MUSIC, PERFORMANCE, MEANING

This selection of sixteen of Nicholas Cook's essays covers the period from 1987 to 2004
and brings out the development of the author's ideas over these years. In particular the two
keywords of the title-performance and meaning-represent critical directions that expand
to the point that, by the end of the book, they become coextensive: music is seen as social
action and meaning as created by that action. Within this overall direction, a wide variety
of topics is explored, ranging from Beethoven to Schenker, from Chinese qin music to jazz
and rock, from perceptual psychology to sketch studies and analysis of record sleeves. A
substantial introduction draws out the links (and differences) between the essays, sometimes
critiquing them and always setting them into the developing context of the author's work as
a whole.
 ASHGATE CONTEMPORARY THINKERS
ON CRITICAL MUSICOLOGY SERIES

The titles in this series bring together a selection of previously published and some unpublished
essays by leading authorities in the field of critical musicology. The essays are chosen from
a wide range of publications and so make key works available in a more accessible form.
The authors have all made a selection of their own work in one volume with an introduction
which discusses the essays chosen and puts them into context. A full bibliography points the
reader to other publications which might not be included in the volume for reasons of space.
The previously published essays are published using the facsimile method of reproduction to
retain their original pagination, so that students and scholars can easily reference the essays
in their original form.

Titles published in the series

Critical Musicology and the Responsibility of Response
Lawrence Kramer
Music and Historical Critique
Gary Tomlinson
Taking Popular Music Seriously
Simon Frith

Titles to follow
Sound Judgment
Richard Leppert
Reading Music
Susan McClary
Music, Performance, Meaning

Selected Essays

NICHOLAS COOK
Professorial Research Fellow in Music at Royal Holloway,
University of London, UK

ASHGATE CONTEMPORARY THINKERS

ON CRITICAL MUSICOLOGY SERIES
First published 2007 by Ashgate Publishing

Published 2016 by Routledge

2 Park Square, Milton Park, Abingdon, Oxon OXI4 4RN
711 Third Avenue, New York, NY 10017, USA

Routledge is an imprint of the Taylor & Francis Group, an informa business

Copyright © 2007 Nicholas Cook

Nicholas Cook has asserted his moral right under the Copyright, Designs and Patents Act,
1988, to be identified as the author of this work.

All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form
or by any electronic, mechanical, or other means, now known or hereafter invented, including
photocopying and recording, or in any information storage or retrieval system, without
permission in writing from the publishers.

Notice:
Product or corporate names may be trademarks or registered trademarks, and are used only for
identification and explanation without intent to infringe.

ISBN 9780754627180 (hbk)

British Library Cataloguing in Publication Data

Cook, Nicholas, 1950-
Music, performance, meaning: selected essays. - (Ashgate
contemporary thinkers on critical musicology)
1. Musicology
I. Title
780'7'2

US Library of Congress Cataloging-in-Publication Data

Cook, Nicholas, 1950-
Music, performance, meaning: selected essays / by Nicholas Cook.
p. cm. - (Ashgate contemporary thinkers on critical musicology
series)
Includes index.
ISBN 978-0-7546-27180 (alk. paper)
1. Music-Philosophy and aesthetics. I. Title.

ML 3800.C74 2007
781.1 '7-dc22
2007013633

Transfered to Digital Printing in 2011

 Contents

Acknowledgements vii

Introduction IX

Published Writings XIX

11. Musical Form and the Listener (1987) 1

2. The Perception of Large-Scale Tonal Closure (1987) 9

3. Beethoven's Unfinished Piano Concerto: a Case of Double Vision? (1989) 19

4. Schenker's Theory of Music as Ethics (1989) 57

5. The Editor and the Virtuoso, or Schenker vs. Bulow (1991) 83

6. Heinrich Schenker, Polemicist: a Reading of the Ninth

Symphony Monograph (1995) 101

7. Music Minus One: Rock, Theory, and Performance (1995-96) 119

8. The Domestic Gesamtkunstwerk, or Record Sleeves and Reception (1998) 139

9. At the Borders of Musical Identity: Schenker, Corelli and the Graces (1999) 157

10. Theorizing Musical Meaning (2001) 213

11. Fonn and Syntax: a Tale of Two Tenns (2002) 241

12. The Other Beethoven: Heroism, the Canon, and the Works of 1813-14 (2003) 261

13. Performance Writ Large: Desultory Remarks on Furnishing the Abode of the

Retired Scholar (2003) 283

14. In Praise of Symbolic Poverty (2004) 301

15. Writing on Music or Axes to Grind: Road Rage and Musical Community (2003) 307

16. Making Music Together, or Improvisation and its Others (2004) 321

Index 343
 Acknowledgements

The author wishes to acknowledge the following publishers of the original work reproduced
in this volume. Every effort has been made to contact all the necessary copyright holders.

Blackwell Publishing for 'Musical Form and the Listener'. Journal of Aesthetics and Art
Criticism, 46, (1987), pp. 23-9; 'Heinrich Schenker, Polemicist: a Reading of the Ninth
Symphony Monograph', Music Analysis, 14, (1995), pp. 89-105.

Centre for Jazz Studies, Leeds College of Music for 'Making Music Together, or Improvisation
and its Others', The Source: Challenging Jazz Criticism, 1, (2004), pp. 5-25.

Giulio Einaudi Editori for 'Forma e sintassi' in Jean-Jacques Nattiez (ed.), Enciclopedia
Einaudi della musica, ii, (2002), pp. 116--42 (the English original appears in this volume).

Lawrence and Wishart for 'Music Minus One: Rock, Theory, and Performance', New
Formations, 27, (1995-96), pp. 23--4l.

Oxford University Press for 'The Editor and the Virtuoso, or Schenker vs. Bulow', Journal
of the Royal Musical Association, 116, (1991), pp. 78-95.

Sony/ATV Music Publishing (UK) Limited for Don't Look Back In Anger, Words and Music
by Noel Gallagher.© Copyright 1995 Creation Songs Limited/Oasis Music (GB). Sony/ATV
Music Publishing (UK) Limited. Used by permission of Music Sales Limited.All Rights
Reserved. International Copyright Secured.

University of California Press for 'The Perception of Large-Scale Tonal Closure'. Music
Perception, 5, (1987), pp. 197-205; 'Beethoven's Unfinished Piano Concerto: a Case of
Double Vision?', Journal of the American Musicological Society, 42, (1989), pp. 338-74;
'Schenker's Theory of Music as Ethics', Journal of Musicology, 7, (1989), pp. 415-39;
'Theorizing Musical Meaning', Music Theory Spectrum, 23, (2001), pp. 170-95; 'The
Other Beethoven: Heroism, the Canon, and the Works of 1813-14', 19th-Century Music, 27,
(2003), pp. 3-24.

Stanford University Press for 'In Praise of Symbolic Poverty' in Richard J. Boland Jr. and
Fred Collopy (eds), Managing as Designing, (2004), pp. 85-9.

Taylor and Francis for 'Writing on Music or Axes to Grind: Road Rage and Musical
Community', Music Education Research, 5, (2003), pp. 249-61.
VIII MUSIC, PERFORMANCE, MEANING

Illustrations

Staatsbibliothek zur Berlin for figures 1, 2, 3 and 4 in chapter 3.

EMI for figures 4 and 11 in chapter 8

Universal for figures I, 7, 20, 25, 26, 27 and 30 in chapter 8

Music Sales Group/Sony for figure 5 in chapter 11

Oxford University Press for figure 1 in chapter 16

Journal of Music TheorylEd Sarath for figures 2 and 3 in chapter 16

 Introduction

I hope other people are the same: I'm never quite sure what I've said, or what I think about
it, until I see it in print. I read things once or twice after they come out, and then set them
aside. And the older they get, the more I avoid reading them. So I approached the task of
selecting these essays with a mixture of curiosity and apprehension. My criteria were as
much negative as positive. I avoided material which was too obviously tied to particular
occasions, or that I felt had been basically superseded by more recent writings. I avoided
chapters in books which are still in print and widely circulated. For obvious reasons I also
avoided any material that had appeared less than two years ago, or that was still in press; this
was the most frustrating restriction, not just because I like to think my more recent work is
better, but because ofthe way some ofthis material links with my earlier work. For instance,
an essay published in 2006 ('Uncanny moments: juxtaposition and the collage principle
in music') is essentially an outgrowth of note 57 from 'Theorizing musical meaning'. Or
more substantially, the fact that I couldn't include 'We are all (ethno)musicologists now' or
'Encountering the other, redefining the self: Hindostannie airs, Haydn's folksong settings,
and the "common practice" style', prevents there from being a sustained thread exploring
issues of world music and cultural difference-which in turn means it is not obvious that one
of the essays I have included, 'The Other Beethoven: heroism, the canon, and the works of
1813-14' , explores the same issues of alterity, only now in relation to the most canonical of
Western 'art' composers. All the same, what I have expressed as a complaint might be put
more positively: this is work in progress. And the book does include a comprehensive, up-
to-date publication list.
I have arranged the essays by date of publication, which is not always agood guide to when
the work was done, and the first three (which self-evidently predate my encounter with the
'New' musicology as well as the embargo on gender-specific language) are less thematically
related than the rest. Both 'Musical form and the listener' (Chapter I) and 'The perception of
large-scale tonal closure' (Chapter 2) are concerned with the relationship between analysis
and listening experience, but they approach it from very different directions. The former
is oriented towards philosophical aesthetics (hence its publication in Journal of Aesthetics
and Art Criticism), and swept up some work I carried out as a doctoral student but did not
include in my thesis. By contrast, 'The perception oflarge-scale tonal closure' approaches the
relationship between analysis and listening from the perspective of perceptual psychology;
it formed part of an effort to stiffen the empirical dimension of my thesis, which I was at
this time developing into a book (Music, Imagination, and Culture, published in 1990). It
started off as a bright idea that I tried out with my students at Hong Kong University, where
I taught from 1982 to 1990, and then developed by degrees into an article; that is why the
experimental setup was so primitive, and it will be observed that I called in a statistician to
apply Band-Aid to a project that had not been designed properly in the first place. (Hence
x MUSIC, PERFORMANCE, MEANING

