnier1995.
TheBody in the Mindprovidesthe most detailedaccountof the image schemas
thatunderliethe music-metaphorical schemasto be developedhere.
3. LakoffandJohnson'sworkandthe relatedworkof TurnerandFauconnierhave
inspireda rapidlygrowingbodyof writingsby musictheoristson embodiedmean-
ing in music.See, for example,Feld 1981,Walser1991, SaslawandWalsh1996,
Saslaw1996& 1997,Larson1997,Zbikowski1997& 1999,Cox 1999,andCook
2001.
4. The presenttheorydoes not exhaustthe possibilitiesfor musicalmeaning;for
example,it does not explainthe meaningattributable to a waltz,a gigue, or a mil-
itarymarchby virtueof its associationwitha particularsocialcontext.In semiotic
terms,the theorycan be said to deal with the firstof CharlesPeirce'sthreecate-
goriesof sign, the icon, to the exclusionof the othertwo, the indexandthe sym-
bol. Symbolicand indexicalmeanings,sometimesdescribedin termsof topic,
havebeentheprimaryfocusof manytheoriesof musicalsemiotics.See, forexam-
ple, Agawu 1991,Hatten1994,Tarasti1994,andMonelle2000. It wouldbe pos-
sible, drawinguponcognitivemodels alreadyavailable,to expandthe cognitive
basisof the presenttheoryto accountfor suchculturallybasedmeaningsin terms
of patternmatching.Deacon(1997) has theorizedthatthe symbolicandindexical
meaningsof languagegrowoutof iconicmeaningthroughhigherlevels of cogni-
tive processing.The same is likely to be true-if to a more limitedextent-of
music.Formusiclies at the otherend of the spectrumfromlanguagewithrespect
to the balanceit maintainsamongthe threetypes of sign function.Musicrarely
achieves-primarilybecauseit rarelystrivesfor-the puresymbolismthatlies at
the heartof language.
5. The conceptof a paradigmaticaxis, along which unitsare relatedby similarity,
comes fromstructurallinguistics.Structurallinguistsdevelopeda systemof par-
adigmaticanalysisfor languagethatwas laterappliedto musicby Ruwet(1972)
and Nattiez (1975). The paradigmaticanalysesof Ruwet and Nattiez divide a
musicalworkintoits recurrentpatterns(motives,phrases,sections,etc.), aligning
these verticallyto revealtheirsimilaritiesanddifferences.Paradigmatic analysis
will be usedlaterto showhow narrativemeaningresultsfromthevariedrepetition
of intra-opuspatterns.
6. Such concepts,which combinefeaturesof two differentdomains,are examples
whathas been called conceptualblending(Turnerand Fauconnier1995, Turner
1996, FauconnierandTurner1998).Blendingconsistsof the projectionof struc-
turefrom two or more inputmentalspaces (often a sourcedomainand a target
domain)to a single "blended"space, which takes on structurenot foundin the
373

