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Ancient and contemporary theories of cognitive functions of music, its origins, and evolution are reviewed. A hypothesis is presented that promises to unify the field and a theory is proposed of the origin of music based on the fundamental role of music in cognition. The split is considered of the vocalizations of proto-humans into two types: one less emotional and more concretely-semantic, evolving into language, and the other preserving emotional connections along with semantic ambiguity, evolving into music. The evolution of language toward the semantically powerful tool of today required emancipation from emotional encumbrances. Opposing, but no less powerful, mechanisms required a compensatory evolution of music toward more differentiated and refined emotionality. The need for refined music is grounded in fundamental mechanisms of the mind. This is why todays human mind and cultures cannot exist without todays music. The hypothesis is that the fundamental cognitive function of music is to help resolve cognitive dissonances created by language. Without this ability evolution of language, cognition, culture is not possible.
keywords cognition, music, language, proto-human, emotions, cognitive dissonances
A poets duty is to try to mend The edges split between the soul and body The talents needle. And only voice is thread. Joseph Brodsky
Music is a mystery
Aristotle listed the power of music among unsolved problems (Aristotle, IV bce/1995, p. 1434). Kant (1790), who so brilliantly explained the epistemology of the beautiful and the sublime, could not explain music: (As for) the expansion of the faculties . . . in the judgment for cognition, music will have the lowest place among (the beautiful arts) . . . because it merely plays with senses. According to Darwin (1871), it must be ranked amongst the most mysterious (abilities) with which (man) is endowed. Contemporary evolutionary psychologists and musicologists cannot explain music. Pinker
Institute of Materials, Minerals and Mining 2012 Published by Maney on behalf of the Institute DOI 10.1179/0308018812Z.00000000010
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(1997) follows Kant, suggesting that music is an auditory cheesecake, a byproduct of natural selection that just happened to tickle the sensitive spots. In 2008, Nature published a series of essays on music. Their authors agreed that music is a cross-cultural universal, still none . . . has yet been able to answer the fundamental question: why does music have such power over us? (Editorial 2008). We might start by accepting that it is fruitless to try to define music. (Ball 2008). Music is a human cultural universal that serves no obvious adaptive purpose, making its evolution a puzzle for evolutionary biologists (Masataka 2008). These are just a sample of quotes from accomplished scientists. Here we review a hypothesis based on arguments from cognitive science and mathematical models of the mind suggesting that music serves the most important and concrete function in evolution of the mind and cultures. We elucidate this function and discuss the neural mechanisms behind it. Because of the length this review is published in two parts. Part I addresses basic mechanisms of the mind forming a foundation of the musical ability, the fundamental role of musical emotions in cognition, and briefly touches on empirical and experimental evidence. Part II is scheduled to be published in 2014; it will review other theories, empirical and experimental evidence, and future research directions.
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et al. 2012). This review emphasizes that a few basic emotions are a tiny part of our emotional abilities, although the most ancient and salient ones. Our higher cognitive abilities involve a virtual infinity of continuous emotions, which are not described by specific words and include emotions in the prosody of voice, emotions of cognitive dissonances, which we briefly describe later, as well as musical emotions, the main topic of this review. Conceptual-emotional understanding of the world results in bodily actions and actions within the mind. We only touch on the behaviour of improving understanding and knowledge, the behaviour inside the mind directed at improving concepts. Given references describe how this theory of conceptualemotional recognition and understanding encompasses the mechanisms of intuition, imagination, planning, conscious, unconscious, and many others, including aesthetic emotions. Here we touch on one mechanism referred to later. For example, visual imagination occurs when one contemplates objects or situations with closed eyes. Contemplated concept-models project images onto the visual cortex causing visual imagination. The initial part of this process (say, first 70 ms) can never be accessed by consciousness. The initial concept-model projections from memory onto the visual cortex are vague and the human mind is not conscious of them. Only when concept-model projections match objectprojections from the retina and become crisp do conscious perceptions occur.
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cognition. During the perception of everyday objects these emotions usually are below the threshold of conscious registration. But it is easy to prove experimentally that emotional neural signals are there. As soon as the perception and understanding of the surrounding world does not work we feel disharmonious, disturbed, or even threatened this is routine material for movie thrillers, which present situations that do not fit our concept-models.