the second experiment, which compensates for the failure to control ordering effects in the
first.) But my basic finding-that listeners do not respond strongly or directly to tonal closure
except on very small time scales-has been supported by more professional experiments
carried out since that time,l and the essay attracted a steady flow of commentary, some of it
mentioned in 'Form and syntax: a tale of two terms' (Chapter 11 in this collection).
I have kept in touch with both philosophical aesthetics and perceptual psychology, but
only from the margins: as represented by Peter Kivy, Stephen Davies, or Roger Scruton, it
seems to me that philosophical aesthetics claims to speak in general principles yet takes for
granted the premises of mode mist music theory,2 while I see experimental studies of musical
perception as largely vitiated by the problem of how to get responses out of listeners without
disrupting their listening. (I set out this argument in a perhaps ill-tempered contribution to
Rita Aiello's Musical Perceptions.) I have retained my interest in the potential of empirical
approaches to the study of music, but as applied to musical performance, where it is possible
to make precise measurements of what musicians do without disrupting their doing it; an
early example is my 1987 essay' Structure and performance timing in Bach's C major Prelude
(WTC 1): an empirical study', which I think too primitive to include in this collection, but
I have followed it up with studies of Furtwangler performing Beethoven and Stravinsky
performing Stravinsky, and am currently engaged in computational analysis of a large corpus
of recordings of Chopin's mazurkas. So that is another thread of research absent from this
collection.
I do not really recognize my voice in either 'Musical form and the listener' or 'The
perception of large-scale tonal closure' (I cringed when I saw 'it is argued that' in the abstract
ofthe latter). I think of these essays, and others from the late I980s, as in essence apprentice
pieces, developing my ability to write across a range of subdisciplinary areas. In that context,
and given that I was beginning to be known as the author of an analysis textbook (A Guide
to Musical Analysis appeared in 1987), I would like to be able to pass off 'Beethoven's
unfinished piano concerto: a case of double vision?' (Chapter 3) as a shrewdly strategic
move upmarket into one of the most prestigious areas of post-war musicology, Beethoven
sketch studies. In fact it was all an accident; we wanted to put on a high-profile event to
demonstrate musicology in action to the Hong Kong public, and I had heard that Beethoven's
most extensive unfinished composition was the Piano Concerto in D, Hess 15, so I sent
away for a microfilm of the autograph and set to work on creating a performance edition (in
collaboration with a student, Kelina Kwan). It was not long before I realized that the standard
account of the autograph, by Lewis Lockwood, was uncharacteristically flawed, and the essay
developed from there; it basically consists of a careful and I think correct interpretation of
the structure of the autograph and its relation to the other sources, plus a highly speculative
argument that Beethoven was in two minds about what kind of movement he was composing.
(If the speculative argument is right, this may be the main reason Beethoven abandoned the
concerto.) The performing edition was completed and had a number of performances in Hong

In particular Barbara Tillmann and Emmanuel Bigand, 'Does formal musical structure affect
perception of musical expressiveness?' Psychology of Music 24 (1996), 3-17.
2 I developed this argument in 'One size fits all? Musicology, performance, and globalization'
(not included in this collection); for an extended treatment see Aaron Ridley's The Philosophy ofMusic:
Theme and Variations (Edinburgh: Edinburgh University Press, 2004).
 INTRODUCTION XI

Kong and Shanghai, but then the controversy over what was imprudently marketed as Barry
Cooper's completion of Beethoven's Tenth Symphony (1988) intervened; people became
suspicious of performing editions, and the Hess 15 edition was not disseminated until more
than a decade later. 3 While I haven't worked again on Beethoven's sketches, I learned a lot
about creative processes in music-a topic to which I plan to return-and Beethoven's music
weaves in and out of much of my writing, both within and beyond this collection.
There is one other essay in this collection which is not thematically very closely related
to the rest, 'Form and syntax: a tale of two terms' (Chapter 11). This was written (in 1998,
despite the publication date) for the Enciclopedia Enaudi della musica, and bears the marks
of my uncertainty as to the intended readership. As [understood, the encyclopedia was meant
to be targetted at music lovers rather than professionals, and the idea of writing at a quite
sophisticated level for people without extensive knowledge of technicalities always appeals
to me. (That was one of the challenges of my Music: A Very Short Introduction.) But [ had
difficulty imagining such people wanting to read about 'Form and syntax', or indeed reading
Enaudi's weighty, multi-volume encyclopedia in the first place. (Basically I do not like writing
in a non-technical manner about musical technicalities; my preference is to find ways of
avoiding technicalities altogether, while still making substantive points about the music.) The
essay, which appears here for the first time in English and has been lightly revised as against
the Italian version, is a belated example of the pedagogical thread in my early publication
list, going back to an essay on arrangement and analysis which appeared in the inaugural
issue ofthe Journal of Music Theory Pedagogy (1987) and continuing up to Analysis through
Composition: Principles of the Classical Style (1996); it is also related to an essay which [
contributed in 1988 to the French journal Analyse musicale ('De I'ambiguite de la notion de
"theme" pour I'analyse musicale'), which [ again think too primitive to include in the present
collection. Even if it is a little out of place, 'Form and syntax' offers distinctive takes on
issues that recur throughout my writing-such as the metaphorical nature of analysis or the
relationship between words and music-while the basically phenomenological, potentially
transcultural approach to familiar music-analytical concepts is one that might be further
developed. (I sometimes wonder about writing a book with chapter titles like Beginning,
Continuing, Repeating, Fast/slow, Loud/soft, Inside/outside, and Ending.)
With these exceptions, everything in this collection can be related to the keywords in its
title: performance and meaning. That includes a group of essays ostensively about Heinrich
Schenker (Chapters 4-6 and 9). [ have a habit of returning to either Beethoven or Schenker
when [ want to try out new approaches, and in particular when [ want to identify and critique
elements of our thinking about music that are so familiar, so overlearnt, that we tend not to
be aware of them; 'The Other Beethoven', for example, focusses on a group of works that
lie outside the Beethovenian canon in order to demonstrate the extent to which the familiar
idea of 'Beethoven Hero' has delimited, and constrained, our capacity to respond to his
music. In the same way, the idea of 'Schenker's theory of music as ethics' (Chapter 4), in

3 A MIDI version appeared on the Unheard Beethoven website in 1999 (http://www.

unheardbeethoven.org), and a professional recording was released in 2005 (Beethoven Rarities 4.
Maurizio Paciariello, Sassari Symphony Orchestra condo Roberto Diem Tigani. Inedita PI 2352). I
also published an essay on the performing edition in 1994 ('A performing edition of Beethoven's Sixth
Piano Concerto?').
XII MUSIC, PERFORMANCE, MEANING

effect a critical reading of Sylvan Kalib's selective (and now obsolete) translation of Das
Meisterwerk in der Musik, was to set Schenker's analyses in the context of the polemics he
directed at contemporary society, so bringing to light the assumptions, the tacit knowledge,
that inform his analyses-and that are likely to set the agenda for present-day analysts using
Schenker's methods, unless we are aware of these assumptions and think through our own
position in relation to them. 'Heinrich Schenker, polemicist' (Chapter 6}-the title is one
of several modelled on William Pastille's 'Heinrich Schenker, anti-organicist'4-attempted
something similar in relation to the Ninth Symphony monograph (it was really supposed
to be a review of John Rothgeb's translation), this time focussing on Schenker's at times
perplexingly vitriolic relationship to Wagner. These essays, particularly 'Schenker's theory of
music as ethics' (Chapter 4), revolve around issues of social meaning, asking just what it was
in contemporary society that Schenker was reacting against, and suggesting that unless we
can answer that question we cannot really claim to understand the purpose and significance of
his theory. I have tried to set out a much more comprehensive answer to the same question in
a recently completed book, The Schenker Project: Culture, Race, and Music Theory in Fin-
de-siecle Vienna, which I originally conceived as a collection of existing essays on Schenker
supplemented by a few new ones; in the event the book took a quite different course, so these
essays have not been to any significant degree superseded. 5
If these early essays on Schenker are one of the sources from which I developed my
interest in music and social meaning, the same applies to the study of performance. Neither
'Schenker's theory of music as ethics' nor 'Henrich Schenker, polemicist' is overtly about
performance, but performance is everywhere in them: for Schenker, bad performance provided
a window onto everything that was bad in society, while Wagner's evil spell lay at the root of
the catastrophic decline in performance as well as in composition. The other two essays on
Schenker deal more explicitly with performance. 'The editor and the virtuoso, or Schenker
vs. BUlow' (Chapter 5) focusses on Schenker's frequent critiques of other editors (including
but not restricted to BUlow, and with Wagner making a further appearance); it attempts to
make sense of these critiques in terms of Schenker's idealist conception of the musical work,
but also in terms of what he saw as good or responsible performance. My concern in this
essay is not so much with performance style, but rather with the cultural and ideological
values which Schenker saw as expressed in performance, and in this way 'The editor and the
virtuoso' shares the historical orientation of the other Schenker essays I have mentioned. By
contrast, 'At the borders of musical identity: Schenker, Corelli, and the graces' (Chapter 9)
brings together Schenkerian analysis and performance from a very different point of view: its
thrust is theoretical rather than historical, and its aim is to develop a working model for the
identity of musical works in performance.
To be sure, it does not look like that: consisting largely of comparative analysis of
ornamented versions of Corelli's Op. 5 sonatas, the essay has the appearance of a study in
historical performance practice. (In fact it was turned down by a journal which sent it to two
performance practice experts, neither of whom could make head or tail of it.) But the Corelli
is really a means to an end, and in fact I considered basing the essay instead on Liszt's ossias,

4 19th-Century Music 8 (1984), 28-36.

