Published quarterly by Unesco

Vol. XXXIV, N o . 4, 1982

French edition: Revue Internationale

des Sciences Sociales
(ISSN 0304-3037), Unesco,
Paris (France).
Spanish edition: Revista Internacional
de Ciencias Sociales (ISSN 0379-0762),
Unesco, Paris (France).

Editor: Peter Lengyel

Associate editor: Ali Kazancigil

Correspondents
Bangkok: Yogesh Atal
Beigrade: Balsa Spadijer
Buenos Aires: Norberto Rodríguez
Bustamante
Canberra: Geoffrey Caldwell
Cologne: Alphons Silbermann
Delhi: André Béteille
London: Cyril S. Smith
Mexico City: Pablo Gonzalez Casanova
Moscow: Marien Gapotchka
Nairobi: Chen Chimutengwende
Nigeria: Akinsola Akiwowo
Ottawa: Paul L a m y
Singapore: S. H . Alatas
Tokyo: Hiroshi Ohta
Tunis: A . Bouhdiba '
United States: Gene Lyons

Topics of forthcoming issues:

The burden of militarization
W o m e n in politics

Cover motif: 'She strikes ten small gongs' (Chinese,

nineteenth century). Bibliothèque nationale, París.

Right: Viola da g a m b a . Goldner/Edimage.

 ISSN00208701
INTERNATIONAL SOCIAL
SCIENCE JOURNAL

MAKINGS OF MUSIC 94
Sociology
K . Peter Etzkorn O n the sociology of musical practice and social
groups 555
Alphons Silbermann What questions does the empirical sociology of music
attempt to answer? 571

Contexts of the art

David Aronson Jazz: a music in exile 583
Eduardo Carrasco Pirard The nueva canción in Latin America 599
0 . P . Joshi The changing social structure of music in India 625
J. H . Kwabena Nketia Interaction through music: the dynamics of
music-making in African societies 639
M a m o r u Watanabe W h y do the Japanese like European music? 657

The status of creators

Luiz Heitor Correa The musician in Brazilian society, past and present . 667
de Azevedo
Karl Rössel-Majdan Social security for composers and free lances 683
Tran Van K h ê The status of the traditional musician in Asia 701

Data sources
Eric Tanenbaum Social and economic statistics in the United Kingdom:
and Alfonso Nuñez a review of information sources 723
José Antonio Viera-Gallo Documentation and the democratization of
information 737
554

The social science sphere

Denis Duelos N e w directions for research in the social sciences
and the humanities in France 747

Professional and documentary services

Approaching international conferences 755
Books received 758
Recent Unesco publications 761
 SOCIOLOGY
On the sociology
of musical practice
and social groups'

K . Peter Etzkorn

The study of social practices connected with applications. For example, if w e could find
musical activities in contemporary cultures out h o w music could be used to bridge gaps
reveals m a n y paradoxes. For example, while between, and increase the mutual appreciation
music is recognized as a universal h u m a n a m o n g , different peoples, would this not be a
activity, it nevertheless separates people into small contribution towards a m o r e h u m a n e
distinct aggregations. Music can develop into world?
a barrier to social intercourse, as when groups This article aims at examining various
of young people regard rock 'n' roll as the roles of music in social groupings and of social
only music worth associating with. Or, while groupings in musical life. This approach will,
music-making is typically a group p h e n o m - w e hope, enhance our comprehension of the
enon, if only because contributions of music to
of group-sanctioned m u - contemporary cultures.
sical traditions, the pres- D r K . Peter Etzkorn is Professor of Gaining knowledge
ence of an audience or a Sociology and Anthropology at the
Graduate School at the University of about the variety, place
collaborating band or or- Missouri-St Louis, 8001 Natural Bridge and role of music in social
chestra, the hero worship Road, St Louis, Missouri 63121. H e structure, moreover, is
of the individual per- has conducted ethnomusicological field important if one wishes
former, or of the 'unique' work in Brazil and the Middle East and to assist those w h o would
sociological studies of urban music in
composer frequently dis- the United States. H e has served on the increase intercultural
putes acknowledgement Council of the Society for Ethnomusi- understanding through a
of its collective nature. cology and is a m e m b e r of the Executive sharing of culture. T h e
Or, when a given musical Committee of the International Insti- article will also focus on
piece is performed in dif- tute of Sociology.
h o w music is affected by
ferent settings, such as modern communication
a Bach cantata in a ca- technology.
thedral or a concert In an analysis of the
hall, the different settings suggest inferences relationships between musical activities and
about the piece's imputed meaning. These and their social settings it is important to remember
other illustrations suggest sources for the that the concepts of music as well as of society
m a n y paradoxes and illustrate a fertile field cover most heterogeneous empirical realities.
for study in which scholars can hope that their For example, there is little agreement a m o n g
findings will be enlightening for practical sociologists concerning the boundaries of the
concept of society: it is not clear where one
society ends and another begins, whether
* The author wishes to acknowledge the helpful
suggestions made by the Editor of this Journal these boundaries should be considered in his-
to thefinalversion of this article. torical or geographical terms. W e do not wish
556
Beethoven meets the aged Haydn on 27 March 1808 in the ornate Ceremonial Hall
of the University of Vienna on the occasion of a performance of Haydn's The Creation. Snark International.
to pursue this age-old puzzle here. A s far as
music is concerned, however, w e do not pro-
pose to exclude any type of musical activity.
In this respect w e differ from the influential
G e r m a n sociologist Adorno, w h o had nothing
but critical scorn for any but classical music,
traditionally defined.1 While most sociologists
will have personal preferences for certain c o m -
posers, styles, even musical instruments, these
should not colour our analyses of multiple
roles which different kinds of music assume.
The range
of musical expression
A s the last decade of the twentieth century
approaches, details about people and countries
K. Peter Etzkorn
constantly change the m a p of the world.
Independent countries have emerged and the
search for identity has found reflection to
various degrees in different social, economic
and cultural practices. A s one convention
countries are sometimes characterized by de-
scriptors derived from their relative economic
and cultural status. Thereby w e are reminded
that our century is witnessing a broad range of
cultural conditions. N o prior h u m a n age has
encompassed such a gigantic array, an array
that includes isolated cultures whose social
conditions have not changed over dozens of
generations. T h e majority of people have
experienced rapid social change. For example,
in the United States, it has been observed that
cumulative changes in social conditions within
the lifetime of the current middle-aged gen-
On the sociology of musical practice and social groups 557

The Espace de Projection, a unique experimental hall with variable acoustical properties which can be used
for recording, performance or research at the underground Institut de Recherche et Coordination
Acoustique/Musique ( I R C A M ) , attached to the Georges Pompidou Centre for Contemporary Art in Paris.
IRCAM.