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the idea of the meaning and purpose of life might be vague and barely conscious, but it is so important that we cannot live without it. This is why even a partial understanding of the contents of the highest concept-models is so important. When we feel that indeed our lives have meaning, in these rare fleeting moments we feel KI satisfaction at the highest level as an aesthetic emotion of the beautiful.
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Tikhanoff et al. 2006). But concept-models of cognition are grounded in experience only at the lower levels of concrete objects, at this level human abilities are no different from that of animals (Spelke and Kinzler 2007). Understanding situations and abstract concepts can not be based on experience alone. The referenced publications discuss in detail why this is impossible: there are simply too many combinations of objects and events (more then all elementary events in the life of the Universe). A lifes experience would never be sufficient to learn which combinations are meaningful in order to form abstract concepts. Cognitive models at higher levels are learned based on both life experience and language models. Language hierarchy is learned ready-made from the surrounding language at an early age. During the rest of an individuals life KI drives the mind to learn the cognitive hierarchy from life experience in correspondence with the language hierarchy. Cognitive models are grounded in language.
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of a situation, as well as to the appropriate behaviour for satisfying instinctual needs, it is not so in humans. Most of the knowledge that exists in culture and expressed in language is not connected emotionally to human instinctual needs. This is tremendously advantageous for the development of conceptual culture, for science and technology. But there is a heavy price that humans pay for this freedom of conceptual thinking: the human psyche is not automatically whole. Human knowledge accumulated through language is not automatically connected to instinctual needs; sometimes, culturallydeveloped conceptual knowledge contradicts instinctual needs inherited from the primordial past. Moreover, various parts of knowledge may contradict each other. Synthesis, the feeling of being whole is closely related to the successful functioning of the highest models at the top of the hierarchy of the mind, which are perceived as the meaning and purpose of life. Therefore, contradictions in the system of knowledge, the disconnects between knowledge and instincts, the lost synthesis, may lead to internal crises and may cause clinical depression. When psychic states missing synthesis preoccupy a majority of the population, knowledge loses its value, including the knowledge and value of social organization leading to cultural calamities, wars and destruction (Diamond 1997; Perlovsky 2006c, 2007a, 2008a, 2009b, 2011c; Perlovsky, Deming, and Ilin 2011). The evolution of culture requires a balance between differentiation and synthesis. Differentiation is the very essence of cultural evolution. But it may lead to an emotional disconnect between conceptual knowledge and instinctual needs, to lost feelings of meaning and purpose, including the purpose of any cultural knowledge, with a devastating impact on culture itself. Theoretical and experimental evidence suggest that different languages maintain different balances between the emotional and the conceptual (Balask and Cabanac 1998; Buchanan, Lutz, Mirzazade, Specht, Shah, Zilles, et al. 2000; Guttfreund 1990; Harris, Ayiegi, and Gleason 2003; Perlovsky 2007a, 2009b, 2011c).