5 Except as regards Schenker's politics, the relevance of which I dismiss in note 55 of' Schenker's
theory of music as ethics': in my book, I devote a 27,OOO-word chapter to this topic.
 INTRODUCTION X 111

the alternative versions characteristic of many of his compositions (a topic I had broached
in a 1988 essay on Liebestraum No.2, not included in this collection). The idea is to treat
these multiple ornamented versions as the tangible traces of performances, whether real or
imagined, and to account for the fact that we call all ofthem versions of Op. 5 even when they
are so obviously different. Schenker comes into it because an obvious approach is to locate
the identity of the work at a level more remote, more abstract, than the superficial variance
between different versions. But whereas this approach works in some cases, in others it
does not: there is no law to say that work identity subsists in the middleground. I draw two
conclusions from this. In the first place, work identity can not be directly extrapolated from
the objective properties of the musical trace; though supported by those properties, it is a
cultural construction. In the second place, the hierarchical concept of work identity-the
concept embodied in Schenkerian analysis-is too restrictive to account for the facts: in its
place I put forward and then refine a more flexible model based on Wittgenstein's 'family
resemblances', according to which every version of 'the same' work must have some feature
or features in common with other versions, but there is no one feature or set of features that
is definitive and indispensable. This gives rise to what I call the musical 'multitext' (a term
I suspect I based on Jonathan Dunsby's 'multipiece'6), and my conclusion is that ifthere is
going to be such a thing as a musicology of performance, then something along these lines
will have to be one of its basic principles.
I do not think this long essay has had a great deal of impact-perhaps it was too long for
that-but for me it has served as a kind of ideas bank: of all the essays in this collection, it
has the most ramifications, the most links with other essays (apart perhaps from 'Theorizing
musical meaning', but then these two essays are themselves closely related). I first had the
idea for it in the late 1980s, when I saw it as an essay about Schenkerian method and was
primarily interested in the idea of 'surface prolongations' running contrary to underlying
structure (Example 14 is almost the only remnant of this in the finished essay). But by the
time I wrote it up, my interest had shifted to what I saw as the need to rethink analytical
methods if musicology was ever to overcome its obsession with scores, with music as a form
of writing, and start treating music as the performance art we all know it is. I explored this
idea as early as 1995, in 'Music minus one: rock, theory, and performance' (Chapter 7), the
starting point for which was an afterword I had recently written for Elizabeth West Marvin
and Richard Hermann's Concert Music, Rock, and Jazz since 1945; 'Music minus one' was
basically constructed out of the passages I was persuaded to cut from my afterword in case
they seemed too critical of the contributors. But they were now incorporated within a general
argument that musicological discourse values performance only to the extent that it is seen
as in some way having the attributes of composition, and that this way of thinking-the
sources of which lie in the outdated Romantic ideologies epitomized by Schenker-has the
effect of marginalizing performance. My specific argument in 'Music minus one' was that
the particular value of studying the performance practices of rock lay in the opportunity it
provided to deconstruct this Romantic ideology, leading to a rethinking of performance in
general; by contrast I saw writers like Dave Headlam and Walter Everett as going out of their

6 Jonathan Dunsby, 'The multi-piece in Brahms: Fantasien Op. 116', in Robert Pascali (ed.),
Brahms: Biographical, Documentary and Analytical Studies (Cambridge: Cambridge University Press,
1983), 167-89.
XIV MUSIC, PERFORMANCE, MEANING

way to force rock into the outmoded framework of score-based musicology. It is one of those
essays that is stronger at diagnosing problems than at proposing solutions.
Part of the point of 'Music minus one' was, through a comparison between 'art' music
and rock, to bring out aspects of performance culture suppressed by traditional musicological
thinking; in the most recent essay in this collection, 'Making music together, or improvisation
and its others', I stage a similar encounter between 'art' music and jazz. And a similar idea
lies behind 'Performance writ large: desultory remarks on furnishing the abode of the retired
scholar' (Chapter 13). (The subtitle is taken from an important sixteenth-century source on
the qin or Chinese long zither, and was irresistible since the essay was a contribution to
Alexander Goehr's Festschrift.) In this essay, which was anticipated on p. 35 of 'Music
minus one' but did not appear for another seven years, I draw a comparison between Western
staff notation and the tablature employed for qin music, aiming to show that each notational
system incorporates its own pattern of determinacy and indeterminacy, and that the 'zones of
indeterminacy' created by any notation function as sites of performative creativity. (In 'Music
minus one' I had advanced a rather similar argument in relation to avant-garde music.) I
also argue that da pu, the extended and explicit interpretive process involved in bringing a
qin notation to performance, is essentially no different from the more informal interpretive
process of Western 'art' music: this is the 'performance writ large' of the title, and the basic
idea of using qin notation to bring out aspects of our own performance practice is comparable
to the use in 'At the borders of musical identity' of notations of Corelli's music as tangible
tokens of performances. Indeed, as I say in 'Performance writ large', the later essay is in
part a second and in certain respects different pass over terrain covered in 'At the borders of
musical identity'.
But perhaps the key argument which I present in these essays-'At the borders of
musical identity', 'Music minus one', and 'Performance writ large' -is that a musicology of
performance requires a definitive move away from what Kevin Korsyn calls the mono logic
quality of estabished analytical methods. As I argue, the traditional musicological conception
of the musical work as embodied in the Urtext, and of performance as a faithful and self-
effacing reproduction of the work, finds its correlate in the hierarchical conception of
Schenkerian analysis: authority is vested in the background, the realm of the genius
composers-and of analysts as their representatives and interpreters. Quaint as Schenker's
expression of such ideas may be, with his references to Nature wielding Beethoven's pen, this
is the basic thinking behind the hierarchy implicit in most music-theoretical discourse about
performance: to put the argument bluntly, the role of performance is to project structure, and
since it is the analyst's job to establish the structure, it becomes the performer's job to work
to the analyst's specification. In these essays, then, as also in 'Analysing performance and
perfoming analysis' (not included in this collection), I argued the need for alternatives to
what I called the analysis-to-performance or page-to-stage model implicit in, for instance,
Wallace Berry's influential book Musical Structure and Performance.
What might a dialogic approach to performance analysis look like? One answer is to
engage with performers' voices in a literal sense, through ethnography, and I have recently
done a little work of this kind (,Prompting performance: text, script, and analysis in Bryn
Harrison's etre-temps' , based on collaboration with Harrison, Philip Thomas, and Eric Clarke).
A different, and perhaps rather crude, answer is the suggestion in 'At the borders of musical
 INTRODUCTION xv

identity' that the 'surface prolongations' of Op 5 can be read as working in opposition to

orthodox, middleground-based prolongations: such top-down interpretation is the province
of the performer, who may as well play against as conform to conventional, bottom-up
structure. (This gives rise to the image of 'Corelli-the-performer ... shouting down Corelli-
the-composer' [po 219].) More substantive, however, is the idea that scores, arrangements, and
performances should be seen as complementary and equivalent versions of musical works,
so that (as Lawrence Rosenwald put it in a quotation I used too many times) work identity
is located 'in the relation between its notation and the field of its perfonnances'-or in other
words, in the musical multitext proposed in 'At the borders of musical identity'. The other
essays offer different takes on this. The final section of' Perfonnance writ large' approaches
the issue from a philosophical perspective, arguing that there are no such things as musical
works or ideas in the abstract: they are relational entities, emerging from the interaction
between different concretizations. (The aim here was to put right what I had come to see as
a mistake in 'At the borders of musical identity' .) 'Music minus one' focusses on the extent
to which rock music circulates in multiple versions and rock authorship is a collaborative
enterprise, arguing that the same applies to all music in performance. And the idea of finding
alternatives to monologic approaches recurs in other essays written around this time, in
particular 'The Other Beethoven' (Chapter 12): after arguing that Wellingtons Sieg and Der
glorreiche Augenblick have been problematized by the 'Beethoven hero' paradigm and the
models of listening it entails, I seek to reconstruct what I call premodern (but might equally
well have called dialogic) experiences of music, respectively in tenns of hyper-representation
and the enactment of community.
I shall return shortly to the enactment of community, but first I want to set out some links
between' At the borders of musical identity', 'Theorizing musical meaning', and my book
Analysing Musical Multimedia (1998). The particular idea that links the two essays is the
distinction between what I call the 'material trace' of music, which is susceptible to more
or less objective forms of analysis, and the cultural interpretation of this trace that gives
rise to musical meaning. On p. 203 of 'At the borders of musical identity' I complain that
the (irrefutable) claim that musical works are social constructions has led to an assumption
that musical meanings are entirely arbitrary: this, I say, represents throwing the baby out
with the bathwater. The aim of 'Theorizing musical meaning' (Chapter 10) is to spell out a
way of understanding' at least some of the meaning ascribed to music as at the same time
irreducib Iy cu Itural and intimate Iy re lated to its structural properties' (pp. 173--4 of the original
publication, p. 5 in the present volume). Borrowing from material culture (Daniel Miller) and
theatre studies (Susan Melrose), I suggest that musical works can be thought of as bundles of
attributes, some of which are selected (and others ignored) in any act of critical interpretation.
I illustrate what I mean through analysis of two influential interpretations of the moment of
recapitulation in the first movement of Beethoven's Ninth Symphony, by Donald Tovey and
his followers (which is to say practically all British commentators during the mid-twentieth
century) and by Susan McClary: each interpretation draws on-or draws out-certain
aspects of the music, and links them into a coherent and persuasive interpretation. Tovey
and McClary, in other words, are in the business of creating musical meaning, not simply
discovering it within the music, but the relationship between the music and the meaning is
not an arbitrary one: as I express it, Tovey and McClary are actualizing certain potentials
XVI MUSIC, PERFORMANCE, MEANING