eration exceed the changes experienced by all
the generations from the time of the Declar-
ation of Independence to the birth of the
above mentioned generation. These changes
include the adoption of economic or tech-
nological innovations; variations in political
systems, religious beliefs, family practices, and
artistic and musical traditions. Within the arts
and music there has never been a period in
history in which the simultaneous presence of
traditional and contemporary stylistic ex-
pressions, of the simple and the complex, the
folk and the urban, the private and the c o m -
mercial, the acoustic and the electronic, has
been as extensive as today. If one group or
society cherishes the most ear-piercing type of
musical sounds, groups within that same, and
certainly within another, society abhor such
sound productions. If some group considers
appropriate or even sophisticated only such
music as is scored according to the c o m m a n d s
of a logical and highly elaborated scheme of
abstract musical symbols (e.g. serial music),
there can be another group whose highest
accomplishments will be the 'spontaneous'
creation of music by performers, guided by
emotion and free of reliance on musical no-
tation. In short, at this very m o m e n t some-
where on this globe one can find examples of
almost any kind of musical expression in
active practice or preference by a social
group.
Just as there are economically less devel-
oped countries, there are regions in which the
range of available musical expression is more
limited than in others. But musical limitations
558
are not necessarily co-extensive with, or even
determined by, economic restrictions. S o m e of
the economically most developed regions pro-
duce relatively simplistic musical creations for
their o w n consumption and for export.
In considering the range of musical ex-
pressions, analyses focus on diiferences in the
degree of complexity of musical productions
(musical style). Another approach is to focus
on the simultaneous practice of alternative
styles within a single group. T o ascertain dif-
ferences in musical complexity in productions
relatively simple criteria can be applied. S o m e
of these are:
T h e number of separate parts (voices) in a
piece or composition: in its most simple
manifestations as a solo versus an ensemble
piece.
T h e relationship of separate parts to each
other: are they differentiated by rhythm,
timbre, volume, melodic contour?
T h e relative 'control' over the performance by
one individual (the composer) versus the
simultaneous creative contribution by sev-
eral (all?) performers working within a
tradition.
T h e degree of dependence on a system of
musical notation.
T h e duration of a piece and the number of
identifiable subsections, i.e. elaboration of
basic musical material.
T h e utilization and mix of sound generators
(instruments) of different technological/
cultural backgrounds and performance re-
quirements.
T h e incorporation of pre-recorded sound in
live performance.
T h e degree of reliance on electronic (com-
puterized) sound generation.
By applying these criteria, a highly complex
piece of music will be one that involves m a n y
performers w h o employ a great variety of
instruments (including electronic instruments
and computers) and follow a composer's
abstract system of notation combining in-
structions from a variety of musical traditions,
resulting in a piece of long duration and with
several subsections. Symphonic compositions
written in this century would fit such a de-
K. Peter Etzkorn
scription. Using these criteria, m a n y sym-
phonies would be exemplars of the highest
degree of musical complexity; on the other
hand, a simple series of tones, such as a signal,
would represent the other extreme. W e would
expect the co-existence of complex and sim-
pler music in societies with more complex
social structures. Indeed, wherever symphonic
ensembles have become established in this
century—whether in Europe, the Americas,
Asia, Africa or Australia—the simultaneous
practice of simpler music remains.
The impact of recorded sound
M u c h music is not performed in 'live' settings.
Hence w e must also note the roles of musical
activity/sounds via mechanical or electronic
sound generation. A s will be discussed later,
the practice of electronic preservation and
reproduction of sound has introduced entirely'
new, perhaps revolutionary, consequences for
social life and the livelihood of musicians.2
Wherever live and recorded musical prac-
tices co-exist, however, the experiential basis
for musical encounters is enriched, as in the
majority of industrialized countries. H o w -
ever, in these countries the advantageous econ-
omics of recorded musical practices often
threaten the practice of live music. Music
begins to be supplied almost exclusively in the
form of recordings (a major exception is in
religious settings where music is viewed as
prayer: pre-recorded prayer-music does not
replace congregational singing and chanting).
Musical programming on radio relies almost
exclusively on pre-recorded sound carriers:
the broadcasting of live performances have
become the exception. Reasons for this in-
clude theflexibilityof providing a wide range
of musical programmes via records; the easy
calculation of costs for purchase and main-
tenance of tapes or records, and simplified
physical facilities because no large broad-
casting studios are needed for musical pro-
ductions. Additional economies are realized
by not having to pay a studio orchestra,
conductors and music librarians.
On the sociology of musical practice and social groups
Pythagoras (active around 530 B . C . ) conducting acoustical experiments (from Theoria Musicae, Milan, 1492).
D.R.
The impact of mechanically/electronically
recorded sound on listeners is also being
studied. N o t only is there considerable vari-
ation in the 'fidelity' of sound reproduction
but the technological resources of the record-
ing process themselves interact with the
original music in complex ways. A listener at
a live performance of a large choral work or
an opera encounters a variety of acoustic
distortions and detractions depending upon
the location of his seat in the hall; physical
distances between instrumentalist and vocal
soloists, the remoteness of the stage, and
echoes in the hall will all combine to create a
special musical aura. If the same performance
is recorded by suspending two microphones
above the conductor's nostrum and sound
picked up from this location is transferred and
played back on a stereophonic recording, the
listener will hear something resembling that
which the microphones absorbed from their
suspended location. This is rather different
from what a typical listener would have heard
from a seat in the hall.
The recording process always implies that
the recorded sound is selectively preserved.
Listeners accustomed to recorded music will
have grown used to pre-selected and tech-
nologically fixed aspects of the musical c o m -
position. This differs from a musical experience
where the selection of the auditory response
559
is under the control of the listener. For
example, if the listener wishes to follow the
voices of opera singers, he can select a seat
with optimal acoustic conditions for hearing
the vocalists rather than, say, the brass in the
orchestra. O r he m a y change seats during a
concert performance to find a location that is
most pleasing to his concept of a well-balanced
orchestral sound. Such individual control over
musical sound reception is, of course, not
available through a record. Once a recording
has been m a d e , the process has fixed the
balances, engraved the grooves of the record,
and determined what the playback will be
like.
Records being the dominant m e d i u m for
the presentation of examples in music edu-
cation and providing the principal source of
programming for radio broadcasts, musical
expectations, sonic values, perhaps an entire
acoustic aura are being created for contem-
porary populations. The normal sound of
music for such audiences is not live music
with its acoustic variations, but the fixed
quality of recorded music. The recorded sound
as played back through loudspeakers m a y
well be accepted as the musical n o r m . For
rock music, Stith Bennett has shown h o w the
recorded sound has influenced live musicians
to mould their live music-making to imitate
recorded sound. 3 Performing rock ensembles
560
even amplify and electronically modify the
sound of their instruments to produce what
approximates to the studio sound of the
recordings by which the group is k n o w n .
W h e n the group is performing outdoors or in
certain auditoriums, considerable electronic
finesse is often required to modify the sound
so that it compares with the group's record-
ings. T h e technological aesthetic or n o r m
dominates; the expectation that live music
is to be subordinated to technology is encoun-
tered.
S o m e composers have also written pieces
for full symphony orchestras that aspire to
re-create the sound-scape of electronic music.
T h e sounds of music played through loud-
speakers will produce a different sonic experi-
ence from that generated by live instruments
under standard conditions. Basic differences
can be traced to the intensity of sound that
emanates from relatively well-defined and
narrow sources, such as the cone of the
loudspeaker. Here the sounds of the instru-
ments of an entire orchestra or the voices of
an entire chorus are delivered from the loud-
speaker. These combined sounds are acous-
tically blended. T h e effects of additional elec-
tronic mixing are likely superimposed, as
w h e n certain instruments or voices are given
close proximity of sound. Alterations in re-
verberation times and the introduction of
echo effects, too, are frequently encountered,
dimensions that ordinarily escape the artistic
control of performing musicians, for in live
performances they are 'given' attributes of the
architectural dimensions of the performance
site. Finally, the electronic reproduction of
sound tends to interfere with the range of the
frequency of vibrations characteristic of any
live instrument. T h e playback of recordings is
usually so arranged as to compensate elec-
tronically for loudspeaker deficiencies by
exaggerating the sound volume of lower fre-
quencies. A s a consequence, recorded and
electronically reproduced sound is distorted,
if the point of reference is the production of
music by traditional means.
K. Peter Etzkorn
The diffusion of music
Since traditional and contemporary pieces are
all available on records the listening environ-
ment can extend over the music of m a n y
historical periods and cultural traditions. The
simultaneous access to live and recorded music
offers a broad range of aesthetic opportunities
to the modern listener. T h e old and the new,
music for voice, for small or large ensemble,
music from all corners of the world, m a y be
heard, m u c h of it principally through the
medium of electronic reproduction.4
These opportunities are very widely avail-
able. A s part of cultural policy, some countries
even try to bring to their people the music
of other societies. Public libraries and uni-
versity and school collections frequently dis-
tribute recordings of world music dissemi-
nated by Unesco along with commercially
released records.6 D o such opportunities for
sharing the music of other cultures lead
towards an increase in the homogeneity of
world cultures? Will such a trend lead to
cultural impoverishment and become a threat
to indigenous music? Tentative answers can
already be gleaned from the contemporary
experience with composers of symphonic
music w h o deliberately enrich their creations
with elements borrowed from 'exotic' styles.
In the popular field such borrowing from
eastern musical forms by American per-
formers resulted in perceptible enrichment.
Perhaps over the very long term, say over
several generations, the mutual borrowing of
musical elements might result in a more
complete incorporation of exotic musical el-
ements into variant musical traditions so that
little, if any, trace of musical autonomy
remains.
If this were to.be the result of the elec-
tronic revolution in the recording of music
in the twentieth century, it would be anal-
ogous to the revolution in music-making that
followed the introduction of a universal sys-
tem of musical notation. T h e compositions of
Bach, Beethoven, Gluck, Handel, H a y d n ,
Mozart and Vivaldi (to n a m e but a few)
are performed, enjoyed and emulated across
On lhe sociology of musical practice and social groups 561

At the annual Festival of Traditional American Music in Galax, Virginia, attended by over
2,000 participants. Buthaud/Rush.

national boundaries and have become cultural Audiences and supporters

models for people of vastly different cultural
backgrounds. Musical notation, then, pro- Musical activities always involve people, either
vided the means of overcoming physical ob- as creators or performers, as listeners or
stacles of distance and breaking d o w n cultural audiences, or as cultural supporters w h o , while
barriers to the study and transplantation of not directly involved in a specific musical
foreign music. Perhaps the spread of the music activity, positively legitimate its practices. This
of the classical period in Europe to other category of musical supporter assumes an
countries might have been regarded as 'cul- important, though frequently not specially
tural imperialism' had this expression been studied, role for the life of music.
k n o w n at the time; it m a y also have led to Performers and creators of music are
cultural impoverishment by repressing the embedded in the culture of audiences and
autonomous growth of local cultures. These diffuse supporters. Without diffuse supporters,
are m o o t questions. Yet historically it has musical activities would be difficult to sanc-
resulted in symbols of conflict reduction, as tion; neither audiences nor listeners could
when the representatives of the nations of the offer role complementarity. Supporters m a y
world join to listen to Beethoven's Ninth be considered as the silent majority, the back-
S y m p h o n y at a General Assembly of the drop against which musical activities take
United Nations. place. They m a y not take issue with major
cultural displacements, such as the relegation
562 K. Peter Etzkorn

of folk-music traditions to the exotic arena of musical practices frequently assume this func-
ethnomusicologists or the take-over of the tion. Jazz players, followers of serial c o m -
radio air-waves by rock 'n' roll. Supporters positional theory, rock-'n'-roll musicians, to
m a y sanction n e w practices not for explicit n a m e a few, form such distinct groups. In
aesthetic or musical, but perhaps for econ- them, ethnocentrism can be rampant, intol-
omic, reasons; whatever the reason, however, erance of other styles of music or musicians
they do permit creation, sponsor perform- frequent, and the willingness or ability to
ances, or vindicate the teaching, of musical perform in other musical styles lacking. T h e
practices without being directly involved in ethos of such groups m a y be well developed
them. In short, they provide the institutional to rule out other musical experiences, not as
setting within which music is created, per- threatening to their practice, but as unworthy
formed and listened to. For example, in of consideration. M u c h music teaching at
Australia, Western Europe and the United school takes on such a flair, where. non-
States 'serious' concert and opera life is only Western music or pop music are often deemed
possible because of the positive sanctions of unworthy of serious study.
supporters w h o , while not attending or par- Social groups that define what is proper
ticipating in serious music, permit generous in music set performance standards and aes-
government subsidies to cover deficits.6 If thetic norms, and pass on criteria of taste.
their economic support were to be withdrawn In this regard they perform functions c o m -
from serious music, or criticism directed for parable to other groups in social life. In
ideological reasons at the kind of music music, the social bases for such groups have
produced (as was done in Nazi Germany), or often been aligned with religious and political
musical activities defined as unproductive interests. Personal factors also play their roles
idleness or by any other kind of negative as when preferred forms of orchestration are
rationale, those directly engaged in music associated with the preponderance of certain
would be forced to suffer the consequences. instrumentalists. Locational factors come into
Variations in the w a y the nations are play when certain musical requirements, such
governed alsofinddirect reflection in support as types of sound generators, are available
systems for the arts or in the way government only at a given site. Such factors were respon-
controls are applied to the promotion of sible for the formation of the group of
musical life. In some countries and at certain musicians around the electronic studios of the
periods performances of the works of selected West G e r m a n Radio (Cologne) during the
composers are championed as expressions 1950s. Within such groups standards for m u -
of official policy. Other composers m a y be sical activities are being developed, refined,
banned. Art forms exclusively practised at and m a d e the object of prosyletizing.7
one time for the entertainment of social élites Twentieth-century electronic technology
m a y be broadly promoted as proof of d e m o - dominates musical experiences almost every-
cratic accessibility after a successful revol- where, either by replacing traditional modes
ution. In most of these instances the source of musical activity with the process of elec-
of control over the expression of musical life tronic composition independent of acoustic
tends to be elosely identified with some musical instruments complete from concep-
specific government or social institution. tion to performance, or by preserving through
It is self-evident, then, that music as a modification the sounds of the more tra-
cultural m e d i u m needs to be studied within ditional musical processes. C o m i n g to terms
complex social settings. Social mechanisms, with this electronic age of music so as to
through which musical acculturation takes enjoy and accept it is often a problem for
place, are at work. Musical acculturation older age-groups w h o m a y find that the elec-
works through social groups. Groups use tronically amplified music does not conform
cultural markers to set their boundaries, and with tastes formed under different circum-
On the sociology of musical practice and social groups
'The Police' at a N e w Y o r k recording studio. Lynn Goldsmith/LGI-Stills.
stances. T h e music m a y be experienced as
too loud, as having too pronounced a rhythm
or beat (as in rock music), as, perhaps,
musically too simple or exact (since it elim-
inates the errors or h u m a n variations of indi-
vidual instrumental performers) and mechani-
cal, without expression and h u m a n emotion.
Compared with the live sound of traditional
instruments, electronic music m a y be found
lacking in 'musical qualities'. Such 'defects'
of electronic media d o not disturb those
accustomed to them. A n aesthetic appropri-
ate to them guides their judgements. R o c k
musicians tend to relish the sounds of elec-
tronic loud-speakers and judge performances
by the quality of sound reproduced by
speakers, amplifiers, synchronizers or micro-
phones. Stith Bennett shows that rock
musicians are socialized to listen to elec-
tronic sounds as such so that they regard
them, rather than musical structures and
563
relationships, as aesthetically satisfying.8
In recent years, the practice of performing
compositions on 'period' rather than contem-
porary instruments has gained popularity.
Such performances are valued as being more
'authentic', though there is n o way of check-
ing such purported authenticity. Whether
Beethoven would have preferred to play his
piano sonatas on a modern concert grand
rather than on an authentic Hammerklavier
will forever remain a moot point! Should
Bach today be performed on a clavichord or
on an electronic synthesizer? Such questions
focus on the close relationship between m u -
sical practice as a social activity interlinked
with the general state of technology and the
culture of its times.
The recording industry gears its market-
ing of tapes and records to a variety of dis-
parate social (taste) groups. For example,
identical compositions are performed on dif-
564 K. Peter Etzkorn