individualinputspaces.Formoredetaileddiscussionof conceptualblendingas it
appliesto music,see Zbikowski1999.
7. Anothermeansof conceptualizingof hierarchicalrelationsis offeredby various
mappings of the VERTICALITYschema. Zbikowski (1997) has shown that the ver-
ticalityschemaplaysanimportantrolein themodelingof tonalandrhythmichier-
archies,withthe formertendingto be "top-down"
andthe latter"bottom-up."
8. In The Body in the Mind, Johnson refers to this as the PATHschema, but in his later
writings he follows Lakoff in referring to it as the SOURCE-PATH-GOALschema
(Lakoff1987,Johnson1993,LakoffandJohnson1999).
9. While agency plays a centralrole in how we interpretmusic as goal-directed
motion, in some mappings of the SOURCE-PATH-GOAL
schema its role may be neg-
ligible, as whenwe use it to predictthe behaviorof a fallingleaf or a rollingball.
10. Figure10 elaboratesupona similarschemausedby Arheim (1984). In this and
all followingfigures,metaphorical featuresof the schemaappearin italics.
11. Lerdahl(1988) establishesa similarhierarchyof stabilityrelationsamongtriadic,
diatonic,and chromaticpitches.However,becausehis model applies to pitch-
classes,not pitches,his hierarchyexhibitsfive levels ratherthansix.
12. Althoughnot consciouslyperceived,the overtoneseriesfindsits way into mem-
oryas a componentof speechandmusicalsound,whereit servesas a basisforpat-
ternmappingat an unconsciouslevel. Evidenceof thisis providedby the factthat
we areable to recognizea complextone as its fundamental,or its "virtualpitch"
(Terhardt1974, 1979), even when the fundamentalis missing (as in the case of
mostpocketradiosandtelephonereceivers).
13. Thenaturalness of themappingof harmonicrootontofundamental hasbeennoted
by Terhardt(1984), who statesthat"thenatureof the fundamentalnote (root)of
musicalchordsis identicalwith that of the virtualpitch of individualcomplex
tones."(293) Languageitself providesus with evidencethattonic,root,andfun-
damentalhavesimilarmetaphorical meaning.InFrench,thetermfondement means
"bottom";in English,the term"root"suggestsattachmentto the ground;andin
German,the wordfor tonic-Grundton-literally translatesas "ground-tone."
14. The explanationofferedhereexpandsuponan earlieraccount(Brower1997).
15. Lakoffand Johnson(1980) have noted the cross-culturalpervasivenessof the
generic metaphors HAPPYISUP and SAD IS DOWN, suggesting that these metaphors
arebothembodiedanduniversal.
16. Thiscyclic aspectof musicalpitchspaceis sometimesmodeledas a three-dimen-
sional helix, thus superimposingthe spaces representedin Figures 10 and 15.
(R6vesz1913/1954,Shepard1964).Thehelix,however,tendsto obscurethepara-
dox of "same-yet-different" by reconcilingthe conflict betweenharmonicand
melodicdimensions.Forfurtherdiscussionof the perceptualimplicationsof this
model,see Butler1992.
17. A similardiagramcan be foundin KostkaandPayne1995.
18. For example,Schubertuses a tonicizedbIIin Erlkoinigto set the Erlking'sfinal
seductivecall to the child,thenresolvesit to V in g minoras the childis snatched
fromthe father'sarms.Similarly,Hatten(1994) interpretsthe appearance of bIIin
the F# minorslow movementof Beethoven'sHammerklavier Sonata,Op. 106, as
"a [brief]vision of gracein the midstof tragicgrief"(p. 16).
19. Balzano(1980)similarlyconstructsdifferentpitchspacesfromdifferentintervals:
the semitone,the fifth,andthe third.My melodicspacecorrespondsto his semi-
374