for the construction of meaning that are inherent in Beethoven's score and its performances.
Another way to put it is that the same music affords different constructions of meaning.
The framework of this approach is largely drawn from Analysing Musical Multimedia,
in which I had found myself getting far more deeply embroiled than I had intended in issues
of musical meaning; as the title might suggest, 'Theorizing musical meaning' was in effect
a spin-off from the book, generalizing some of the ideas and analytical approaches that,
in Analysing Musical Multimedia, I had developed within the specific context of cross-
media relationships. (,The domestic Gesamtkunstwerk, or record sleeves and reception'
[Chapter 8] was another spin-off, this time exploring an aspect of what might be termed the
material culture of performance; it was prompted by the move of the Music Department at
the University of Southampton-where I was by then working-to new premises, during
which I found myself packing our record collection into crates.) The basic idea of Analysing
Musical Multimedia is that meaning is emergent: the meaning of a television commercial,
music video, or film does not inhere in any of the constituent media (pictures, words, sounds)
considered separately, but emerges from the interaction between them as one watches and
listens. Or to put it in a nutshell, meaning is performative. This is an idea that I had wanted
from the start to develop in relation to performance: in fact I consciously wrote Analysing
Musical Multimedia as a prelude to more intensive work on performance, because I felt it
would help me find ways of thinking in terms of real-time interactions between the different
components of the performance situation, as opposed to the deeply entrenched model of
seeing performance as the projection of structural meaning already inherent in the score and,
therefore, in essence no more than reproduction. When in 'Theorizing musical meaning'
I said that meaning 'is not reproduced in but created through the act of performance' (p.
179/11) I was summarizing Melrose's approach to theatre, but that is exactly what I wanted
to be able to say-and show-of musical performance.
It was at about the time when Analysing Musical Multimedia was published that I received
an invitation to a conference called 'Managing as Designing', held at the Weatherhead School
of Management (Case Western Reserve University, Cleveland) to mark the opening of their
new building, designed by Frank Gehry. (The invitation arrived just as I was coming to
the end of my term as Dean of Arts at the University of Southampton-not a very fruitful
period academically-and I initially passed it on to my successor, thinking it was just another
profit-making event for academic managers.) Gehry himself attended the conference, and
the idea was to explore the contribution that thinking about design might offer for the
development of new ideas and vocabularies for management. 'Design' was understood in
a very broad sense ranging from architecture and industrial design to music; I was invited
because someone had read Music: A Very Short Introduction. So I racked my brains to think
what, as a musicologist, I could possibly say about management theory, and came up with 'In
praise of symbolic poverty' (Chapter 14). This extremely short paper in effect distilled much
that I had been thinking about over the previous few years, and in so doing suggested some
directions for the future. Once again, for example, I talked about the relationship between qin
and staff notation, but this time my focus was on the way in which musical notations can be
understood as designs for human action. In terms ofthe conference theme, what was essential
was the incompletion (the poverty) of musical notations, which establish a shared framework
for action while delegating moment-to-moment decisions to the only place they can be made,
 INTRODUCTION XVII

on the ground; music, I claimed, 'shows how you can communicate not just broad goals
but highly determinate frameworks for realizing them, without prejudicing the initiative and
creativity that give people an investment in their work' (p. 88). To my surprise, this proved to
be entirely in line with the general tenor ofthe conference, which revolved around the need to
enable people to work together and improvise, to draw on their tacit knowledge, rather than
trying to spell everything out in elaborate and unrealizable management plans.
In terms of musicology, what I gained from this paper was a deeper understanding of how
performative approaches might be brought to bear upon music. The idea ofperformativity-
whether or not under that name-features in some of my earliest work, particularly in the
argument that the value of analysis lies in the new ways of hearing music which it can
engender and communicate. (I set this out in A Guide to Music Analysis and developed it
through 'Music theory and "good comparison": a Viennese perspective' and 'Epistemologies
of music theory', neither included in this collection; it also crops up towards the end of
'Schenker's theory of music as ethics'.) But thinking about this in the context of management
theory made me realize how literally musical performance consists of human interaction,
and the corresponding need to understand musical scores as choreographing or prompting
such interaction; a shorthand way of expressing this is to say that scores function not, or
not simply, as texts but as scripts. 7 More recently, in the essay on Bryn Harrison's etre-
temps to which I have already referred, I have followed up this idea with an exploration of
how the complex rhythmic notations of contemporary music elicit performative responses,
while my current project on recordings of Chopin's mazurkas is an attempt to bring together
computational analysis of large data sets and the performative approach which I have been
outlining. But as this work is too recent for inclusion in this volume, I conclude instead with
two essays, both of which were written as conference keynotes and built on ideas from 'In
praise of symbolic poverty', though the logistics of collaborative book production meant they
came out before it.
'Writing on music or axes to grind: road rage and musical community' (Chapter 15)
actually had its origins in a request from Gary McPherson for some kind of statement of the
importance and value of music in everyday life for inclusion in a new advocacy section of
the ISME (International Society for Music Education) website. When shortly afterwards I
was invited to the Third International Conference for Research in Music Education I made
life easy for myself by including the ISME statement as the first section of my paper and
building the rest around it. This section, then, develops the idea of music as a vehicle for
social interaction, and as such a vital form of enculturation through which people learn to
work together and respect one another; it is at this point that the topics of performance and
social meaning, which I had up to then thought of as essentially separate, converged. The
rest of the essay consists of reflections about writing on music, using the ISME paper as a
kind of Exhibit A, and perhaps betraying a further ISME influence in the discussion of the
extent to which different types of musicological writing are shaped by explicit or implicit

7 I first used these terms in 'Between process and product: music and/as performance' (2001),
which I see as an important milestone in the development of my thinking about performance, but
which is omitted from this collection because it was republished, though in a shortened form, in Martin
Clayton, Trevor Herbert, and Richard Middleton's book The Cultural Study of Music: A Critical
Introduction (under the title 'Music as performance').
XV11l MUSIC, PERFORMANCE, MEANING

advocacy; I also talked about other hidden musicological agendas, illustrating the point with
reference to a special issue of Musicae Scientiae consisting of responses to Music: A Very
Short Introduction (plus my response to the responses, not included in this collection).
If 'Writing on music or axes to grind' is in part retrospective, 'Making music together, or
improvisation and its others' (Chapter 16) looks forward to work I am doing now, or intend
to do shortly. It has its origins in a review of Bruno Nettl's edited book In the Course of
Performance: Studies in the World of Musical Improvisation, but took its current form as a
presentation at the 2003 Leeds International Jazz Education Conference. As the title indicates,
I built it round 'Making music together', an essay by the phenomenological sociologist Alfred
Schutz which is also mentioned at the beginning of 'Writing on music or axes to grind'. But
I had first encountered Schutz's essay during my doctoral studies, and had been very much
taken by it, though without knowing quite what use I could make of it. Nevertheless I quoted
Schutz's work extensively in Music, Imagination, and Culture, and a good deal of what I
have been saying recently about making music together is anticipated on pages 129-31 ofthat
book: I am talking about my entirely speculative remarks concerning how string quartets stay
together when they play, my uncharacteristically sentimental comparison between playing
together and lovers gazing into each other's eyes, and in particular my claim that 'the pianist
who plays Chopin's E minor Prelude fluently and expressively is in a real sense improvising,
even when he is playing from the music'.
One of the aims of 'Making music together', as I have already said, is to bring to light
aspects of thinking about 'art' music perfonnance through the comparison with thinking
about jazz; I argue against the impermeable barrier so many commentators have erected
between jazz as an improvisation-based culture and 'art' music as a work-based one (a
distinction that is frequently grounded on a kind of cultural racism). And on this basis I claim
that all perfonnance is irreducibly improvisatory, and indeed that it is impossible to make a
categorical distinction between performance and improvisation. In saying this, my intention
is to make new approaches available for the study of' art' music performance, or performance
in general, ranging from Jeff Pressing's idea of the 'referent' (put forward in the context of
improvisation but in many ways a more useful concept than the 'work' for the analysis of
performance culture) to Henry Louis Gates' concept of 'Signityin(g)': I am suggesting that
ideas developed to characterize the performative qualities of specifically black discourse may
have a great deal to offer for the analysis of performance in general. And more generally, I am
claiming that a better understanding of improvisation should clear the way to an appreciation
of the creative dimension of musical perfonnance that will never be gained through the
mono logic, score-obsessed thought patterns of traditional musicology. These are ideas on
which I am now working for a book provisionally entitled In Real Time: Analysing Music as
Performance. As I said at the start, this is work in progress.
 Published Writings

Single-Authored Books

A Guide to Musical Analysis. London: lM. Dent; New York: George Braziller, 1987.
Paperback editions 1989 (London: J.M. Dent), 1992 (New York: W. W. Norton), 1994
(Oxford: Oxford University Press). viii + 376 pp. Italian translation Guida all'analisi
musicale, ed. Guido Salvetti, trans. Donatella Gulli and Maria Grazia Sita (Milan: Guerini
e Associati), 1991. 284 pp. On-line publication by Questia (www.questia.com)

Musical Analysis and the Listener. New York: Garland (Outstanding Dissertations in Music
from British Universities), 1989.216 pp.

Music, Imagination, and Culture. Oxford: Clarendon Press, 1990. Paperback edition, 1992.
iv + 265 pp. Japanese translation (Tokyo: Shunjusha Publishing Co.), 1992. xx + 334 pp.
Estonian translation (Tallinn: Scripta Musicala), 2005. 192 pp.

Ludwig van Beethoven: Symphony No.9. Cambridge: Cambridge University Press, 1993. x
+ 133 pp. Simultaneous hardback and paperback publication. Greek translation (Athens:
Ekthoseis Stachy), 1996. 157 pp.

Analysis Through Composition: Principles o{the Classical Style. Oxford: Oxford University
Press, 1996. xii + 204 + 42 pp. On-line publication by Questia (www.questia.com)

Music: A Very Short Introduction. Oxford: Oxford University Press, 1998. xii + 142 pp.
Reissued in new format, with revisions, 2000. vii + 138 pp. Turkish translation Miizigin
ABC'si (Istanbul: Kabalci Yayinevi, 1999). 196 pp. Chinese translation (Shenyang:
Liaoning Education Publishing House in collaboration with Oxford University Press
China, 2000). xii + 130 pp. Polish translation Muzyka (Krakow: Proszynski i Ska,
2000). 154 pp. Spanish translation (Madrid: Alianza Editorial), 2001. 181 pp. Italian
translation (Torino: EDT), 2005. xii + 174 pp. French translation Musique, une tres breve
introduction (Paris: Editions Allia), 2006. 157 pp. Hebrew translation (Tel Aviv: Yedith
Ahronoth Books), 2006. 175 pp. Korean translation (Seoul: Dongmunsun), 2005. 172
pp. Tamil translation (Puthanatham: Adaiyalam), forthcoming. Portuguese translation
(Brasilia: Brasilia University Press), forthcoming. Greek translation (Athens: Ellinika
Grammata), forthcoming. On-line publication by Questia (www.questia.com). [Special
issue of Musicae Scientiae devoted to this book (200 I)]
xx MUSIC, PERFORMANCE, MEANING

Analysing Musical Multimedia. Oxford: Clarendon Press, 1998. xiv + 278 pp. Revised
paperback edition, Oxford: Oxford University Press, 2000. xiv + 290 pp.