ferent instruments. Radio programming in the the status of élite art. Later, still, this very music
United States also 'formats' its offerings to m a y return to the realm of the more popular.
appeal to a segmented audience. S o m e stations For instance, the European contredanse be-
will play music for 'easy listening', others play came the Caribbean, Latin American, and
'classical' music, or 'top 40' or rock music. North American zontradanza. This in turn
became the habanera in the popular realm,
which returned to Europe and again entered
Significant distinctions thefieldof 'art music' in opera and symphonic
compositions. Except for specific and de-
In the following sections, w e wish to pay limited historical periods, the domains of
special attention to several distinctions which art music and popular music tend to be
directly affect the life of music and musicians thoroughly confused musicologically and ac-
in society. They are: (a) popular versus serious cordingly are very difficult to deal with ana-
music; (b) music as ideology versus music as lytically as separate entities.
entertainment; and (c) the music of age-groups. The impact of American popular music
Distinctions between serious and popular on Japan serves as an example of the product
music typically elaborate assumptions about of one culture that attains popularity within
aesthetic norms.' Serious music is assumed to the context of an entirely different culture.
be aesthetically m o r e complex or satisfying Traditional Japanese music does not employ
than popular music. T h e sheer numerical pre- repetition to any great extent. Contemporary
ponderance of a style, called 'popular' because Japanese popular music, on the other hand,
of its quantity, is not expected to be able to shows an increase in forms which include
attain the musical quality of the less frequent, phrase repetition. Moreover, Yoshihiko T o k u -
or less popular, serious forms. The boundaries maru showed that since 1970, there has
between the popular and the serious, however, gradually been a breakdown in the reliance
are fluid. A serious piece with sales and on the traditional intonation of everyday
performance statistics comparable to those of language. A s a result the usual intonation of
popular recordings, for example, does not lose the Japanese language is being ignored, and
its assumed greater artistic qualities even the practice of using a n u m b e r of single-tone
though it transgresses into the numerical realm syllables substituted for it. This tendency first
of the popular. Likewise a popular piece, the occurred with translations of texts of Western
sales of which remain undistinguished, does popular songs, but it is n o w being consciously
not thereby accede to the serious category. used by the Japanese themselves as a tech-
Therefore, it is some quality other than n u - nique in writing song lyrics. T o k u m a r u s u m -
merical diffusion which becomes the criterion marizes the changes which are observed in the
of classification. These other, criteria, however, world of Japanese 'popular' music in the last
m a y be related to interests tied to protecting hundred years as follows: (a) the adaptation
the existence of a social group. A s already or adoption of the melodic and harmonic
mentioned, educational circles do not promote structure of Western music; (b) the use of
the study or practice of popular music in the Western instruments to accompany songs;
curriculum. O n the other hand, recording (c) the birth of Kayokyoku by combining
companies are interested in gaining as broad traditional melodic characteristics with the
a market for their 'classical' records as pos- above; (d) the composition of more West-
sible. They will, therefore, market and pro- ernized genres such as 'rock' and 'folk song'
mote their 'serious' records by using tech- according to Western models; and (e) the
niques found successful in the popular field. change of national musical taste from tra-
Musical pieces that at one time were per- ditional Japanese style to Westernized styles.
formed for the broad masses, at a later time Since the Meiji Era traditional Japanese music
and under different circumstances m a y attain has been replaced by Western music. T h e
On the sociology of musical practice and social groups
Vangelis, the self-taught Greek composer known as the 'electronic Tchaikovsky' (who does not read
music) in his studio surrounded by equipment, including a grand piano, electric drums, a small M o o g
synthesizer and two digital sequencers. Ian Cook/People.
gradual introduction and popularization of
Western music, a result of government policy,
represented a rejection of the traditional in
Japanese society. T h e major principle of the
Japanese Government at that time was 'West-
ernization means modernization'.
The promotion of Western tonal systems
and stylistic features by government policy
in Japan is an illustration that music m a y serve
ideological causes. T h e n e w Western music
was to replace traditional forms of expression
and to signify modernization. These West-
ern melodies and harmonies, however, are
patently different from traditional Japanese
styles: for instance, there is a clear-cut dis-
tinction in tonal systems between Western and
Eastern musical traditions. At a later time
and a different place—Germany in the 1930s
and 1940s—the condemnation of such c o m -
posers as Mendelssohn and Mahler by the
authorities expressed a political or ideological
565
mandate. W h e n it became contrary to govern-
ment policy to perform Mendelssohn's music
to Shakespeare's A Midsummer Night 's Dream,
m a n y substitute compositions were modelled
after the forbidden score. It was not so m u c h
the music that was rejected but the composers
w h o were negatively evaluated.10 Similarly,
it is difficult, if not impossible, to discover
intrinsic characteristics that differentiate songs
used by political agitators of the right or the
left. It is not the music but the lyrics that
permit the classification of songs as 'con-
servative' or 'revolutionary'. In short, music
m a y serve political causes of the right or the
left, or of forces that wish to modernize a
society.
Ethnic music also reveals the importance
of lyrics. A study by Stephen Erdely11 shows
that ethnic instrumental music is engaged in
by performers drawn from varied national
backgrounds. O n the other hand, vocal music
566
draws on members of nationality groups. They
are more intimately linked to the goal of
maintaining social traditions.'The sentimental
aspect, which characterizes the majority of
singing societies, is manifested in the aim to
preserve the native language, music and cul-
ture. Folk, popular and patriotic songs are the
subjects of the societies' cult.'12 Lyrics, sung in
the local language, provide the symbolic link-
age to the traditional culture in the linguis-
tically and culturally different host society.
W o r d s , more than the musical sounds, appear
to strengthen the nexus of social solidarity.
The words, more than the music of the songs,
communicate shared meanings. A similar in-
ference was drawn from studies of the songs of
the anti-war protest movement in the United
States during the 1960s. Here, too, it was not
the music that differed from Establishment
music, but the lyrics. Only in cases in which
musical (i.e. tonal, structural, melodic, har-
monic, etc.) characteristics are indeed different
from those dominant in the culture can the
music itself be identified with its special func-
tions.13 But even then, the music's intrinsic
characteristics will not allow their influences
to be assigned to music; they have to be found
in such ideological causes. These functional
differences cannot be equated with associated
ideological expressions.
It m a y be asked what explains the fer-
ocious official and unofficial opprobrium fre-
quently attached to modernistic movements
in m a n y societies? This question is not a n e w
one. It seems that, at no stage over the past
200 years or so, has the transition to n e w
styles been a smooth one in Western societies.
Typically one or the other power group has
erected obstacles to a tolerant and under-
standing incorporation of the n e w with the
old. W h y did the avant-garde always have to
fight its battles anew, as if no precedent had
already been set? It seems that the answer to
this question m a y , indeed, be a sociological
one. W h a t is acceptable in music, whether
n e w or old, needs to meet with aesthetic
criteria and practices adopted within given
groups. These groups will demand behav-
ioural compliance with their values. Regimes
K. Peter Etzkorn
of very different complexions have found it
expedient to ban 'decadence', 'modernism',
'formalism', 'bourgeois values' or 'Western
influences' in music, all of which illustrates
the sociological principle of in-group main-
tenance. In-groups will ruthlessly protect
themselves, if they have the power, from
challenges by outsiders. Intolerance of certain
musical expressions m a y , thus, be viewed as
the opposite of respect for diverse cultural or
group identities, as would be manifested
through the practice of 'pluralism' in music
as in other spheres of culture.
Analagously, groups differentiated by age
m a y have varying relationships to the use of
music. A s noted, members of today's younger
generation, as both audience and performers,
are accustomed to electronically modified
sound. Older age-groups seem to relate to
music less as listeners than as singers or per-
formers of acoustic instruments. For them,
music m a y m e a n less of a passive, receptive
activity than an active or performing one.
Recent years have seen an increase in the use
of electronically modified music especially
amongst the younger age-groups. The indus-
trial manufacture of cassette recorders, tapes
and programming materials has been oriented
primarily towards youth markets. T h e music
industry's n e w emphasis on meeting the con-
sumption pattern of youth was so marked
that the term 'youth revolution in music' was
introduced. But this label is misleading. There
was very little if anything revolutionary in the
music that was packaged by the recording
industry. T h e music, indeed, was strictly de-
rived from existing materials. T h e surprising
or revolutionary dimension was the rapid
growth of the purchasing power of the young. 14
The recording and entertainment industry
responded accordingly and packaged music
for these consumers.
While production for the youth market
dominated m u c h of the recording industry in
the Western countries and while the taste of
the older age-groups had been formed in the
pre-electronic age, distinct differences in the
taste of these groups could be discerned.
In explaining these differences, however,
On the sociology of musical practice and social groups
A L o n d o n street scene. C . Steele/Perkins/Magnum.
one must refer to differences in the expec-
tations that individuals bring to musical ex-
periences. Even a m o n g the older generations
the desired musical experiences varies with
social and educational experiences. Audience
studies in the United States clearly indicate
the high correlation between educational level
and taste preferences. Symphonies tend to be
preferred primarily by those people w h o have
had more than a high-school education.
Studies conducted for the National E n d o w -
ment for the Arts reveal that attendance at
symphony concerts is high a m o n g socially
active individuals.15 These are people whose
parents' interest in classical music was great
and w h o , during their childhood, themselves
displayed m u c h interest in it. T h e study
speculates that attendance at symphony con-
certs can be increased a m o n g this group by
emphasizing that going to concerts c o m p -
lements an active social life-style. Besides the
567
satisfaction expected from attending musical
events, the non-musical functions are equally
important, ranging from sociability to status
enhancement and political visibility. Such
non-musical considerations are also in evi-
dence in other musical circumstances. F o r
example, in a study of the reactions to the
introduction of jitterbug during the period
from 1935 to 1945, it was concluded that
in the area of popular musical preferences there
is much evidence to support the notion that each
generation, as it accepts new music forms, must
contend with the criticisms and general disap-
proval of the older, established generation before
it is able to indulge its taste openly.16
The social affirmation of values can be at-
tained through practices that focus on the
music. While they are built o n to the music,
they provide the foil for (harmonic) relations
a m o n g the participants. In all these cases the
568
social consequences of musical activity rather
than music in the abstract are the relevant
determinants.
O u r discussion shows that musical ac-
tivities form the focus for the building of
networks of social relations. Politicians pro-
scribe works by certain composers; age-groups
disclaim the social practices surrounding n e w
dances as morally objectionable and insist
that the cause of moral damage is to be
found in the music; the social functions sur-
rounding the performance of large-scale m u -
sical productions, such as the symphony, are
considered appropriate by the 'socially active'
and economically comfortable. Such situ-
ations a m o n g others are all social responses
to events of a musical nature.
Music for behaviour
modification
A final consideration of h o w music relates to
social practices is its use as a means of be-
haviour modification. Music therapy aids
mentally ill or otherwise handicapped people
to b e c o m e better adjusted to the demands of
their social environments. Studies have shown
that it is also being used to change attitudes
towards the workplace, as in industrial m u -
sic.17 These studies show h o w musical ex-
periences assist individuals in becoming more
fully integrated in social activities. Music
therapy directly recognizes the social nature
of music; music is employed for its potential
to lead the patient to express qualities that
can be freed, perhaps spontaneously, through
music. The complexity, stylistic faithfulness,
or artistic integrity of music are not the
concerns of music therapists. Rather, they are
interested in the uses of organized sound in
joined social interaction which turns individ-
K. Peter Etzkorn
ual expression towards social participation.
Music therapy works with the basic at-
tributes of the m e d i u m : the patterning and
selecting of sound from the available acoustic
spectrum in accordance with socially accept-
able practices and a certain state of tech-
nology. Patients are encouraged to utilize
these dimensions, to express themselves in
sounds, to m a k e music. It is of little concern
that their musical realizations m a y be re-
stricted to rhythmic patterns or m a y offer
little variation in pitch, timbre, contour or
form. But h u m a n beings interact with each
other through the m e d i u m of music. They
imitate others, give cues of their o w n , assign
labels to the sound patterns they render, and
accept social recognition for their perform-
ances. They function as composers, per-
formers and audience. In the therapeutic set-
ting these dimensions are concentrated, as it
were, in an ideal-typical abstraction.
The use of music in therapeutic settings
supports the view that the musical m e d i u m
communicates intrinsic meaning. It is the
therapist, fellow patients, or both w h o inter-
pret the patient's sounds as having meaning,
w h o , by their reactions to the sounds, establish
the basis either for consistency or randomness
of response. If there is consistency, then the
sounds can be assigned to a recognizable set of
responses, they are labelled or identified and
accepted as having some communicative con-
text beyond the sheer sound. T h e interaction
between patient, therapist and fellow patients
within the institutional setting becomes the
source of musical meaning; it sets the par-
ameters of musical acceptance.
Acceptance of the music of others, be
they of a different generation, a different
culture group, or simply 'others', requires an
analogous process of acculturation before it
is incorporated into the life of society.
On the sociology of musical practice and social groups
Notes
1. For a survey of literature,
see Alphons Silbermann,
'Soziologie der Künste',
in René König (ed.), Handbuch
der empirischen Sozialforschung,
Vol. 13, pp. 117-345, Stuttgart,
Enke, 1979; K . Peter Etzkorn,
Music and Society, pp. 3-40,
N e w York, Wiley-Interscience,
1973; W . V . Blomster,
'Sociology of Music; Adorno
and Beyond', Telos, Vol. 28,
1976, pp. 81-112. For a synopsis
of critical reaction to Adorno,
see K . Peter Etzkorn's, review of
Introduction to the Sociology
of Music by Theodor W . Adorno,
in American Journal of Sociology,
Vol. 83, 1978, pp. 1036-7.
2. For an extensive treatment
of relationships between the
architectural setting of music and
musical aspects see Kurt Blaukopf,
Akustische Umwelt und Musik
des Alltages, Darmstadt,
Institut für neue Musik und
Musikerziehung, 1980.
3. H . Stith Bennett,
'Performance: Aesthetics and
the Technological Imperative',
pp. 159-89, Amherst, University
of Massachusetts Press, 1980.
4. K . Peter Etzkorn, In Defense
of Mass Communications
Technology, Vienna, Mediacult,
1979.
5. Swedish National Council
for Cultural Affairs, Phonograms
and Cultural Policy (A S u m m a r y
in English of the report,
Fonogrammen i Kulturpolitiken),
Stockholm, 1979, 49 p.
6. K . Peter Etzkorn, 'The
Practice of Formal Music in
America', in Desmond Mark(ed.),
Stock-Taking of Musical Life,
pp. 79-87, Vienna, Doblinger,
1981.
7. Karlheinz Stockhausen,
Texte zur Musik, Vol. 3,
Cologne, D u m o n t , 1971.
8. Ibid..
9. The following discussion
draws on contributions by
Andrew McCredie, K . Peter
Etzkorn, Lionie Rosenstiel,
Ekkehard Jost, Wolfgang Laade,
Kiaus W a c h s m a n and Yoshihiko
Tokumaru to the session on
'Worldwide Transmutations
of American Popular Music'
during the Twelfth Congress
of the International Musicological
Society, Berkeley, 1977. See
Bonnie W a d e and Daniel
Heartz (eds.), Report of the
12th Congress, pp. 570-89,
Kassel, Baerenreiter, 1981.
10. Fred K . Prieberg, Musik
im NS-Staat, Frankfurt, Fischer,
1982.
11. Stephen Erdely, 'Ethnic
Music in the United States:
A n Overview', in Israel J. Katz
(ed.), 1979 Yearbook of the
International Folk Music Council, Curriculum Development and
pp. 114-37, Unesco, 1979.
12. Ibid.
13. See K . Peter Etzkorn's
review of R . Serge Denisoff,
Sing a Song of Social Significance, subject; they show that musical
in Sociology and Social Research, practices and, as it were,
Vol. 57, 1973, pp. 544-5.
14. K . Peter Etzkorn,
'Opportunities for the Study
569
of Social Change through the
Sociology of Youth Music',
in T . Lynn Smith and M a n
Singh Das (eds.), Sociocultural
Change Since 1950, pp. 299-308,
N e w Delhi, Vikas Ltd., 1978.
15. National Endowment for
the Arts, Research Division,
Audience Development: An
examination of selected analysis
and prediction techniques applied
to symphony and theatre
attendance in four southern cities,
Washington, D . C . , 1981.
16. J. Frederick MacDonald,
'"Hot Jazz", The Jitterbug,
and Misunderstanding: The
Generation G a p in
Swing 1935-1945', Popular
Music and Society, Vol. 2, N o . 1,
1972, pp. 43-55.
17. Ruth Bright, Music in
Geriatric Care, N e w York,
St Martin's Press, 1972;
Wilhemina K . Harbert, Opening
Doors through Music: A
Practical Guide for Teachers,
Therapists, Students, and Parents,
Springfield, 111., T h o m a s , 1974;
Mary Jo Deaver, Sound and
Silence: Developmental
Learning for Children through
Music, Pikeville, K y . ,
Research, Inc., 1975; Martin
Geck, Musiktherapie als Problem
der Gesellschaft, Stuttgart,
Ernst Klett, 1973. These
studies are examples of a
burgeoning literature on this
conventions with normative
constraint are forms of learned
behaviour.
 SOCIOLOGY
What questions does
the empirical sociology
of music attempt to answer?