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drastically changed with the origin of language; the accumulation of differentiated knowledge vastly exceeded the biological evolutionary capacity to maintain synthesis. If differentiation undermined synthesis (the purpose and the will to survive), differentiated consciousness and culture would have never emerged. Therefore, along with the origin of language another uniquely human ability evolved, the ability for music. The references provided herein propose a scientific hypothesis that music evolved for maintaining the balance between differentiation and synthesis. After reviewing the arguments, we discuss the empirical and experimental means for verifying this hypothesis. Many scientists studying the evolution of language have come to the conclusion that originally language and music were one (Darwin 1871; Cross 2008; Masataka 2008). In this original state the fused language-music did not threaten synthesis. Not unlike animal vocalizations, vocal sounds directly affected ancient emotional centres, connected the semantic contents of the vocalizations to instinctual needs and to behaviour. This is how Jaynes (1976) explained the stability of the great kingdoms of Mesopotamia up to 4,000 years ago. This synthesis was directly inherited from animal voicing mechanisms, and to this very day the voice affects us emotionally directly through ancient emotional brain centres (Panksepp and Bernatzky 2002; Trainor 2008). We would like to emphasize that which we have already discussed: language has evolved to enhance our conceptual differentiation ability. While language evolved in this more conceptual and less emotional direction, we suggest that another part of vocalization ability evolved towards a less semantic and more emotional direction by enhancing the already existing mechanisms of the voice-emotion-instinct connection. As language was enhancing differentiation and destroying the primordial unity of psyche, music was reconnecting the differentiated psyche, restoring the meaning and purpose of knowledge and making cultural evolution possible. This was the origin and evolutionary direction of music. Its fundamental role in cultural evolution was that of maintaining synthesis in the face of increasing differentiation due to language. We now return to the basic mechanisms of the mind, including KI and analyze them in more detail in view of this hypothesis. Previous sections described KI and the mathematical model of its mechanism, an internal mind sensor measuring the similarity between concept-models and the world, and the related mechanisms of maximizing this similarity. But clearly this is a great simplification. Adequate functioning requires a constant resolution of contradictions between individual concepts and primordial animal instincts, as well many more contradictions within the system of knowledge have to be resolved (every two concepts contain some contradiction; otherwise a single concept would suffice). The human psyche is not as harmonious as the psyche of animals. Humans are contradictory beings; as Nietzsche (1995/1876) put it, human is a dissonance. Those of our ancestors who were able to acquire differentiated contradictory knowledge and still maintain the wholeness of psyche necessary for the concentration of the will and purposeful actions had a tremendous advantage for survival. Therefore, KI itself became differentiated. It was directed not only at maximizing overall harmony, but also at reconciling constantly evolving contradictions. This is a hypothesis that requires theoretical elaboration and experimental confirmation. As discussed, the emotions related to KI are
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aesthetic emotions subjectively felt as harmony or disharmony. These emotions had to be differentiated along with KI. Every concept colours with emotional values many other concepts; and every contradictory conceptual relation requires a different emotion for reconciliation, a different dimension of an emotional space (Spinoza 2005 was the first to suggest that emotions referring to different objects are different emotions). In other words, a high value concept attaches aesthetic emotions to other concepts. In this way each concept acts as a separate part of KI: each concept evaluates other concepts for mutual consistency; this explains the notion of differentiated KI. Every combination of concepts has some degree of contradictions. Otherwise, one concept, or even a simple instinctual drive would be sufficient for directing behaviour. Contradictions among objects of knowledge are called cognitive dissonances (Festinger 1957). These are negative emotions created by contradictions between concepts. To illustrate these emotions consider an example: a young scholar receives two offers at once, one from Harvard and another from Oxford. Each offer alone would create strong positive emotions: satisfaction, pride, etc. These are well understood basic emotions. However, the choice between these two offers might be painful. This painful emotion is not related to bodily instincts, it is not basic, this is an emotion of cognitive dissonance, it is an aesthetic emotion. In this example the emotion can be very strong and conscious. Correspondingly, it would be resolved consciously, by weighing various aspects of these two alternatives. But the majority of cognitive dissonances are less conscious, or even unconscious. The barely noticeable, unpleasant emotions of the choice associated with knowledge can create a disincentive to knowledge and thinking (Fontanari et al. 2012). This negative aspect of cognitive dissonance has received significant attention since Tversky and Kahneman (1974) were awarded the Nobel Prize in 2002 (e.g., Thaler and Sunstein 2009). Still, the emotions of cognitive dissonances, their potential to destroy the drive for knowledge, and consequently the fundamental need to overcome their negative effects have not received sufficient attention. To overcome the negative effects of the emotions of cognitive dissonances, they must be brought into consciousness. This is the cognitive function of musical emotions. Music creates a huge number of differentiated emotions. Musical emotions help bring to consciousness the emotions of cognitive dissonances, resolving them, and continuing the evolution of language, consciousness, and culture. The number of combinations of cognitions creating dissonances is practically infinite (Perlovsky 2006a). Therefore aesthetic emotions that reconcile these contradictions are not just several feelings for which we can assign specific words. There is an almost uncountable infinity, virtually a continuum of aesthetic emotions. We feel this continuum of emotions (not just many separate emotions) when listening to music. We feel this continuum in Palestrina, Bach, Beethoven, Mozart, Tchaikovsky, Shostakovich, The Beatles, and Eminem . . . (and certainly this mechanism is not limited to western cultures). It is proposed here that musical emotions have evolved for the synthesis of differentiated consciousness, for reconciling the contradictions that are entailed at every step of differentiation, and for creating a unity of differentiated Self. Whereas language has differentiated the human Self into pieces, music has restored the wholeness of Self. This cognitive function of music is a scientific hypothesis that is going to be verified experimentally.