The Schenker Project: Culture, Race, and Music Theory in Fin-de-siixle Vienna. New York:
Oxford University Press (forthcoming)

Collaborative Book

Nicholas Cook, Peter Johnson, and Hans Zender, Theory into Practice: Composition,
Performance and the Listening Experience (Collected Writings of the Orpheus Institute).
Leuven: Leuven University Press, 1999. 120 pp. Also published in Flemish as Theorie
in Praktijk: Compositie, Uitvoering en Luisterervaring (Geschriften van het Orpheus
Instituut). Leuven: Leuven University Press, 1999. 136 pp.

Edited Books

Rethinking Music (ed. Nicholas Cook and Mark Everist). Oxford University Press, 1999. xvii
+ 574 pp. Simultaneous hardback and paperback publication.

The Cambridge History of Twentieth-Century Music (ed. Nicholas Cook and Anthony Pop Ie).
Cambridge: Cambridge University Press, 2004. xviii + 818 pp.

Empirical Musicology: Aims, Methods, Prospects (ed. Eric Clarke and Nicholas Cook). New
York: Oxford University Press, 2004. viii + 229 pp. Simultaneous hardback and paperback
publication.

The Cambridge Companion to Recorded Music (ed. Eric Clarke, Nicholas Cook, Daniel
Leech- Wilkinson, and John Rink). Cambridge: Cambridge University Press, forthcoming

Articles in Refereed Journals

'Arrangement as analysis'. Journal of Music Theory Pedagogy 1 (1987), 77-89

'Structure and performance timing in Bach's C major Prelude (WTC 1): an empirical study'.
Music Analysis 6 (1987), 257-72

'Musical form and the listener'. Journal of Aesthetics and Art Criticism 46 (1987), 23-9;
Spanish translation 'La forma musical y el oyente', Quodlibet 25 (2003), 3-13

'The perception oflarge-scale tonal closure'. Music Perception 5 (1987),197-205

 PUBLISHED WRITINGS XXI

'Liszt's second thoughts: Liebestraum No.2 and its relatives'. 19th-Century Music 12 (1988),
163-72

'De I'ambiguite de la notion de "theme" pour I'analyse musicale'. Analyse musicale 13

(1988), 30-6

'Schenker's theory of music as ethics'. Journal of Musicology 7 (1989), 415-39

'Beethoven's unfinished piano concerto: a case of double vision?' Journal of the American
Musicological Society 42 (1989), 338-74. Follow-up: 'Response to Lockwood'. Journal
of the American Musicological Society 43 (1990), 382-5

'Music theory and "good comparison": a Viennese perspective'. Journal of Music Theory 33
(1989), 117-41

'The editor and the virtuoso, or Schenker versus Bulow'. Journal of the Royal Musical
Association 116 (1991), 78-95

'Heinrich Schenker, anti-historicist'. Revista de Musicologia 16 (1993 [1994]), 24-36

'Music and meaning in the commercials'. Popular Music l3 (1994), 27-40. Reprinted in
Simon Frith (ed.), Popular Music: Critical Concepts in Media and Cultural Studies
(London: Routledge, 2004), iv, 253-69

'Heinrich Schenker, polemicist: a reading of the Ninth Symphony monograph'. Music

Analysis 14 (1995),89-105

'Music minus one: rock, theory, and performance'. New Formations 27 (1995-96), 23-41

'At the borders of musical identity: Schenker, Corelli, and the Graces'. Music Analysis 18
(1999), 179-233

'Performing rewriting and rewriting performance: the first movement of Brahms's Piano
Trio, Op. 8'. Tijdschrift voor Muziektheorie 4 (1999), 227-34

'Heinrich Schenker, modernist: detail, difference, and analysis'. Theory and Practice 24
(1999 [2001]), 91-106

'Whose music of a century? Performance, history, and multiple voices'. South African
Journal ofMusicology 19/20 (2001), 1-l3

'Between process and product: music and/as performance'. Music Theory Online 7/2 (April
200 I). Portuguese translation forthcoming in Per Musi
XXII MUSIC, PERFORMANCE, MEANING

'On qualifying relativism'. Musicae Scientiae Discussion Forum 2 (2001),167-89 [special

issue of Musicae Scientiae devoted to Music: A Very Short Introduction]

'Theorizing musical meaning'. Music Theory Spectrum 23 (200 I), 170-95. Follow-up:
'Response to Cantrick', Music Theory Online 8/2 (August 2002). German translation
in Alexander Becker and Matthias Vogel (eds.), Musikalischer Sinn: Beitrage zu eine
Philosophie der Musik (Frankfurt: Suhrkamp Verlag, 2007), 80-128

'Writing on music or axes to grind: road rage and musical community'. Music Education
Research, 5 (2003), 249-61

'The other Beethoven: heroism, the canon, and the works of 18l3-14'. 19th-Century Music
27 (2003), 3-24. German translation, Musik und Asthetik, 34 (2005), 54-82 (special issue
on Beethoven. Zum Spatwerk)

'Making music together, or improvisation and its others'. The Source: Challenging Jazz
Criticism I (2004),5-25. Portuguese translation forthcoming in Per Musi

(with Eric Clarke, Bryn Harrison, and Philip Thomas) 'Interpretation and performance in
Bryn Harison's etre-temps'. Musicae Scientiae 9 (2005), 31-74

'Prompting performance: text, script, and analysis in Bryn Harrison's etre-temps'. Music
Theory Online 1111 (March 2005)

'Border crossings: a commentary on Henkjan Honing's "On the growing role of observation,
formalization and experimental method in musicology"'. Empirical Musicology Review 1
(2006), 7-11

'Alternative realities: a reply to Richard Taruskin'. 19th-Century Music 30 (2006), 206-9

'Between science and art: approaches to recorded music' [introduction] and 'Performance
analysis and Chopin's mazurkas'. Musicae Scientiae 16 (2007), 3-4, 33-57. 'Performance
analysis and Chopin's mazurkas' also published in Chopin in Paris: The I830s (Warsaw:
Narodowy Instytut Fryderyka Chopina, forthcoming)

Contributions to Books of Essays

'Perception: a perspective from music theory'. In Rita Aiello (ed.), Musical Perceptions.
New York: Oxford University Press (1994 [1993]), 64-95. Japanese translation (Tokyo:
Seishin Shobo, 1998), 74-ll0
 PUBLISHED WRITINGS xx 111

'The conductor and the theorist: Furtwangler, Schenker, and the first movement of Beethoven 's
Ninth Symphony'. In John Rink (ed.), The Practice of Performance: Studies in Musical
Interpretation. Cambridge: Cambridge University Press (1995), 105-125

'Music theory and the postmodern muse: an afterword'. In Elizabeth West Marvin and
Richard Hermann (eds.), Concert Music, Rock, and Jazz since 1945. Rochester: University
of Rochester Press (1995), 422-39

'The domestic Gesamtkunstwerk, or record sleeves and reception'. In Wyndham Thomas

(ed.), Composition - Performance - Reception: Studies in the Creative Process in Music.
Aldershot: Ashgate (1998), 105-117

'Preface' (with Mark Everist) and 'Analysing performance and performing analysis'. In
Nicholas Cook and Mark Everist (eds.), Rethinking Music. Oxford University Press
(1999), v-xii, 243-65

'Words about music, or analysis versus performance'. In Nicholas Cook, Peter Johnson,
and Hans Zender, Theory into Practice: Composition, Performance and the Listening
Experience (Collected Writings of the Orpheus Institute). Leuven: Leuven University
Press (1999), 9-52. Also published in Flemish as 'Woorden over muziek, of analyse versus
uitvoerung', in Nicholas Cook, Peter Johnson, and Hans Zender, Theorie in Praktijk:
Compositie, Uitvoering en Luisterervaring (Geschriften van het Orpheus Instituut).
Leuven: Leuven University Press (1999), 9-57. Estonian translation in preparation.

(with Nicola Dibben) 'Musicological approaches to emotion', in Patrick Juslin and John
Sloboda (eds.), Music and Emotion: Theory and Research. Oxford: Oxford University
Press (200 1),45-70

'Epistemologies of music theory'. In Thomas Christensen (ed.), The Cambridge History of

Western Music Theory. Cambridge: Cambridge University Press (2002), 78-105

'Forma e sintassi'. In Jean-Jacques Nattiez (ed.), Enciclopedia Einaudi della musica, ii.
Torino: Giulio Enaudi Editore (2002), 116-42

'Analisi della performance' (interview with Luca Nostro), in Luca Nostro (ed.), L 'esperienza
musicale: per unafenomenologia dei suoni. Roma: I libri de Montag (2002), 117-24

'Music as performance'. In Martin Clayton, Trevor Herbert, and Richard Middleton (eds.),
The Cultural Study of Music: A Critical Introduction. London: Routledge (2003), 204-14

'Stravinsky conducts Stravinsky'. In Jonathan Cross (ed.), The Cambridge Companion to

Stravinsky. Cambridge: Cambridge University Press (2003), 176-91
XXIV MUSIC, PERFORMANCE, MEANING

'Performance writ large: desultory remarks on furnishing the abode of the retired scholar'.
In Alison Latham (ed.), Sing, Ariel: Essays and Thoughts for Alexander Goehr's 70th
Birthday. Aldershot: Ashgate (2003), 193-209

'In praise of symbolic poverty'. In Fred Collopy and Richard Bolands (eds.), Managing as
Designing. Stanford: Stanford University Press (2004), 85-9

'Introduction: trajectories of twentieth-century music'. In Nicholas Cook and Anthony Pop Ie

(eds.), The Cambridge History of Twentieth-Century Music. Cambridge: Cambridge
University Press (2004), 1-17

'Introduction: what is empirical musicology?' (with Eric Clarke) and 'Computational and
comparative musicology'. In Eric Clarke and Nicholas Cook (eds.), Empirical Musicology:
Aims, Methods, Prospects. Oxford: Oxford University Press (2004), 3-14, 103-26

'Playing God: creativity, analysis, and aesthetic inclusion'. In Irene Deliege and Geraint
Wiggins (eds.), Musical Creativity: Multidisciplinary Research in Theory and Practice.
Hove: Psychology Press (2006), 9-24