Alphons Silbermann

The nature have been charitably allowed to deal with a

of the sociology of music few crumbs left over from the main scientific
banquet. There can be no doubt that this is
A glance at the literature devoted to the still the case as regards the sociology of music,
sociology of music, whether theoretical or whether labelled Marxist, socio-historical, aes-
applied, reveals a striking multiplicity of ap- thetic or empirical. The all-embracing nature
proaches. While some authors tackle the sub- of musicology is of course partly to blame for
ject from the point of view of the sociology of this. O n e would have thought that there was
knowledge, others use social history, the so- n o great conflict of interest between the so-
ciology of culture, sociological aesthetics or ciology of music and musicology, such as there
this or that theory of might have been in the
society as their starting old days w h e n musicol-
point. This epistemologi- Alphons Silbermann, ISSJ correspon- ogy was exclusively con-
dent in Cologne, has published very cerned with the musical
cal divergence has always widely on music; his works include
tended to occur w h e n Introduction à une sociologie de la mu- work itself. It is a long
sociological research has sique (1955), Wovon lebt die Musik? time since that ceased to
addressed itself to a (1957). Musik, Rundfunk und Hörer be the case. Musicology
(1959) and essays in Ketzereien eines does indeed still focus on
specific aspect of the life
Soziologen (1965). H e edited a selection
of society as a whole. It of articles from this Journal, Vol. X I X ,
the work as the central
is only when such differ- N o . 4, on literary creativity, and object of its research, but
ences of orientation have Vol. X X , N o . 4, on the arts in society nowadays it also con-
been overcome and a uni- in G e r m a n translation under the title, cerns itself—and to re-
Theoretische Ansätze der Kunstsozio-
fied approach developed markable effect—with the
logie (1976).
that individual sociologi- genesis of the w o r k and
cal disciplines such as the development of the
those of education, econ- composer, the creative
omics or law have been able to assert their process, historical connections, sources, per-
independence. It is only then that the soci- sonal factors, interpretation and m u c h else
ologist ceases to be accused of 'usurping' the besides. W h a t it ultimately gives us—although
overall social aspect of his subject and of the packaging m a y be psychological, stylistic,
setting himself up as a teacher, economist or psycho-analytic, aesthetic, historical, philo-
jurist. A n d it is only then that the last is sophical or, sometimes simply at the behest
heard of tendentious, and for the most part of fashion, conceived in terms of sociology,
highly unscientific, attacks on this or that social history or social psychology—is the
branch of sociology as being no more than type of analysis, undeniably valuable for cer-
an ancillary discipline whose practitioners tain purposes, that w e call musical analysis or
572 Alphons Silbermann

commentary. It seems almost inevitable that be found in the present author's 'Soziologie
in the course of this a number of thought der Künste'. 1 T h e works in question fall,
processes, attitudes and ideologies will be broadly, into three main groups, according
read into, or out of, the musical work. But to whether they are concerned with the phil-
this practice not only lessens the value of such osophy or aesthetics of particular periods in
analysis for the sociologist thinking and the history of music; with the philosophy or
working along positivist and empirical lines, aesthetics of particular musical utterances;
but leads him to wonder whether he and the or with the philosophy or aesthetics of par-
musicologist really have a shared objective. ticular musical genres and forms.
W h a t is this objective, and h o w are w e However, the traditional and intimi-
to define it? Is it not the objective c o m m o n dating function of philosophy is, through a
to all sociologies as social sciences, whether process of critical endeavour, to present us
they are concerned with military matters, the with an intellectual image of what is right,
state, industry, religion or music, namely and this obliges it to focus its attention
m a n in his military, political, industrial, re- exclusively on the actual object of its study
ligious, etc., aspect and hence also in his in order to ask (in the case of the object that
musical aspect? However simplistic this m a y concerns us here): Has this musical art-work
sound, and however difficult to translate into a meaning, is it ethically, stylistically, aes-
concrete terms, this is surely (weaknesses and thetically justified and does it conform to the
passing fads aside) the central task of soci- essential laws of music or of art in general—it
ology if it is to justify its existence. being taken more or less for granted that each
N o w of course n o one in his senses will school of philosophy will work out and de-
deny that musicology is concerned with m a n velop the 'essential laws' in question for
(whether as creator or as listener) in his itself? However, the further philosophy has
musical aspect. W h a t has to be defined is the proceeded along this path, the greater has
nature of the concern in question, and this is been the confusion bound u p with its quest
the central problem of musicology as a scien- for essence, a quest which, from an attempt
tific discipline—one could almost say, the to identify truth in music, has to an increasing
cross it has to bear. In its attempts to extri- and dangerous extent become an exercise in
cate itself from this problem, itfirstsought controversial value judgements.
refuge, like otherfledglingdisciplines, in the Recognizing the danger, musicology
b o s o m of philosophy, the great mother of all abandoned an approach based on philosophi-
the sciences. Musicology adopted the philo- cal induction and deduction. In doing this, it
sophical approach (or the aesthetic approach followed the example of other scientific disci-
in its philosophical sense) and attempted with plines, including empirical sociology. But it
its help to carry the knowledge of musical did so, I hasten to add, without renouncing
matters back to their ultimate principles, value judgements altogether and embracing
i.e. the nature and effect of the musical work, the much-discussed 'value-free' approach,
or, failing this, to establish a basis for the which, if properly understood, is one of the
critical systematization of its insights. foundations of sociological thought and
This approach has given rise to a large writing. Without attempting here to clear up
n u m b e r of extremely valuable works. C o n - the still widespread misunderstandings re-
fining ourselves to comparatively modern garding this fundamental principle, clearly
times, w e m a y mention such works as those enunciated as long ago as 1895 by Emile
of Descartes (Musicae compendium, 1656), Durkheim, in Les règles de la méthode socio-
Leonhard Eulers (Tentamen novae theoreticae logique, w e shall merely say here that for the
musicae, 1734), J. G . Herder (Kalligone, 1800) sociologist, the value judgement passed on a
or Eduard Hanslick (Vom Musikalisch- musical work is only one of the m a n y data
Schönen, 1854); a somewhat fuller list will that he needs to take into account in his
What questions does the empirical sociology of music attempt to answer?
T h e lesson. Elliott Erwitt/Magnum.
consideration of it. A s far as he is concerned,
value judgements are observable material
that goes with other raw material to furnish
the basis for his analysis. It would be wrong
to suppose that the sociologist's competence
extends as far as that of the musicologist,
enabling him to identify a given work or
genre in categorical terms as bad, mediocre,
good or excellent. If a sociologist does go in
for this sort of thing, classifying one type of
music as bad, another as good or even going
so far as to assert that it is only as a means
of h u m a n communication that music pos-
sesses positive value and that music which
only amuses or distracts is not to be regarded
as art, his claims to be regarded as a genuine
sociologist must be considered as dubious.
This must be clearly stated, not only because
w e have here the clearest line of demarcation,
as regards both content and methodology,
between musicology and the sociology of
573
music, but also because it helps us to realize
h o w naïve, illogical and thoroughly unscien-
tific this kind of ideologizing sociology is in
its attempt to equate so-called 'critical' musi-
cology with the sociology of music.
It cannot be too strongly emphasized
that the sociologist of music must have
nothing whatever to do with its technical
aspects. It is not his job to concern himself
with harmony, theory, form, style or rhythm,
or to attempt to answer the question, ' W h a t
is music?' (assuming that any valid answer to
such a question is possible). H e must never
use whatever theories he happens to hold as
a pretext for reading into, or attempting to
extract from, a musical work anything that
is not factually and/or documentarily d e m o n -
strable. Y o u r musical know-all, of course, is
delighted to engage in this kind of m u m b o -
jumbo since he claims to be able to interpret
m a n (not only as composer but as listener) in
574 Alphons Silbermann