tonal space,my fifth space to hisfifths space, and my triadicspaceto his thirds
space.
20. CareyandClampitt(1989)havenotedthatthediatonicandchromaticscalesshare
with the pentatonicscale the propertyof well-formedness,which they definein
termsof a local conditionof symmetry(thediatonicscale, e.g., is generatedby a
single interval,the fifth, always spanningfive scale steps), and alternativelyin
termsof a moreglobalconditionof closure.Thepropertyof well-formednesscan
be explained image-schematically in terms of PATHand CYCLEschemas: the sym-
metryconditioncan be understoodas favoringmaximalsmoothness,while the
closureconditionfavorsthosepathwaysthattakethe shapeof nearlyperfectcir-
cles. (In the case of the pentatonicscale, the imperfectintervalthat"closes"the
circleis a minor6th.)
21. Accordingto Rameau(1754), "theside of the dominant,thatof the risingfifth,is
rightlythe side of strength,so thatthe morefifthstherearein going up, the more
this strengthincreases;the samereasoningholds converselyfor softness,on the
side of the subdominant." This is echoedby Vogler(1779):"if we go up by fifths
throughG, D, A, andE, thereis alwaysanincreaseof strength,effect,cuttingqual-
ity andpenetration.If we go downby fifthsthroughF, Bk,Eb,andAb, all strength
is reducedandthe impressionbecomesdulleranddarker." Similarly,in an eigh-
teenth-century musicalnovelby JohannJakobHeinse,the protagonist-conductor
explainsthatsharpkeys "climbeverhigheruntilheavenis reached;flatkeys sink
to everdeeperlevels of solemnityandearthlypower"(Steblin1981).
22. If onewereto continueindefinitelytheprocessof addingcirclesof fifths,onewould
eventuallyproducea gridthatdoublesbackuponitselfto takethe shapeof a three-
dimensionaltorus.In thatform,it wouldbecomeidenticalto the Tonnetz,a two-
dimensionalgrid used by many theoriststo representspatialrelationsamong
pitches,triads,andkeys.WhileRiemannandhis Germanpredecessorsconceived
of the Tonnetzas madeup of purefifthsandthirds,thusextendinginfinitelyout-
wardin all directions,morerecentrepresentations of the Tonnetzassumeequal
temperament, thusalso theunderlyinggeometryof thetorus.Lewin(1984, 1987),
Hyer(1995), Cohn(1996, 1997),andothershaveusedthe spaceof the Tonnetzto
mapout alternativepathwaysto those shownhere,demonstrating thatit is along
such pathwaysthatmuchof the highly chromaticharmonicmotionof late nine-
teenth-century music takesplace. Such applicationsof the modelof the Tonnetz
could be viewed as intersectingwith and even extendingthe image-schematic
modelof tonalspacepresentedhere.
23. As Krumhansl(1990) describesit, "whencombinationsof tones areheard,tonal
meaning(virtualpitches)are evokedto the extentthatthe soundedfrequencies
matchsomepartof thetemplateof intervalpatterns"(p. 53). Fromtheperspective
of the presenttheory,the overtoneseries servesnot only as template,but also as
prototype.
24. In somephrases,the climaxmayactuallycoincidewiththe arrivalat the cadence,
causingthesetwo goals to collapseinto a singlemusicalevent.
25. Todorov(1981) describestheidealnarrativeas follows:"anidealnarrativebegins
with a stablesituationthatsome force will perturb.Fromwhichresultsa stateof
disequilibrium; by the actonof a force directedin a conversedirection,the equi-
libriumis reestablished; the secondequilibriumis quitesimilarto the first,butthe
two arenot identical"(p. 51).
375

26. Saslaw(1996, 1997)hasshownthatmanyof theseschemasappearin thewritings
of Riemann,Schenker,andSchoenberg,includingexpansionof a container,mo-
tionfromone containerto another,departure fromandreturnto a pathway,andthe
overcomingof blockage.
27. Inherinterpretation of Riemann'stheoryof modulation,Saslaw(1996)represents
modulationyet a thirdway;namely,as motionfromone key containerto another
alonga pathwayconnectingthe two.
28. The idea thatwe may experiencemusicalmeaningas a kind of resonance,also
proposedby Newcomb(1984),mayin facthavea neurologicalbasis.Neurologists
havefoundthatthe meaningof individualobjectsandeventsdoes not registerin
any single place in the brain(Damasio1989 & 1999, Edelman1989). Instead,
meaningappearsto involvethe simultaneousactivationof sometimeswidelysep-
aratedneuronalgroups.Repeatedexposureto the same stimulusstrengthensthe
connectionsamongthese groups,increasingthe likelihoodthatactivationof one
groupwill resultin activationof the others.
29. The phraseappearsto occupya privilegedpositionwithinthe groupinghierarchy
as theunitcorresponding mostcloselyin lengthto thepsychologicalpresent-that
spanof timeoverwhicheventsof theimmediatepastremainin consciousnessand
thusavailablefor cognitiveprocessing.Becausewe can hold an entirephrasein
consciousness,we are able to map a phraseonto earlierversionsrecalledfrom
memoryandheartheirsimilaritiesanddifferencesin relationto the whole.
30. Figure33 adoptscertainconventionsof Schenkeriannotation;i.e., the use of dif-
ferentrhythmicvalues to distinguishamonghierarchicallevels, beamsto show
underlyingstepwisemelodiclines, andslursto showunstablepitchesresolvingto
stableones. I haveused somewhatdifferentcriteriain carryingout the reduction,
however,in thatI haveattemptedto preserveat eachlevel thoseelementsof a pat-
ternsharedby its variants.
31. Thefactthatthe Eb,unlikethe earliersuspensions,is sungratherthanplayedalso
contributesto its expressiveness.EdwardCone (1974) suggeststhatwe attribute
the expressivequalitiesof the vocal line to the fictionalcharacterwhosethoughts
andemotionsthe text conveys,andthatwe understand the singerto be the living
embodimentof this character.
32. Margolismakes no distinctionin his theorybetween patternsof thoughtand
patternsof behavior,notingthatthey are indistinguishable at the level at which
they arerepresentedin the brain;botharesubjectto patternmatchingcarriedout
largelyat an unconsciouslevel.
33. I thankDavidLewinfor bringingthis detailof the image-schematicstructureof
the song to my attention.
34. We can infer that Schoenbergconceivedof music in narrativetermsfrom his
descriptionof a piece of musicas "aphotographalbum,displayingunderchang-
ing circumstancesthe life of its basic idea-its basic motive"(Schoenberg1967,
58). Schoenberg'sfirstatonalwork, Opus 11, Number1, for example,exhibits
manyof the characteristics of a drama,lendingitself to interpretation on thebasis
of a plotthatunfoldsalonga paradigmatic axis establishedby its principaltheme
(Brower1989).
35. Foranillustrationof howtheimage-schematic structureof theoctatonicscalesup-
portsa narrativeinterpretation of Varese'sDensity21.5, see Brower1997.
376