'Uncanny moments: juxtaposition and the collage principle in music'. In Byron Almen and
Edward Pearsall (eds.), Approaches to Meaning in Music. Bloomington: Indiana University
Press (2006), 107-34

'Representing Beethoven: romance and sonata fonn in Simon Cellan lones's Eroica'. In
Daniel Goldmark, Lawrence Kramer, and Richard Leppert (eds.), Beyond the Soundtrack:
Representing Music in Cinema. Berkeley: University of California Press (2007), 27-47

'We are all (ethno )musicologists now'. In Henry Stobart (ed.), The New (Ethno)musicologies.
Lanham, MD: Scarecrow Press (forthcoming). Portuguese translation 'Agora somos todos
(etno)musicologicos', ICTUS 7 (2006), 7-32

'Encountering the other, redefining the self: Hindostannie airs, Haydn's folksong settings,
and the "common practice" style'. In Martin Clayton and Bennett Zon (eds.), Portrayal of
the East: Music and the Oriental Imagination in the British Empire, 1780-1940. Aldershot:
Ashgate (2007), 13-37

'Imagining things: mind into music (and back again)'. In Ilona Roth (ed.), Imaginative Minds.
Oxford: Oxford University Press for the British Academy (forthcoming)

'The economics and business of music'. In Paul Harper-Scott and Jim Samson (eds.), An
Introduction to Music Studies. Cambridge: Cambridge University Press (forthcoming)
 PUBLISHED WRITINGS xxv

'Song into video into film: 'Bohemian Rhapsody', Wayne's World and beyond'. In Peter
Franklin and Robynn Stilwell (eds.), The Cambridge Companion to Film Music.
Cambridge: Cambridge University Press (forthcoming)

'Changing the musical object: approaches to performance analysis'. [n Zdravko Blazekovic

(ed.), Music's Intellectual History: Founders, Followers and Fads. New York: R[LM
(forthcoming)

Professional Articles

'Franz Liszt: a hundred years after'. Musical Times, July 1986, 372-6 (reprinted in the South
Pacific Liszt Society Newsletter)

'The future of theory' [colloquium contribution]. Indiana Theory Review 10 (1989), 70-72

(with Malcolm Butler), 'Music processing on the IBM: a review of available systems'.
Current Musicology 44 ([ 990), 6 [-98

'Report from Osaka'. Current Musicology 49 (1992), 48-53

'A performing edition of Beethoven's Sixth Piano Concerto?' Beethoven Newsletter 8/3-911
(1994),71-80

'What is musicology?' BBC Music Magazine 7/9, May 1999,31-3

[contribution to] 'Six-part counterpoint'. British Postgraduate Musicology [online journal]

6 (2004)

'Anthony Pople (1955-2003)'. Musicae Scientiae 8 (2004), 3-5

'Revisiting the future' [colloquium contribution]. Integral 14115 (2004), 14-20

Review Articles

'The first six issues of Music Perception'. Music Analysis 6 ([ 987), [69-79

'Putting the meaning back in music, or semiotics revisited' [review of Robert Hatten. Musical
Meaning in Beethoven: Markedness, Correlation, and Interpretation; Eero Tarasti. A
Theory of Musical Semiotics]. Music Theory Spectrum 18 (1996), 106-123

'Review-Essay: Improvisation' [review of Bruno Nettl (ed.). In the Course of Performance:

Studies in the World of Musical Improvisation']. World of Music 45 (2003), [54-6 [
XXVI MUSIC, PERFORMANCE, MEANING

Reviews

'Peter Faltin. Phanomenologie der musikalischen Form'. Music Analysis 2 (1983), 107-10

'Thomas Clifton. Music as Heard: a Study in Applied Phenomenology'. Music Analysis 2

(1983),291-4

'Defending musical autonomy' [review of Carl Dahlhaus. Ludwig van Beethoven:

Approaches to his Music; Barry Cooper et al. The Beethoven Compendium]. Times
Literary Supplement, January 31 1992, 21

'Ruth Solie and Eugene Narmour (eds.). Explorations in Music, the Arts, and Ideas: Essays
in Honor of Leonard B. Meyer'. Journal of Musicological Research 12 (Supplement)
(1992),156-164

'Edward Said. Musical Elaborations'. Music and Letters 73 (1992), 617-9

'Steven Scher (ed.). Music and Text: Critical Inquiries'. Music and Letters 74 (1993), 303-
306

'John Paynter, Tim Howell, Richard Orton, and Peter Seymour (eds.). Companion to
Contemporary Musical Thought'. Music and Letters 75 (1994), 115-120

'Diana Raffman. Language, Music, and Mind'. Music Perception 12 (1994),156-160

'Anthony Pople (ed.). Theory, Analysis, and Meaning in Music'. Musical Times, October
1995,542-4

'Michael Krausz (ed.). The Interpretation of Music: Philosophical Essays'. Music and Letters
77 (1996), 103-9

'Stephen Davies. Meaning and Expression in Music.' Music and Letters 77 (1996), 109-13

'David Lewin. Musical Form and Transformation: Four Analytic Essays'. Music and Letters
77 (1996), 143-6

'Jerrold Levinson. Music in the Moment' . Music and Letters 80 (1999), 602-6

'Christopher Hasty. Metre as Rhythm'. Music and Letters 80 (1999), 606-8

'Lawrence Kramer. Musical Meaning: Towards a Critical History'. Music and Letters 85
(2004), 415-8
 PUBLISHED WRITINGS XXVII

'Roger Reynolds. Form and Method: Composing Music'. Music Perception 22 (2004), 358-
64

Contributions to Conference Proceedings

(with Dr M. L. N g) 'Mental health and the musical composers'. In Patrick Shum (ed.),
The Mentally III and the Society. Hong Kong: Mental Health Association of Hong Kong
(1986),116-121

'Heinrich Schenker and the authority of the Urtext'. In Tokumaru Yoshiko et al. (eds.),
Tradition and its Future in Music. Osaka: Mita Press (1991), 27-33

'Music as a carrier of ideas' . In Mark Delaere (ed.), New Music, Aesthetics and Ideology/Neue
Musik, Asthetik und Ideologie. Wilhemshaven: Florian Noetzel Verlag (1995 [1997]),22-
39

'Theorizing mixed media'. In David Greer (ed.), Musicology and Sister Disciplines: Past,
Present, and Future. Oxford: Oxford University Press (2000), 552-4

'One size fits all? Musicology, performance, and globalization' and 'We are all
ethnomusicologists now'. In Musicological Society of Japan (ed.), Musicology and
Globalization: Proceedings of the International Congress in Shizuoka 2002 (Tokyo,
2004), 13-22, 52-55

'In real time: music as performance'. In Olympia Psychopedis-Frangou, Christoph Stroux,