terms of his music.. But, to take only one circumstances and of the m a n y social pro-
example, can w e learn anything about m a n in cesses through which a society lives and
the second half of the nineteenth century creates.
from Brahms's G e r m a n Requiem? C a n this Precisely this sort of deduction, however,
music in itself, purely as a sound structure, is constantly being attempted, so that m a n y of
afford us any insights into the h u m a n society the allegedly sociological studies produced by
of the age and the country in which Brahms social philosophers or practitioners of the
happened to live? C a n it tell us h o w that 'understanding' approach are exercises in
society was organized, what it looked like, social aspiration rather than sociological
h o w it behaved, in short, what its social fabric thought, substituting wishes for facts and
was? If w e were simply concerned to pinpoint pontificating complacently about the devel-
changes in taste or lines of development as opment or decline of musical phenomena.
such, w e might adopt a comparative approach Such activities have no place in a serious
and follow up our study of Brahms's Requiem sociology of music, not only because it does
with a study of, say, Mozart's. not possess the necessary scientific research
It would of course be entirely legitimate tools, but also, and mainly, because with its
in this sort of comparative study to indicate empirical approach it can only concern itself
such things as radical stylistic changes and with social facts. It cannot afford to read
their significance in minutest detail, but once selfless creative idealism or lofty disdain for
again w e must ask those w h o claim that they the bourgeois spirit into Beethoven's Missa
can interpret m a n from his music whether Solemnis on the basis of various carefully
even a comparison of this sort allows us to selected items of extra-musical knowledge,
draw any conclusions about the two c o m - unless it considers at least one of its tasks to
posers' contemporaries. W e can of course consist in facilitating an approach to social
draw such conclusions, but only if w e are life by widening our knowledge and under-
content, like so m a n y musical littérateurs and standing of h u m a n beings and their prob-
ideologues, to deal in stereotypes, which will lems—in other words, of society in all its
enable us in this particular instance to identify complexity.
'rococo m a n ' in the Mozart and 'bourgeois Such an objective, conceived in very
m a n ' in the Brahms. general terms, can be expressed in the form
This sort of approach, if in a somewhat of the following—from the scientist's point
less extreme form, is in fact quite c o m m o n , of view somewhat loosely worded—question:
but it still leaves us at the end of the day with W h a t do certain musical utterances m e a n to
the work itself in all its solitary grandeur, or man? Even in this vague formulation, the
else with Brahms the m a n and Mozart the question already contains a great deal that is
m a n , together with the biographical data of concern to the sociology of music, for it
yielded by research, which m a y possibly fur- indicates the overriding need for a knowledge
nish us with some hints regarding the position of m a n as a producer or consumer of musical
of those masters in their society that could experience, and of the relationship which this
help to explain the conception of this or that creates between him and his fellow h u m a n
specific work. But the work alone—and this beings. T o achieve this knowledge it is not
must be emphasized yet again if w e are to enough—as so m a n y musicologists dabbling
understand the philosophy, procedure and in sociology have supposed—to take some
method of the musical sociologist—can never of the major sociological theories such as
tell us anything about the social and artistic those developed by Comte, Durkheim, M a r x ,
condition of a society. T h e nature of the Tönnies, W e b e r or M a n n h e i m , and harness
people living in a particular society can never them more or less at random to the purposes
be deduced from the music itself, that is to of musical sociology. T o adopt such a primi-
say without a knowledge of all its attendant tive approach is to fall into the not u n c o m m o n
What questions does the empirical sociology of music attempt to answer?
Concert to promote classical record albums in a N e w Y o r k supermarket. Martin Adler Levick/Black Star/Rapho.
error of taking theories that have been slowly
if not painfully developed in the light of
practical experience and attempting to trans-
form them into hope-drenched panaceas for
social difficulties. W h a t started as a general
sociological orientation, which created what
we m a y call Homo sociologicus, has become
sub-divided with the development of the disci-
pline into a number of specialized sociological
compartments, all brimming with problems
of theoretical, practical and methodological
interest. The task of the musical sociology w e
are concerned with here is to contribute to
the understanding of m a n in his socio-musical
aspect: first by identifying and accurately
defining relevant socio-musical problems; sec-
ondly by using tested sociological research
techniques to collect and organize reliable
sets of specific factual data; thirdly to draw
attention to gaps in our knowledge of specific
socio-musical problems; and fourthly to ident-
575
ify, analyse and interpret the interrelation,
interaction and interdependence of certain
c o m m o n , problems that musicology, for
example, sees as separate, isolated and un-
connected with one another.
W e are well aware that this formulation
is as cautious and general as possible and
that w e have neglected to draw attention to
what musicology has already achieved along
the lines described above without recourse to
sociology; and that this lays us wide open to
attack from those people in either the ideo-
logical or the scientific c a m p w h o are opposed
to any sociology of music whatever form it
takes. This is deliberate: for w e wish, in the
interest of the subject itself, to avoid provoking
any unnecessary conflict with those w h o be-
lieve that the sociology of music—whether
grounded in the sociology of knowledge, social
philosophy, social theory, the sociology of
culture, social history or the empirical ap-
576 Alphons Silbermann

proach—represents an attempt to break the The recognition of this fact, however, does
monopoly of musicologists or musical the- not in itself provide us with an adequate tool
orists b yfinally,after so m a n y decades of for identifying, analysing and dealing with the
idealization and mythification of the creative sociological aspects of the phenomenon. A n d
artist, paying attention for once to that no less so it is not surprising that although the
essential m e m b e r of society, the music con- phenomenon is recognized, it is frequently
sumer—and, be it noted, doing so without ex- studied and discussed in terms of structure,
pecting him to listen to tiresome sermons on function or effect without any prior inquiry
the need for more education and culture or into the significant m o m e n t in relation to
to the usual counter-productive jeremiads society.
about the crisis of our civilization. T o determine this, w e must go back to a
tangible m o m e n t of perception, namely the
social act generated by the music, whether
Musical experience the act in question is subjective in Weber's
as an object of research sense or objective in Durkheim's, and whether
the work is viewed, in terms of creation,
Present-day musicology has, broadly speak- interpretation or consumption, from within
ing, the same three main areas of interest as or without. In other words, the central object
the sociology of music: the artist, the work of study for the musical sociologist is not the
and the public. T h e difference in their ap- music itself, which can be conceptually 'deep-
proach, both analytical and methodological, frozen' and treated as structure, but m a n as a
to these three central areas lies in the fact socio-cultural being and agent: he is not the
that while the sociologist m a y possibly con- means, but the end. Hence for the empirical
sider them in isolation from one another for sociologist everything connected with the
purposes of systematization and explanation, relationship between the arts and society must
he is usually concerned—unlike, say, the always be seen in the light of the relations
musical historian—to study and describe them between the individual and the group or
as they exist in constant interaction and inter- groups. But here there is only one relevant
dependence, since together they m a k e u p for fact, a single fait social, that consists, ac-
him the elements of a social process that w e cording to Emile Durkheim, 'in ways of
m a y term musical experience. acting, thinking and feeling, external to the
T h e origin and content of this central individual and which possess a coercive power
concept of musical sociology is not only fre- by virtue 2
of which they impose themselves on
quently misunderstood and misinterpreted, him', and which enables music to generate
but also soflagrantlyneglected as a cardinal relationships, namely musical experience. This
factor in any attempt to conduct musico- perception, which brings us into a socio-
sociological research along empirical lines emotional area with its specific spheres of
that such attempts all too frequently c o m e influence, is o n a par with other socio-,
to grief. Epistemologically speaking, this con- emotional findings (laughter, assent, rejection,
cept represents, in both origin and appli- affirmation, antagonism and so forth), which
cation, an attempt to give concrete form to m a k e possible a methodical investigation of
the object of musico-sociological research. It the sociological aspects of music. Together
seeks to remedy a situation in which, for with the aesthetic aspects of the subject, cer-
reasons of purely linguistic logic, the vague tain opposing values and tensions generated
concept of 'music' is constantly placed at the by cultural acquisition and underlying social
centre of the musical life that is to be analysed, action can n o w be recognized in their dialec-
even though it is recognized that music ranks tical relationship as they find expression in
as a social and socio-aesthetic phenomenon the reactions of society to music. The socio-
solely by virtue of its relationship to society. logical characterization of artistic life in terms
What questions does the empirical sociology of music attempt to answer? 577

Electric m o m e n t at a pop concert. Harbutt/Magnum.