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Yale University Department of Music

A Cognitive Theory of Musical Meaning

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This articlepresentsthe outlines of a theory of musical meaningthat

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This content downloaded from 143.107.252.11 on Wed, 4 Jun 2014 13:28:18 PM

A centralpremiseof the theoryis thatmanytonalconventionsarethem-

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can interpretsuccessive statementsof a patternas a sequence of related

The image schemasthat appearto play the most importantrole in our

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The CONTAINER schema, by which we conceptualize space, consists

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Figure4. Schema for hierarchy

(3) A containermay itself be in motion.

The CYCLE schema serves to organize our experience of time and

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Figure 5. CYCLE schema

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The schema shown in Figure 7 combines aspects of schemas for

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so as to keep ourselves from being pulled over sideways, and we relax

schema shown in Figure 8 organizes our

(1) Motion is carriedout by an agent who wills the motion to take

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This content downloaded from 143.107.252.11 on Wed, 4 Jun 2014 13:28:18 PM

This content downloaded from 143.107.252.11 on Wed, 4 Jun 2014 13:28:18 PM

Figure 10. Melodic paths, forces, and stable goals in a majorkey

As a consequence of our interpretingmelodic tones as having differ-

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Figure 11. OVERTONE-VERTICALITY

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^Bf -<^>~^^^ ttriadic,diatonic, and

unstable - stable - unstable

Figure 12. NESTED CONTAINER/CENTER-PERIPHERY

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rotationto the higher position. In a similarway, an unstablepitch that is

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Figure 14. Melodic paths and forces of tonal attractionin a minorkey

attributingthe feeling of "vigor"associated with the majormode to the

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return A Ei, departure

Figure 15. Circularmelodic path

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Figure 16. Image-schematicrepresentationof Schenker's

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..... .- ,....- . . - - tonic > ground

Figure 17. I-V-I cycle

(IV -vii -) iii vi ii - I

Figure 18. Schema for harmonicpathways

ure 17. Oscillationbetween I and V can provide an impulse for continu-

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Higher levels of tonal organization-levels at which we experience

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Figure 19. Circularpathwaysin "fifthspace"

apartare in some sense adjacent;that is, maximally close.19In Figures

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.-'~ I ~\l motionof container

Figure 20. Schema for modulation

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Figure 21. Triadicspace

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a minor triad *close V C major triad *> center

a minor triad close V C major triad > center