Nikos Tsouchlos, and Ioannis Fulias (eds.), Music Analysis and interpretation (Athens:
Organismos Megarou Mousikis Athenon, 2006), 237-61 [in Greek]
 CHAPTER 1
Musical Form and the Listener
I.
MACHAUT, HAYDN, DEBUSSY, BARTOK: occur-
rences of the Golden section or the Fibonacci
series have been identified in the music of all
these composers, and the list is by no means
complete. But what does the discovery of pro-
portional schemes in these composers' music
tell us'? The most obvious answer would be that
it tells us a biographical fact: for one reason or
another these composers consciously chose to
plan their music this way. An alternative an-
swer would be that the discovery of these
proportional schemes tells us about composi-
tional processes of which the composer himself
would not have been aware: perhaps pieces just
"look right" to their composers when the
relative lengths of their sections converge upon
certain mathematical proportions. More intrigu-
ing than either of these answers, however, is the
possibility that these proportional schemes have
some kind of influence upon the way in which
listeners experience the music aesthetically, so
that pieces "sound right" when their sections
are proportioned this way. But there is a prob-
lem with this third answer which becomes
obvious if we ask just what it is that is being
proportioned. For listeners do not count musical
durations in seconds or crotchets or bar-num-
bers. Their experience of musical time, and
hence of formal proportions, depends on what
fills the time, so that, unlike clock time, musi-
cal time is subjective and as variable as musical
content. Thus, though compositions can cer-
tainly create the effect of being well or badly
proportioned, this has to do with the qualitative
as well as the quantitative aspects of the music;
and this is why, when a piece's proportions are
faulty, putting it right is likely to involve
modifying its content rather than simply cutting
out a few measures here or adding an extra beat
or two there. It follows that when a critic praises
a work for its proportions he means that the
duration of each of its sections is appropriate to
its particular experienced qualities, and not that
there is a particular mathematical relationship
between these durations measured in seconds,
beats, or bars.
The aesthetic fact that a piece is experienced
as being well-proportioned is in this way quite
different from the objective fact that its sections
are calculated according to some proportional
calculus; confusing these two senses in which
music is proportioned results in an illegitimate
reduction of aesthetics to mathematics. I Now in
this paper I will argue that a confusion of the
same nature pervades theoretical discussions of
musical form, at least insofar as these purport to
have anything to say regarding what the listener
experiences. For such discussions combine
statements about the objective structure of mu-
sic with statements about the listener's aesthetic
experience of it; when an analyst demonstrates
the formal unity of a work he is neither simply
saying how the music is experienced, nor sim-
ply talking about what is visible in the score,
but rather arguing or implying some connection
between the two. But what exactly is the
connection? There is no simple answer to this
question. It is nevertheless possible to distin-
guish two main theoretical accounts of musical
form; and the following two sections are de-
voted to a discussion of these.
II.
The first of these is represented by the
conventional typologies of musical form ac-
cording to which the various formal categories
2 MUSIC, PERFORMANCE, MEANING
24
(sonata, rondo, and so forth) are defined as set
configurations of musical materials that are
repeated, varied, or contrasted with one an-
other. Such terms often have no precisely de-
finable relationship to the objective structure
either of the musical stimulus or of the score. A
literal repeat, it is true, cannot be denied if all
the notes recur in the score (though its formal
relevance can); but to identify something as a
varied repeat necessarily involves an aesthetic
judgement. The ninth of Brahms's Handel Vari-
ations, for example, can be said to have only the
most tenuous relationship to the theme if this is
measured in terms of objective structure; if one
hears it as a variation, this can only be because
one hears it in the context of the variation set as
a whole, supplying the thematic identity that is
absent in the notes through an exercise of aural
imagination. The fact that, in this context, it is
a varied repetition of the theme is therefore a
fact about aesthetic response and not one about
objective structure. Accordingly, if terms like
"varied repetition," and the formal types that
they define, are to have a place in discussions of
the aesthetic response to music, they must be
understood as referring to something that peo-
ple actually do when listening to music-
namely, interpreting the sound in terms of such
categories. Seen thus, form is defined by the
listener's perceptions; it is the intentional object
of the listening process.
To what extent do listeners in practice hear
music in terms of the traditional formal catego-
ries? Some indication of this was provided by a
test in which musically literate but inexperi-
enced listeners were asked to write down the
formal plan of Beethoven's Sonata op. 49, no.
2 as they listened to it. 2 Most of these listeners
ignored (or simply failed to perceive) large-
scale relationships of tonality, but labeled sec-
tional repeats with considerable accuracy.
However, they did not in general categorize the
various sections in the hierarchical manner of
traditional formal analysis, according to which
there is a structural contrast between the first
and second subjects, while the other materials
have a subordinate function (transitional or
cadential). Where some kind of hierarchical
classification was attempted (AI, A2, BI, B2,
and so on), the labels adopted by the various
listeners bore little affinity either to each other
or to the conventional formal analysis of the
COOK
movement. For example, within the exposition
some of the listeners emphasized the contrast-
not between the first and second subjects, but
between these thematic materials and the tran-
sitional materials-while others simply gave a
separate label to each section as it occurred, so
that their analysis included not only A's and B's
but also D's and E's. In this way a sonata form
which the theorist sees as a compact, closed
pyramid of formal relationships, representing
progressive subdivisions of the movement as a
whole, was apparently experienced additively,
as an open, linear sequence of discrete units.
It is of course possible to instruct people on
how to perceive a sonata according to the
traditional categories of formal description;
published experiments3 show that listeners can
be quite easily trained to do this. But these
experiments also indicate that even such listen-
ers as have the requisite knowledge do not in
practice listen this way except when specifically
requested to do so; in other words, listening for
form (as defined in this manner) is not a normal
mode of aesthetic enjoyment. However, this
negative result does not necessarily mean that it
is futile to define form in terms of what listeners
perceive; it might just be that the traditional
formal categories are too rigid, or simply inap-
propriate. (It is worth bearing in mind that the
formal stereotypes of sonata form, rondo, and
so on were originally formulated in the mid-
nineteenth century for purposes of composition
teaching, and not in order to explain music's
aesthetic effect.) But there are certain condi-
tions that must be met by any definition of form
in such terms. Dahlhaus writes,
Insofar as music is form, it attains its real existence.
paradoxically expressed, at the very moment when it is
past. Still held firm in memory. it emerges into a
condition that it never entered during its immediate
presence; and at a distance it constitutes itself as a
surveyable plastic form. Spatialization and form, emer·
gence and objectivity, are interdependent: one is the
support or precondition of the other 4
If form is to be defined as the intentional object
of the listening process, then it follows that
listeners must experience the music in terms of
connections between temporally remote points,
for to the extent that it is heard purely as a series
of immediate sensations, the spatialization and
objectivity of which Dahlhaus speaks cannot be
achieved.
 MUSICAL FORM AND THE LISTENER
Musical Form and the Listener
When I go to an orchestral concert I experi-
ence the musical sound as a coherent unity. I
may be aware of extraneous noises--<:oughs,
rustlings of program notes-but I perceive these
as background against which the music appears
as figure. Now precisely the same applies in the
temporal dimension : I experience the several
movements of a violin concerto as a unity
defined not only by its beginning and end but by
some kind of aesthetic significance-so that I
discount as irrelevant the soloist's quick
retuning between movements (or even the com-
mercial break in a televised performance). And
I experience the individual movements as artic-
ulations of this intentional object, "seeing"
them side by side with one another, as it were.
In doing this, I am not responding immediately
from one moment to the next, but constituting
the music in spatial and objective terms, that is
to say, as the "surveyable plastic form" Dahl-
haus refers to.
Theoretical accounts of musical form, how-
ever, concentrate mainly on the configurations
of musical materials within movements . And a
movement whose form, as viewed in theoretical
and compositional terms, represents an extreme
instance of spatialization and objectivity is the
first movement of Webern's Symphony . This is
a composition so full of repetitions and palin-
dromes that it can be compared to a kaleido-
scope or a hall of mirrors: each musical struc-
ture is multiplied backwards and forwards in
time. That is to say, in this piece time is
structured like space: every event is reversible.
However, a group of musically experienced
listeners who were asked to note down their
impressions of the music as they heard it 5
apparently experienced no such reversal of
time. They observed none of the palindromes
that are visible in the score; indeed only half the
listeners recognized the literal repeat of the
entire first section as such, the other half
hearing the music as through-composed. And
those who did not recognize the repeat de-
scribed the section quite differently the second
time round, saying, for instance, that there was
a continuous build-up of tension or clarification
of texture throughout the entire duration.
By and large , the language in which these
listeners described the music was psychologi-
cal: they used terms like "straining, " "col-
lapsing," or "grinding to a halt," so empha-
3
25
slzmg their affective responses from one
moment to the next rather than the structural
properties of the musical object. Indeed they
displayed virtually no interest in identifying and
comparing the music's motivic and serial com-
ponents in any systematic manner (even though
this is unusually easy in Webern's Symphony,
because its textures are very clear and largely
correspond to the serial structure); apparently
they chose not to be interested in the objective
structure and instead to focus upon its psycho-
logical consequences. Sometimes, it is true, a
listener would " tune in" to a particular objec-
tive feature of the music, such as a pitch or pitch
class, and comment whenever it appeared
prominently; but then his account would bear
progressively less resemblance to the other
listeners' accounts. In fact there were remark-
ably few specific observations of musical struc-
ture that were shared in common between all (or
even most) of the subjects apart from the
beginning, the end, and two or three caesurae
or climactic points .
What did however happen several times was
that all or most of the listeners would make a
comment at exactly the same time, but that each
would comment on something different. At bar
65, for instance, four listeners noted a sectional
repeat , one a repeat of a clarinet phrase, one
merely the clarinet; one listener recorded high
notes, one commented that there was a gap, and
one said that he stopped listening at exactly that
point! In such cases, and despite these discrep-
ancies, the listeners' responses seem to have
shared a certain evolution; one might appropri-
ately speak of the music possessing an
intersubjective form in the sense of a common
temporal pattern of high points and low points,
static moments and dynamic ones, moments
experienced as being critical and moments of
indifference. Such a "formal rhythm," as it
might be called, represents a transference to the
larger musical scale of the pattern of protentions
and retentions, in terms of which Husser! de-
scribed the experience of melody;6 and though
falling far short of the reversibility of time
which would characterize true spatialization,
this formal pattern of "nows" and "thens"
clearly articulated these listeners' experience of
the passage of time in Webern ' s Symphony, and
at a relatively detailed level.
But to speak of "form" in this sense is to
4 MUSIC, PERFORMANCE, MEANING
26
speak descriptively rather than analytically. 1
see no reason to doubt that the temporal pat-
terning of the subjects' responses resulted from
all aspects of the music, not only from its
structural repetitions and reversals but also from
its harmonies, textures, timbres, and external
associations. Psychologically, form is in this
sense the consequence of all the various param-
eters of musical design. But to say this is to
dissolve any distinction between form and con-
tent, and therefore to abandon "form" as an
analytical concept. At any rate, no traditional
typology of musical objects can account for an
experience of musical form that is inseparable
from content, and which the listener conse-
quently recreates anew with each piece he
hears.
III.
The second theory of musical form to which
1 referred involves discarding traditional
typologies of form altogether. Theorists as di-
verse as Arnold Schoenberg and Heinrich
Schenker agreed that only an analytical method
based on psychological principles is capable of
explaining musical coherence or substantiating
musical judgments; and they also agreed that
true musical coherence lies not in the superficial
configurations that are visible in scores, but
rather in their underlying organization-an or-
ganization whose reality they considered to be
both musical and psychological. For example, a
Schenker graph will show a certain note or
chord as being experienced differently at differ-
ent points in a composition: in material terms,
the C major chord that begins a piece may be