of artistic experience, which emerged in re- interpreted and classified; w e m a y find the
sponse to Durkheim's requirement of a central idea of the 'expressive symbol' too narrow,
fait social, has c o m e to be widely adopted, like Ernst Cassirer,4 or too broad, like Jacques
notably by Talcott Parsons in his discussion Maritain.6 Nevertheless it remains true that
of the structure and function of 'expressive it is the contact between producer and con-
symbols'. H e arranges these in a symbol system sumer, whether generated by assent or conflict,
through which an expressive act relates to a that constitutes the social process, the social
given situation, and writes: act, which assumes concrete form and hence
becomes a specific object at the centre of the
Expressive symbols which are part of the process artistic constellation, providing the only sort
of interaction serve a threefold function, as do all of sociological fact capable of serving as the
elements of culture: 1. they aid in communication centre and starting-point of observation and
between the interacting parties . . .; 2. they research based o n the empirical sociological
organize the interacting process through norma-
approach. T o say this is not of course to stake
tive regulation, through imposing appreciative
standards on it; and 3. they serve as direct objects an exclusive claim for the empirical method
for the gratification of the relevant need- in the sociology of art: a similar approach has
dispositions.3 long been adopted by all those w h o , without
turning their backs on m a n , have endeavoured,
W e m a y or m a y not agree with Parsons' through sufficiently thoroughgoing formal
theory, which centres not o n autonomous acts analysis, through cultivation of the feeling for
but on the system in terms of which acts are form or through stylistic investigation, to
578
throw into relief the vital principle of the arts,
namely their social action. If w e say that only
musical experience can generatefieldsof cul-
tural activity and perform an active and social
role, the experience of which w e speak can
be identified—or, more precisely, observed,
described and typologized—in terms of three
fundamental social determinants, namely
nature, mutability and dependence. 6 Thus,
for example, Bruce Allsopp7 in his typology of
artistic experience recognizes: (a) artistic ex-
perience with comprehension; (b) artistic ex-
perience as enjoyment; (c) as feeling or
emotional content; (d) as experience; (e) as
contagion; (f) as insight into truth; and (g) as
transmission of wisdom. Others again, for
example M a x Kaplan, 8 use the same approach
as the basis of a typology which distinguishes
between collective experience (individuals
m o v e into a closer relationship with their
groups), individual experience (imaginative
stimulus, distraction, c o m m u n i o n with his-
torical periods), symbolic experience (art as
idea or social relationship), value experience
(art that is good, decadent, inspirational, sen-
sational, etc.), and casual experience (having
no aesthetic impact). Inasmuch as 'a work of
art asks us to pause and contemplate it, not
to take possession of it by storm or treat it as
an object of research',9 musical experience
assumes a central role for the empirical soci-
ologist, whose approach is aimed at identifying
and coming to grips with that experience. This
applies equally to its socially organizing and
disorganizing effects, to its beneficial or (indi-
vidually or socially) harmful ramifications
and, last but not least, to the various impon-
derables by which it is surrounded. In inves-
tigating all these matters the empirical ap-
proach refrains from formulating artistic
norms and values, for the empirically oriented
study of music in its social aspects is not
designed to shed light on the nature and
essence of the music itself.
For the sociologist, then, music and the
musical experience bound up with it are a
continuing social process, involving an inter-
action between the composer and his socio-
cultural environment and resulting in the
Alphons Silbermann
creation of some kind of musical work which
in its turn is received by the socio-cultural
environment and reacts to it. The simplicity of
this straightforward process—which would
still be straightforward even if w e were to
describe it with all its possible concomitants
and variations—arouses the scorn and sus-
picion of the sort of theorist w h o is only happy
if he can translate down-to-earth events or
actions into something weird, wonderful and
unintelligible. A n d yet it is possible to remain
within precisely this framework of an e m -
pirically observed reception/reaction process
without falling into the error of claiming that
it is monocausal. T h e empirical sociologist
of music likes to deal in facts that are tangible,
comprehensible and if necessary susceptible
of experimental treatment, not in inventions.
The sort of process w e have briefly described
here lends itself admirably to his purpose, for
what it boils d o w n to is that on the one hand
the work makes a certain impression on cer-
tain large or small social groups, whose
reaction determines the reputation of the
work and its position within the socio-cultural
situation; while on the other hand this process
exerts a certain influence on the musician and
to some extent conditions and regulates his
creative activity. This dynamic view clearly
accords with what w e said earlier about the
sociologist's primary interest in the interac-
tion of individuals, groups and institutions,
in other words, in h u m a n behaviour, and
about the w a y in which this man-based ap-
proach leads to m a n as the central research
object of any empirical sociology of music.
In strictly sociological terms and to avoid any
misunderstanding, let us say that w e regard
the overall artistic or musical process, in-
volving the interaction and interdependence
of artist, work and public, as constituting the
frame of reference for all the different aspects
of musico-sociological thought and activity.
In an Irish p u b . Elliott Erwitt/Magnum.
580 Alphorn Silbermann

The constituents and understood w e are already in the area of

of the musical process actions involving individuals; social effect goes
one stage further by generating an interaction
It remains for us to consider the individual that leads to some sort of specific experience
constituents of the total artistic or musical capable of demonstration, examination and
process, without of course attempting to dis- verification by whatever investigative tech-
cuss them exhaustively in the space of this nique of empirical sociology is suitable to the
article. Let us start with the investigation of case or object in question. It is here, inciden-
the composer (using this term in the widest tally, that musical aesthetics and musical so-
possible sense). Here what mainly interests ciology most nearly coincide, at any rate for
the musical sociologist is the composer's the aesthetician w h o is prepared to adopt a
social and socio-cultural position in the c o m - sociological approach instead of confining
munity, regardless of whether w e are dealing himself to ivory-tower musings on the nature
with groups of so-called 'serious' or 'light' of the beautiful.
musicians, with professionals or with a m a - The next element in the overall artistic
teurs: social origin, ethnic, economic and edu- process, and hence in the musical sociol-
cational background, life-style, place of resi- ogist'sfieldof interest, is the investigation of
dence, leisure activities, work habits, social the musical public. Sociological studies of
and cultural contacts, potential and actual different types of public—by which w e m e a n
attitudes, and so on, are a m o n g the areas any group that receives, consumes and reacts
covered by this branch of research. If in to a work, regardless of whether the work
addition to all this it concerns itself with such in question is by a classical or an avant-
questions as the composer's professional garde composer, by Richard Strauss or the
status or social protection—in other words if Beatles—provide the musical sociologist with
the empirical musico-sociologist conceives and general information about the ways in which
studies the composer as a m e m b e r of a par- the socio-cultural environment conditions the
ticular professional category—then w e m a y process of musical creation (in the widest
say that the composer is being taken d o w n sense of the term). They also, incidentally,
from his artificial romantic pedestal without offer a more intelligible and indeed h u m a n
being robbed of his social or artistic sponta- approach to music than the sort of pseudo-
neity, let alone profaned, and that this can musicological essay that attempts to m a k e
only be in his o w n interest. a work palatable to the ear by spicing it
If reference is m a d e in the same context with anecdotes, aesthetic m u m b o - j u m b o and
to the composer's contribution to the social learned technicalities. T h e area of musico-
order, then w e have in fact already reached sociological investigation w e are discussing
the second stage in our socio-cultural line of aims at shedding light on individual and
communication, that of the sociological study collective behaviour in the consumption of
of the musical work, not in terms of an music, motivations and behaviour patterns
analysis of the work itself but from the point in the choice of music and the manner of
of view of its socio-musical action. For the listening to it, musical fashion and taste, the
plain fact of the matter is that music of any politics and economics of music, socio-cultural
sort considered as an internal concern of the control and change, the functions of music
composer has as little reality for the e m - and various other questions.
piricist as, say, an ode to the loved one which T o s u m up, w e n o w see that, in terms of
remains forever locked in the poet's drawer. the artistic or musical process considered as
It is only when objectivized that music can a whole, the empirical sociology of music sets
express the something that is intended to be itself three main tasks. T h efirstis to illustrate
perceived and understood or to produce a the dynamic character of the social p h e n o m -
social effect. With the wish to be perceived enon called 'music' in its various forms of
What questions does the empirical sociology of music attempt to answer? 581

expression. This calls for an analysis of the
forms of musical life seen in their context, an
analysis which, as w e have shown, cannot be
based on the specific value judgements with
which the members of any society underpin
their o w n particular form of existence. T h e
second task is to establish a generally ac-
cessible, convincing and valid approach to
the musical work, showing h o w things came
to be as they are and hence what changes have
taken or are taking place. The third task is,
with the help of empirical data, to develop
laws of prediction making it possible to say
that if this or that occurs, this or that conse-
quence will probably follow.
Those w h o dismiss musical sociology as
sophistical are in fact denying the h u m a n
aspect of music and refusing to recognize that
a down-to-earth, empirical and pragmatic
sociology need not be afraid to follow the
sophist Protagoras' dictum that ' m a n is the
measure of all things'.
[Translated from German]

Notes

1. Alphons Silbermann, 3. Talcott Parsons, The Social Les principes de la sociologie

'Soziologie der Künste', in
René König (ed.),
Handbuch der empirischen
Sozialforschung, Vol. 13,
Stuttgart, 1979.
2. Les règles de la méthode
sociologique, 14th ed., p. 5,
Paris, 1960 (first
published in 1895).
System, p. 386, Glencoe, 111.,
1951.
4. Ernst Cassirer, Philosophie
der symbolischen Formen,
3 vols., Berlin, 1923-29.
5. Jacques Maritain, Art et
scolastique, Paris, 1927.
6. For a detailed discussion
of this point, see
Alphons Silbermann,
de la musique. Chapter III,
Geneva, 1968.
7. Bruce Allsopp, The Future
of the Arts, L o n d o n , 1959.
8. M a x Kaplan, Foundations
and Frontiers of Music Education,
N e w York, 1966.
9. Helmut K u h n , Wesen und
Wirken des Kunstwerks, p. 27,
Munich, 1960.
 CONTEXTS OF THE ART
Jazz: a music in exile

David Aronson

Background but, in general, it is played in less 'respected'