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Summary of Part I
Musical power over the human soul and body has remained mysterious from Aristotle to 20th century cognitive science. Contemporary evolutionary psychologists have recognized music as a cultural universal of tremendous power; still its fundamental function in cognition, its role in the evolution of consciousness and culture has remained hidden. Here we have reviewed a hypothesis that explains musical emotional mechanisms by relating them to primordial connections between the voice and emotions. It explains the function of music in differentiating emotions for the purpose of restoring the unity of self. Musical emotions help maintain a sense of purpose of ones life in the face of a multiplicity of contradictory knowledge, or what is called the synthesis of differentiated consciousness. The reviewed hypothesis of the origins and functions of musical emotions addresses numerous questions, many of which have remained opened for millennia. Therefore, small steps revealing the neural mechanisms as well as studies of the suggested hypothesis about the function of music are necessary along with experimental laboratory tests, empirical ethnomusicological, anthropological, and historical studies (Perlovsky 2006b, 2006c, 2008a, 2010a, 2011a). This paper reviews the first steps identifying the fundamental role of musical emotions in cognition and cultural evolution. Possibly it will contribute to a foundation for a unified field of multidisciplinary study. In conclusion, I would like to repeat that music is the most mysterious of human abilities, appealing directly to our primordial emotions, while connecting them to language and cognition. An experimental confirmation of the proposed hypothesis was recently obtained (Masataka and Perlovsky 2012).
Acknowledgements
It is my pleasure to acknowledge the contributions of my colleagues and co-authors M. Aranovsky, M. Bar, L. Barsalou, M. Bonfeld, R. Brockett, M. Cabanac, A. Cangelosi, T. Chernigovskaya, E. Coutinho, R. Deming, T. Dudochkin, F. Fontanari, M. Frank-Kamenetskii, J. Gleason, A. Goldwag, M. Houser, D. Huron, R. Ilin, M. Karpovsky, N. Katonova, R. Kozma,
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L. Leibman, D. Levine, D. Levitin, L. Levitin, R. Linnehan, T. Lyons, N. Masataka, M. Mazo, Y. Neuman, A. Ovsich, R. Parncutt, A. Patel, V. Rosenbaum, J. Sloboda, V. Smolensky, D. Sontag, W. Thompson, Y. Vinkovetsky, and B. Weijers for discussions, help, and advice. This work was supported in part by AFOSR PMs Dr Jon Sjogren, Dr Doug Cochran, and Dr Jun Zhang. Especial acknowledgements are due to Y. Dimitrin who has inspired me to think about the role of musical emotions in human cognition, and to D. Vinkovetsky who inspires me to think profoundly.
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Notes on contributor
Dr Leonid Perlovsky is Visiting Scholar at Harvard University, and Principal Research Physicist and Technical Advisor at the Air Force Research Lab., Wright-Patterson Air Force base. Dr Perlovsky leads projects on modelling of the mind and cultures. He has served as professor at Novosibirsk and New York Universities, published more then 400 papers, keynote talks, and four books, including Neural Networks and Intellect, Oxford University Press, 2001 (in the 3rd printing). Dr Perlovsky serves on the Editorial Boards of ten journals, including Editor-in-Chief for Physics of Life Reviews, (founded by Nobel Laureate I. Prigogine). He has received national and international awards, including the Gabor Award, 2007, the highest engineering award from the International Neural Network Society; and the McLucas Award, 2007, from the USAF, the highest AF scientific award. Correspondence to: 149 Thirteenth Street, Rm 2301, Charlestown, MA 02129, Air Force Research Laboratory WPAFB, OH; Email: leonid@seas.harvard.edu
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