the same as the one that ends it, but in psycho-
logical terms-and hence in terms of musical
function-it is different because one initiates
and the other completes a structural motion.
What matters, then, is not the individual musi-
cal event as such, but its relationship to the
structural context in which it occurs. Seen in
such terms, musical form can be defined as the
influence of the whole over the experiencing of
the parts; it becomes not so much something
that is perceived as a way in which things are
perceived.
On the small scale there is not the least doubt
that the influence of context upon musical
perception is overwhelming. For instance, such
COOK
characteristic properties as the B above middle
C may possess in its own right pale into
insignifiance when compared with the special
harmonic and melodic significance the note
acquires in the context of Chopin's E-Minor
Prelude-a significance which is clearly con-
textual in that it remains invariant if the entire
piece is transposed. And to define form as the
influence of the whole over the experiencing of
the parts is in effect to assert that the same holds
true of musical structures on the large scale, and
that to this extent the principles of musical
structure apply independently of absolute dura-
tion; Schenker'S analytical method is, after all,
precisely the application of more or less tradi-
tional techniques of harmonic and contrapuntal
analysis to the largest scale of musical coher-
ence (which is why it is correct to view it as
being in essence a theory of musical form). But
to what extent is such a theoretical assertion
grounded in the phenomenology of musical
listening? When I hear the "Seguedilla" from
Act I of Carmen I experience each tonal level as
being colored by its particular relationship k>
the tonic, much in the way that each scale-step
in an Indian raga is heard as a coloration of the
ever-present drone, so that in some sense I
supply the tonic that is not literally present
during most of the Seguedilla. Here, then, my
moment-to-moment perception of the sound is
directly influenced by the tonality of the move-
ment as a whole: I experience the final tonic as
a kind of homecoming, and do this immediately
rather than through an effort of reflection. But I
do not experience, say, the first movement of
the Eroica Symphony this way. Instead I hear a
series of characteristically colored transitions
from one tonal level to another, without having
any real sense of their overall closure; I know
that the movement ends in the tonic, because I
am familiar with the principles of the classical
style, but I do not have an immediate perception
of this. What I experience, then, is not an
overall tonal structure, nor even a series of tonal
regions related to an overall tonic, but a series
of tonal regions related edge-to-edge with each
other in such a way as to create a certain series
of sonorous or expressive effects and to accen-
tuate the boundaries between the various sec-
tions of the work.
It appears from a series of experiments to be
 MUSICAL FORM AND THE LISTENER
Musical Form and the Listener
published more fully elsewhere that this may be
the manner in which tonal structures are gener-
ally perceived. In these experiments listeners
were played two versions of a number of
relatively short pieces of music, in which one
version (the original) began and ended in the
same key, while the other had been rewritten in
such a manner that it ended in a different key
from that in which it began; the listeners were
required to rate the two versions in comparison
with each other, using for this purpose a number
of aesthetically relevant scales (pleasure, ex-
pressiveness, coherence, and sense of comple-
tion). In general there was little correlation
between the subjects' evaluations and the pres-
ence or absence of tonal closure, but there was
some indication that listeners may respond to
tonal closure to a greater degree in short pieces
than in long ones. If this is indeed the case, and
common sense would suggest that it is, then so
far as the listener is concerned the definitive
influence of the whole over the parts is by no
means independent of duration; whether a given
progression is experienced as tonally unified
depends very much upon whether it lasts twenty
seconds or twenty minutes.
There are, in any case, various overt features
of people's listening behavior which suggest a
degree of indifference to the large-scale unity of
form that theorists emphasize. In the past it was
common for performances of extended sym-
phonic works to be broken up, with popular
arias of the moment or other entertainments
being interpolated between movements (the
premiere of Beethoven's Violin Concerto, in
which the soloist took time off to demonstrate
his ability to play the fiddle upside down, is
only the most famous example of this practice).
Nowadays such a thing is unimaginable, at least
in the cultural capitals of the world: we have a
very tight concert aesthetic that even forbids
any clapping between movements as injurious
to the experience of large-scale compositional
unity. But the way in which public audiences
behave depends on many factors other than
strictly musical ones, not the least of which is
snobbery, and in the privacy of their own
homes, people (musical people) will often play
a favorite movement on its own, without regard
for its original context. 7 Such people are evi-
dently deriving their enjoyment of the music not
from the role the various parts of a composition
5
27
play within the whole, but directly from the
specific qualities of the parts themselves.
Of course, this is not to say that context has
no part to play in the aesthetic enjoyment of
large-scale musical structures. Even if the var-
ious tonal regions through which a composition
passes are not heard directly in relation to an
overall tonic, they are still heard in relation to
each other: much of music's expressive power
derives from effects of transition between one
tonal region and another. 8 But it is not correct to
speak of such experienced structure as repre-
senting the influence of the whole over the
parts; rather it represents the intluence of one
part over the experiencing of another. From the
listener's point of view, then, overall tonal form
may mean simply the totality of experienced
relationships between local events within a
composition; and this is something quite differ-
ent from the unified tonal structure which
Schoenberg and Schenker saw as being the
basis of musical form.
IV.
Theorists sometimes compare formal organiza-
tion in music with syntactical organization in
speech, in order to illustrate the way in which
local events acquire significance from the over-
all structural context in which they occur. And
this implies that the formal analysis of music is
in essence a scientific enterprise in the same
sense that syntactical analysis is-which is to
sayan ultimately psychological sense, for
though formal linguistics is concerned with
logical rather than psychological structures, its
values lies in the degree to which it succeeds in
providing a theoretical rationale for the phe-
nomena of actual speech.
But if the account of formal perception in
music that I have given above is correct, then
the analogy between formal and syntactical
organization is a very imperfect one; formal
unity in music does not have the same kind of
psychological reality for the listener as does the
unity of a sentence in speech.9 It would be
better to draw a parallel between musical form
and the unity of a speech, poem, or novel, that
is to say, betwen musical analysis and literary
criticism. And to say this is to suggest that
musical analysis is not in essence a scientific
enterprise at all. For it is not the purpose of
6 MUSIC, PERFORMANCE, MEANING
28
literary cnhcs-at least of cnhcs in the
Leavisite tradition-to make discoveries about
literary texts in the sense that scientists make
discoveries about natural phenomena; rather
they create, or invent, interpretations of these
texts, with the aim of enhancing the reader's
experience of a particular work or bringing out
new meanings and perspectives. In short, liter-
ary critics aim to contribute to the cultural
process rather than to explain it, as it were,
from the outside, as a scientist might aim to do.
Schenker believed that he had discovered
(not invented) the principles according to which
masterworks in music should be heard, and that
these principles were a direct function of human
psychology. Such a position is hardly tenable:
Schenkerian analysis works for some styles but
not others, and even sometimes for one piece in
a given style but not the next. And enough
evidence has been cited in this paper to indicate
that, at least in the case of extended works,
listeners do not normally experience the unity
of tonal structure which forms the basis of
Schenkerian analysis. But such discrepancies
between normal perception and the Schenkerian
interpretation of formal structure in music do
not invalidate Schenker's approach: on the con-
trary, its value lies precisely in its capacity to
modify normal perception through enhancing
the listener's awareness of the long-range struc-
tural coherence characteristic of many tonal
compositions. Schenker, in other words, in-
vented a new way of hearing music, one which
can lead to a deeper understanding of the
compositional decisions embodied in a piece of
music and, on occasion, to more refined perfor-
mance as well. Schenker's intention may have
been to explain the experience of musical form;
but his real achievement lay in his contribution
to the experience itself.
Most musical analyses, Schenker's included,
look like chains of deductive reasoning based
on the material properties of musical scores;
and in the past decade or two, considerable
effort has been expended in trying to formulate
the principles of Schenkerian analysis in a
strictly axiomatic manner. But in an important
sense this deductive appearance is an illusion.
What Schenkerian analysis really does-and
the same applies to many other analytical meth-
ods-is simply to reconfigure a piece of music
in such a way that the reader responds to it in a
COOK
certain artificial sequence, the effect of which is
to expose otherwise hidden similarities or con-
tinuities. The similarities and continuities now
speak directly to the reader; all the analyst has
done is to confront his reader with them in a
predetermined order. Thus the analysis proper
takes place within the reader's experience and
consists in the modification of his responses to
the music-modifications that are bound to
occur, if only because the process of analysis
compels him to look, and listen, harder than
would otherwise be the case. And it is through
the adequacy of these responses, rather than in
material terms, that a given analytical interpre-
tation acquires its validity. An analysis is veri-
fied not when it accounts for a certain percent-
age of the notes in the score, but when its reader
chooses to accept it as a satisfying interpretation
of the composition in question.
I Cf. Roger Scruton's discussion of proportion in The
Aesthetics of Architecture (London, 1979), pp. 63-70.
2 The subjects were freshman music students at the
University of Hong Kong. Two of the eleven subjects had
played this sonata before but this had no apparent influence
on their responses. Subjects were required to locate struc-
tural events according to the number of seconds that had
elapsed since the beginning of the piece, and were supplied
with sheets ruled into ten-second blocks for this purpose;
three hearings were allowed. The test was carried out in
1982 and repeated with another group of freshmen, with
similar results, in 1983.
3 Alan Smith, "Feasibility of Tracking Musical Form
as a Cognitive Listening Objective," Journal of Research
in Music Education 21 (1975): 200-13.
4 Carl Dahlhaus, Esthetics of Music (Cambridge,
1982), p. 12.
5 The subjects were third-year music students at the
University of Cambridge. Again events were located ac-
cording to the number of seconds that had elapsed, and
several hearings were allowed, both of the whole piece and
of shorter sections; but it was noticeable that subsequent
exposure added little to what was recorded at the first
hearing. These tests were carried out in conjunction with
Alexander Goehr in 1979.
Ii "The whole melody ... appears as present so long
as it still sounds, so long as the notes belonging to it,
intended in the one nexus of apprehensions, still sound. The
melody is past only after the last note has gone" (Edmund
Husserl, The Phenomenolol?Y of Internal Time-Conscious-
ness [Bloomington, 19641. p. 6\).
7 For experimental evidence of listeners' insensitivity
to compositional unity at the level of intermovemental
relations, see Vladimir Konecni, "Elusive Effects of
Artists' 'Messages' ," COl?nitive Processes in the Percep-
tion of Art, W. R. Crozier and A. J. Chapman, ed.
(Amsterdam, 1984); and Heidi Gotlieb and Vladimir
Konecni, "The Effects of Instrumentation, Playing Style,
and Structure in the Goldberg Variations by Johann
 MUSICAL FORM AND THE LISTENER
Musical Form and the Listener
Sebastian Bach," Music Perception 3 (1985): 87-101.
8 Such transitions between tonal regions-that is to
say, modulations-were at one time regarded as important
structural features in music. But today many theorists,
under Schenker's influence, dismiss the concept of modu-
lation as the result of a failure to grasp the integrity of
large-scale tonal motion. According to Allen Forte, for
instance, "we can now regard the late nineteenth-century
concept of 'modulation' merely as a verbal inaccuracy"
("Schenker's Conception of Musical Structure," in Read-
7
29
ings in Schenker Analysis and Other Approaches, Maury
Yeston, ed. [New Haven, 1977], p. 6). This conceptual
shift may be valuable for an understanding of compositional
practice, because it is easy enough for a composer to view
a piece in terms of the tonal motion which it elaborates: but
the old-fashioned notion of modulation may well be a beller
representation of what the listener experiences.
9 Cf. Burton Rosner and Leonard Meyer, "The Per-
ceptual Roles of Melodic Process, Contour and Form,"
Music Perception 4 (1986): 37.
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Hargreaves, D. J. The developmental psychology of music. Cambridge: Cambridge University Press,
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Kirkpatrick, R. Interpreting Bachs Well-Tempered Clavier: A performers discourse of method. New
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Lerdahl, F. & Jackendoff, R. A generative theory of tonal music. Cambridge, MA: MIT Press, 1983.
Meyer, L. B. Explaining music: Essays and explorations. Chicago: University of Chicago Press, 1973.
Mursell, J. L. The psychology of music. New York: Norton, 1937.
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