venues.
Most commentary about jazz seems to be In the beginning the music developed as
written in a vacuum, allowing little space for a popular form within the black community
the creators of the art to voice their opinions. of the United States, originally played b y
M y experience during twenty years of associ- black artists for a black audience. Today the
ation with musicians is that they have a better bulk of the audience is white middle class.
sense of what they are trying to achieve than W h a t was once considered enjoyable, ac-
do the learned critics. For this reason, relying cessible danceable music is n o w viewed b y
on both m y personal discussions with m u - the general public as either impenetrable or an
sicians and previously obscure personal state-
printed interviews, I have ment. W h a t developed
attempted to allow the David Aronson, an American writer from a particularly black
players to speak for and consultant, is at present living in experience has been,
Paris. H e has taught literature in Ireland
themselves. and been a drummer in a band, from throughout its history,
Nearly a hundred which time he maintained his links with co-opted, diluted, and ex-
years after its birth, jazz jazz musicians as a journalist and band ploited into profit b y
manager. His article is largely based on white musicians, and
remains a music looking experience, hearsay and interviews.
for a h o m e . Picture a labelled as their creation.
typical performance. A Exactly what can be
night club. People drink- considered the origin of
ing and talking at the bar jazz is, at best, dubious.
or tables in front of the S o m e musicologists pre-
bandstand—if there is so fer to mark ragtime or
m u c h as a stage— a faulty the later Harlem-stride
sound system, and a piano-playing as its in-
piano as often as not out of tune. Yet jazz ception. Others choose the music of the N e w
has often been referred to as the classical Orleans marching bands, led by the likes of
music of the United States. H o w does one Buddy Bolden, as the precursor of the m o d e r n
imagine a piano recital or a night at the music. Still a third group claims that jazz
opera? A concert hall, proper lighting, excel- began post-Dixieland. Making such fine dis-
lent acoustics, a respectful and silent audi- tinctions seems to be a fruitless exercise, but
ence, some listeners following the performance does demonstrate an essential point. Whatever
with scores. N o one lights up a cigarette or the root, it is one rich in improvisation, stem-
calls for a beer in Carnegie Hall. O f course, ming from African rhythms and European
jazz has moved into the symphonic spaces, melodic structures. Whether the tunes were
584
originally composed by blacks or borrowed
from white popular or folk music is irrelevant,
in that the interpretation of the music was
unique. In the black community, segregated
from white society, musicians were educated
in a w a y unlike anything in the mainstream
culture.
W h a t exists today in the modern music is
essentially a continuation of the drive for
improvisation, working within and without
the melodic, harmonic, or tonal structure
(hence the terms 'out' and 'outside' playing),
probably dating back to certain kinds of
African singing in which the performers are
expected to improvise verse after verse. T h e
ragtime and Harlem-stride piano-players
would often compete with each other, string-
ing out endless variations on their themes.
T o d o so successfully, the musician would
have to train himself in the structure and
composition of different chords and keys so
as to become one with the music. A s the
majority of the early musicians had no formal
training, composition was in the playing,
allowing no luxury of reference to a prepared
score. O f course, melodies and variations
were committed to m e m o r y before a perform-
ance, but the playing of colleagues would
invariably d e m a n d further creation on the
keyboard, m u c h of which might be a vari-
ation upon the preceding music.
These contests served as schools for ac-
complished and aspiring players. Often a
waiting pianist would sit d o w n on the bench
next to the player and, at the end of a chorus,
take over on the keyboard. In this fashion,
the music would continue non-stop through
literally hundreds of versions. A young pianist
might be allowed to sit in until he failed to
create further themes or until he worked
himself into a construction he was unable to
resolve successfully. Both the audience and
players would become educated in this fashion.
T h e drive for variation was not exclus-
ively relegated to solo performance. 'Jazzing'
originally meant obscuring the melody, a prac-
tice c o m m o n to the N e w Orleans funeral
bands. The musicians, on their long way h o m e
from the cemetery, would improvise on a
David Aronson
theme, both individually and in ensemble
playing. Hence the bands, as units, developed
the same experience as the piano-players m e n -
tioned above and the bands' audience gained a
parallel sophistication.
Even after blacks gained some access to
higher education and formalized musical train-
ing in the United States, the importance of
learning jazz within a working context with
other musicians failed to diminish. Reading
and notation became more commonplace, if
not obligatory, as the music became more
sophisticated. Perfection of tone and music
theory could be taught in the classroom, but
perception could not be found there. Exposure
is essential to both the listener's and player's
ability to understand or create. Social context
determines exposure; hence the long-term ex-
clusion of black musician and audience from
the dominant white society cemented the cre-
ation of jazz to the black enclaves. In the
enclosed communities exposure to the music
was intense, resulting in demanding perform-
ance criteria, from both player and audience.
Cross-fertilization exists within almost all
forms of music, yet due to the division of the
United States into two societies, popular music
developed in two different streams. Music
coming out of the black community was a
freer, less rhythmically, melodically and, later,
harmonically bound improvisational form.
White musicians and composers might be
inspired by black music but, divorced from
playing in the exigent improvisational context,
extended soloing never developed. For that
matter, white popular musicians lacked ex-
posure to forms in which rubato was employed,
as it was in gospel singing, for example. Black
musicians often played white compositions,
but utterly altered to fit their o w n perspective.
Their music reflected their o w n societal in-
fluences (blues, church forms, field shouts
stemming from African call and response, and
so on) and also subtle commentary on certain
compositions they borrowed from white
writers. That distanced perspective has often'
expressed itself in ironic voicings of popular
white tunes, considered rapid by the black
musicians and their audiences. (Of course,
Jazz: a music in exile
within the arts, this point of view is not unique
to black music. S o m e of the greatest satirists
in English literature, S h a w , Joyce, Swift,
Beckett and others all o w e something of their
satiric genius to their removed position as
Irish writers, viewing the ruling alien British
culture.) But most importantly, exclusion from
the prevailing white culture and the concomi-
tant social injustices that blacks suffered in
their daily lives provided an impetus to create
a free form of music, an art-form in which
exploration and a statement of individual and
group identity became paramount.
That jazz is black in its origin and ex-
plorative in its performance has, in effect, to
this day defined the reception and path of the
music. T h e two dominant reactions by white
society demonstrate a curious polarity. Most
critics (from the inception of the music all
white, and today still predominantly so) and
'public guardians' rejected the music as primi-
tive or indecent. Fenton T . Bott, head of the
National Association of Masters of Dancing,
in 1921, commented that
those moaning saxophones and the rest of the
instruments with their broken jerky rhythm make
a purely sensual appeal. They call out all the low
and rowdy instincts. All of dancing teachers know
this to be a fact. . . . Jazz is the very foundation
and essence of salacious dancing.1
Whereas the immediate reaction of white m u -
sicians was to assimilate what they recognized
as a new and vital form. But such musicians
lacked the training to go beyond the original
stated themes and voicings they were able to
imitate. T h efirstwhite 'jass' (a term used in
place of the then rude 'jazz') bands were able
to create little more than novelty music, far
removed from the rich inventive sounds of
their black counterparts. However, it was the
white Original Dixieland Jass Band which
first recorded the new music. Not until 1923,
six years later, was the black King Oliver's
Creole Jazz Band, recorded by a major record
company. A n d even then, as were the few
earlier blues discs, the music was consigned
to the company's 'race' label, aimed at black
audiences. M u c h to the surprise of the re-
585
cording industry, white listeners proved to
be avid buyers.
White musicians began to frequent night
clubs and dance halls where the music w a s
played, picking u p n e w tunes and getting
ideas for arrangements. W h e n the first Louis
Armstrong records were pressed, musicians
like Bix Beiderbecke would play the music
over and over again until they had learned the
solos by heart. But, as fine as a recorded
performance might be (taking into account
the limitations of acoustic reproduction at
that time), a disc was limited to n o more than
a little over three minutes, and hence solos
were restricted to very few bars in comparison
to live performances. A n d , of course, the
solos were only what the musician chose to
play that given day in the studio. T h e great
players would constantly change their impro-
visations, often varying them from one set to
the next during the same evening. Composers
like Irving Berlin, George Gershwin, and
Hoagie Carmichael would pick u p elements
and introduce them into scored pieces,
but invariably the performances of such
works would bear little resemblance to what
the blacks were playing. T h e interplay be-
tween the musician-composer and the m u -
sic—its playing and the relationship the m u -
sician has with the music as a continuum of
his culture, for example the bluesflattingsas
commentary and reflection rather than mere
chromatic variation—and the interplay that
the musicians have with each other's spon-
taneous composition could not be instilled
into the white creations.
Black composers and arrangers would be
hired to provide material for white groups,
but the arrangements, written out note for
note for each section of the orchestra and for
the individual soloists, would be limited to
what appeared in the score. Phrasings cannot
be indicated. There is no w a y to write h o w a
note should be attacked, nor is there a manner
in which to instil, on paper, a sensitivity as
to h o w one can extend a solo. M a n y times
the arranger-musician would be called in to
demonstrate the performance of his writing,
a practice virtually u n k n o w n a m o n g black
586 David Aronson

S o m e early homes of jazz around N e w Orleans

Pete Lala's.

The Elk's Club with the Masonic Brass Band.

Jazz: a music in exile 587

The Steam Ship J.S.

West End's Bandstand. (From Al Rose and Edmond Souchon, New Orleans Jazz:
A Family Album, Baton Rouge, Louisiana State University Press, 1967-78.)
588 David Aronson

formations. Arrangements and compositions go to the musicians or leaving the bands

are seen as superstructures from which the stranded if a theatre refused to pay after a
black artist is allowed to interpret and extend, concert). During Prohibition, organized crime
to return to in ensemble playing, and ulti- was responsible for the production and deliv-
mately as an ensemble to interpret and impro- ery of alcohol. Logically, criminals invested
vise from as a free-flowing unit, each musician readily-at-hand funds to establish night clubs,
building off the written piece and the per- which even after the repeal of the Volstead
formance of his colleagues. T h e most favoured Act continued to be convenient funnels
pieces, for example Honeysuckle Rose, are through which to launder illicit gains. G a n g -
those 'open' enough to allow for exploration. sters are quite capable of handling the vir-
So, in this sense, a jazz performance is not tually obligatory bribes necessary to obtain
something to be repeated. It is very m u c h the cabaret licences and to 'persuade' law-
s u m total of the experience that musicians as enforcement officers to overlook infractions.
individuals and as a group bring to the music In fact, the practice is so c o m m o n that bribes
at any given m o m e n t . T h e veryfirstplaying of are set at fixed prices and intervals.
the piece expands and alters experience, and
thereby must alter the perspective of the m u - The best club I ever saw was Birdland, and that
sicians and rendition of the music in its sub- was in thefifties.A n d that was run by the
sequent incarnation. gangsters. But for the public. . . . T o m e it was
like a school. I would go there every night and it
only cost a dollar or a dollar-twenty-five and you
Even those cats like Bix [Beiderbecke] and Hoagie
could stay all night in the 'poor section' . . . and
Carmichael and those cats used to come out
the sound was good and you had good music
nightly to hear King Oliver and Louis Armstrong.
every night. A place like that doesn't exist any
W h e n it came time for those guys to join the
more. It's not possible. I think it was viable
union, the musicians' union in Chicago, the white
because there were gangsters running it, and they
musicians in Chicago fought bitterly against
were doing some weird shit to keep it going. I
Negroes joining. I imagine some of them would
think the gangsters have been very important.
have been the Carmichaels and the Beiderbeckes.
Well, if you're out there in the streets with the
I don't know if it was them specifically, but some
police and the criminals and all that. . . it's not
of those guys had to fight it and I suspect that
going to be any grandmother running [a club]. In
even if they weren't open about it many of them
any big city it's gonna be like that: Paris, N e w
had. A n d let's face it, it was America in the
York, Chicago, anywhere. It's endemic.3
twenties and there were many latent and overt
hostile feelings against blacks, including lynch-
ings, which were abundant. A n d particularly in Black musicians were not thrown into these
that area, Chicago, East St Louis, the Midwest... situations and excluded from the unions
it was really warm. So when you get down to it, merely because of racism. T h e white players
there was always this duplicity.2 were also ensuring more work for themselves
by limiting the opportunities of rival m u -
Long-term de facto and de jure separation of sicians. Blacks were unable to play most
white and black musicians had effects beyond recording dates as sidemen for white bands
the limitation of performance ability. Without and found n o work for years in radio house
collective organizations like the unions, black bands. In the recording studios, payment was
musicians were unable to negotiate for decent far below acceptable scales for the white
pay or playing conditions, leaving them to the unions, as it often was in the ballrooms that
mercy of the gangsters, w h o would engage the had 'mixed' policies. A white band would play
bands to play in the speak-easies, and u n - one night for the A scale and the next
scrupulous booking agencies which promoted evening, in the same r o o m , black musicians
tours through the non-union halls for abysmal would receive the lower C-scale wages. Very
wages (often skimming off a large percentage few jazz musicians received royalties for their
of the m o n e y theatre-owners believed was to compositions, as the record companies almost
Jazz: a music in exile
never gave the black composers publishing
rights. (Bessie Smith, for example, was never
paid m o r e than $200 for a recording date,
though m a n y of her records sold over a
million copies.) Revenge w a s exacted s o m e -
times w h e n blacks would play for white audi-
ences the compositions of white composers,
but in so altered a fashion that the tunes
were rendered unrecognizable to an untrained
ear—often including the ear of the c o m -
poser—thereby avoiding royalty payments to
white writers.
Divorced from the machinery of the sys-
tem, or left to its w h i m s , jazz musicians have
formed a tight-knit community. In some cases
they have formed their o w n unions, although
unable to exert m u c h control except over
their o w n m e m b e r s . M o s t of the white bands,
on a year-round salary, are m o r e or less fixed
units, but historically this is not the case
a m o n g black groups. Unless a band has a long
house engagement or tour, the musicians are
paid for each performance. This has led to
close alliances, musicians constantly seeking
out m o r e performances, or creating the o p -
portunities to perform in n e w locations (a
practice normally left solely to agents in other
fields of music), and contacting each other
w h e n there is an opening for a band and a
player needed. B y working with so m a n y
musicians concurrently, jazz players extend
their knowledge of different styles, learning
from different formations they are thrown into.
Change and continuity
M o r e than merely gaining experience from
exposure to each other, the musicians have
developed a sense of guardianship and propa-
gation of the music. Contrary to the c o m -
monly held opinion that artists are so indi-
vidualistic that great changes are brought
about in music by unique players, progress
and innovation is usually'brought about by
aggregates sharing the same vision. For
example, from-the late 1930s musicians
started flowing into Minton's Playhouse and
Monroe's U p t o w n House in N e w Y o r k in
589
the very late night hours, developing a music
that would later be called 'bebop'. Charlie
Parker, Dizzy Gillespie, Thelonius M o n k ,
K e n n y Clarke and M a x Roach were s o m e
of the young explorative m e n responsible for
the great changes in the music. A s M a x
R o a c h relates: ,
I used to put eyebrow pencil over m y lips so I
could get into the session at Minton's during the
early 1940s. M o n k was working at Minton's
when Ifirststarted going there. . . . All these
wonderful musicians—so wonderful, the way w e
passed information to each other. Y o u n g people
would come into Minton's and you could spend
the whole evening. Y o u could play, you could
perform with them. They would give you tips on
things—and just being in their company, knowing
them on the bandstand. Even off the bandstand,
going to have late breakfast and sometimes
staying up all night going to other after-hours
places to watch and observe and participate
yourself. Learning things from people you were
introduced to by way of knowing folks you knew.
Certain cats you would watch do certain things,
and you could ask certain questions about your
o w n development.
Well, the continuum is a school, you see.
A n d it's a very structured school. Y o u know,
a lot of times w e might ask ourselves, 'What do
we want to do—institutionalize these things?' But
it's a school on the old master-apprentice level.
Y o u know, like, n o w I see someone and they
show the interest and the talent. Well, I'm
beholden to pass on whatever information that
I have that they can absorb. T o them, it just
comes naturally, because that's the way it was
passed down to m e . And it's done with special
people, people w h o really have talent, and you can
see that they are really in it seriously. A n d so this
is the way w e learned, and this is h o w I'm sure
that Dizzy [Gillespie] has gotten his information,
and the way he passes his information down.
And the information keeps going, d o w n to Miles
[Davis], and Miles would pass it down. Only to
people who take the time to really want to do it.
A n d you can recognize that kind of talent by the
person's interest and desire, and the fact that they
are hard workers.*
In the 1950s and 1960s musicians passed
through Charles Mingus's Jazz W o r k s h o p
m u c h in the fashion that an earlier generation
590 David Aronson

had gone through Minton's. The Association ' usually d o so to practise them. Most of the
for the Advancement of Creative Music, a whites w h o write about the music originating
collective of musicians in Chicago, gave birth from the black community lag far behind the
to n e w directions in conception, spawning everyday reality that influences the artists.
such groups as the Art Ensemble of Chicago In the New Yorker, the readership of
and Air and individual players as divergent which is predominantly white upper-middle
as Anthony Braxton and Blood Ulmer. class, Whitney Balliett wrote some time after
Although the nature of jazz is that of a the death of John Coltrane:
music in constant evolution, it could justi-
fiably be regarded as simplistic to assert that Born poets like Coltrane sometimes misjudge the
radical change is immediately accepted by size of their gifts, and in trying to further them,
all musicians. Even if the 'revolutionaries' to ennoble them, they fall over into sentimen-
are willing to share their discoveries and tality or the maniacal. Coltrane did both, and it is
efforts with other players, m a n y performers ironic that these lapses, which were mistakenly
considered to be musical reflections of our in-
are often unwilling to accept the validity of
choate times, drew his heaviest acclaim. People
n e w approaches. K e n n y Clarke remembered said they heard the dark night of the Negro in
the reaction to bebop in its early development: Coltrane's wildest music, but what they really
heard was a heroic and unique lyrical voice at
Tt was sort of esoteric from the beginning. Only the mercy of its own power.7
a few people understood what was going on.
Everybody knew it was good, but they couldn't
figure out what it was. A n d when somebody In, the same essay, Balliett reflects that
doesn't understand a thing, he has a tendency to Coltrane was able to demonstrate that the
dislike.6 'ugly' could be beautiful. Perhaps Balliett
misses the point that the. ugly can also be
Twenty years later, Steve Lacy suffered the brutal and painful. T h e voicing of pain in
same experience w h e n creating radically dif- the form of screeches and honks is hardly a
ferent music: new development in black music; it is in fact
normal in rhythm-and-blues playing. W a s
W h e n I was playing with Cecil Taylor [in 1957], Balliett unaware of the history of the blues
virtually all the musicians were against it. W e had and its role in jazz, or was heflatteringhis
a lot of hostility. . . . It took twenty years and readers? T o assert that Coltrane's music was
then they all turned the corner. . . . Before you 'at the mercy of its o w n power' indicates both
like something maybe you have to dislike it. A lot
the paternalism certain anthropologists ex-
of the things- are strong, and with a strong thing
maybe your initial reaction is no, and no is on the tend towards the 'noble savage' and a need
way to becoming yes. I've seen it many times, on the part of the critic to demonstrate that
that something that is out becomes in.6 he knows more about the music than anyone
else, including the musician.
Critics, removed from the history or sensi" A serious writer, discussing the neo-
tivity that is part of certain music's creative classic or N e w Y o r k school of composers
force are often unreceptive to what they find (Steve Reich et al.), would be expected to
unintelligible due to their o w n handicaps. be familiar with Paganini and Bach. Only
Overwhelmingly, critics writing about jazz are the rare jazz critic demonstrates the ability
white. Considering the social structure of the to synthesize an appreciation of the ante-
United States, one can hardly be very sur- cedents to modern black music. Most of
prised. T h e comparatively small percentage Charlie Parker's music was based on the
of the black population which earn a uni- blues. M a n y of the early critics w h o were able
versity degree are usually doing so to learn to discern h o w Parker broke u p chord struc-
a profession and find a position in the middle- tures and played n e w melodies within them
class structure. Those w h o study the arts were unable to see that the saxophonist was
Jazz: a music in exile 591

At the Savoy in Harlem. Our World.

592 David Aronson

recapitulating the musical history that had Unable to see the progression and statement,
preceded h i m . artistic and social, within the playing, critics
Great musicians like Parker, M o n k , tend to reject or label the music 'wild' or
M i n g u s and, later, Davis introduced rad- 'incoherent' because they cannot follow it.
ical departures from the previously stereo- Looking for an authoritative voice, writers
typed blues changes. T h e commentators, only often turn to an older, publicly accepted jazz
vaguely familiar with the blues, probably the player, usually someone whose response is
most predominant music in the black c o m - prejudged.
munity, were unable to hear what the players Louis Armstrong had been one of the
left in the n e w themes. B y the late 1930s, most revolutionary players of his time. In
w h e n bebop started to emerge, there w a s a the 1920s Armstrong was producing a jazz
large black urban c o m m u n i t y in the United firmly implanted in the blues, but tossing off
States, a community and culture still foreign riffs twenty years in advance of what other
to most white writers. Critics were startled by musicians were playing. But by the end of
the musical statements coming out of this the decade he c a m e under the professional
community's perspective. T h e blues w a s still management of Joe Glaser, w h o persuaded
associated with the image of a blind plan- the trumpeter to appeal to a more c o m -
tation worker sitting o n a back porch strum- mercially attractive, broad middle-of-the-
m i n g a half-broken guitar, singing about a road white audience. S o Armstrong's music
lost w o m a n and a bottle of wine. Archie went back to a more Dixie-oriented form.
Shepp c o m m e n t s : Armstrong became a rich m a n , playing what
was already accepted rather than what his
It was interesting that even though [the bebop creative drive had been compelling h i m to
musicians] refused the stereotypes they very do. Occasionally, in a small-band context he
wisely left in the good parts, because the really would return to his explorative blues-playing,
expert players like Parker were fantastic blues but rarely o n a recording. N o t surprisingly,
m e n and understood the blues on a very sensitive
in 1948, Down Beat, the jazz journal, turned
level. But let's say that the difference between
to him to denounce the m e n playing the n e w
Parker's blues and Lightnin' Hopkins' is that one
is the blues that bespeaks the plantations and a music. Armstrong's commentary reflects m o r e
more bucolic life and the other is a blues that his fear of lost revenue and possibly his o w n
describes the free Negro in the city, one w h o , anguish about playing commercial music than
from the intellectual standpoint, is able to engage an acute observation of bebop:
and comment objectively on his o w n condition.
The earlier blues does so, if you listen to the blues They want to carve everyone else because they're
lyrics, but it's not a matter of sophistication, but full of malice, and all they want to do is show you
rather a matter of environment and experience up, and any old way will do as long as it's different
in that it takes the black [with his body of from the way you played it before. So you get all
experience to understand the full ramifications of them weird chords which don't mean nothing,
the material]. A s the black begins to evolve in his andfirstpeople get curious about it just because
personal and social life so does his culture and it's new, but soon they get tired of it because it's
his artistic product assume a more virtuostic really no good and you got no melody to remem-
capacity. . . . So let's say Bird [Parker] was an ber and no beat to dance to. So they're all poor
urban blues player. In fact his blues . . . was again and nobody is working, and that's what
carrying out a certain implication that had been that modern malice done for you.*
stated in some of the earlier swing music. H e
formulated blues ideas in a way that became, in
a technical sense, difficult for white players to The vanishing listener
imitate. A n d on a more socio-psychic level, it and the invisible players
portended, I think, a certain tendency on the
part of the Negro slave to want to create a Armstrong w a s correct about one essential
language which was his very o w n . 8 point. Jazz did lose its popular base. T h e
 Jazz: a music in exile
Studio W e , founded in a N e w York loft by young musicians in the early 1970s as a place for
performance and recording. Thierry Trombert.
reasons are manifold, the simplest of which
is that people wanted to listen to music they
could dance to. Sarah Vaughan remembered:
' W e tried to educate the people. W e used to
play dances, and there were just a few people
w h o understood w h o would be in a corner,
jitterbugging forever, while the rest just stood
staring at us'.10
The audience failed to perceive that the
rhythm had moved from the bass drum to the
cymbals and that the bass player was allowed
to experiment with his instrument rather than
just keep time. The rhythm was present if some
people could hear it, but less adroit listeners
missed it. W h y ?
Most people are neither gifted dancers
nor born musicians. A public learns to under-
stand music through exposure. Audiences
gain that exposure when the music is played
over the air on radio and television, or on
juke boxes. In the United States, television
593
and radio are commercial ventures. Through
the 1960s the majority of the white American
public were not interested in watching black
people perform on television unless they were
perceived as 'safe' or 'non-threatening'. Tele-
vision producers sell audiences to sponsors.
Commercial enterprises would not pay for
the production and airing of a programme if
local networks would ban the broadcast be-
cause of the presence of black performers in
'unacceptable' roles. Amos and Andy was
permissible. Miles Davis was not. .
W h e n the musicians refused to be pat-
ronized and said so in their music they lost
what might be considered a commercially
viable image. M a x Roach discusses the m u -
sicians' attitude:
Aside from the harmonies and the melodies
being revolutionary, let's look at some of the
titles—song titles such as 'Things to C o m e ' ,
' W o o d y 'n' Y o u ' , ' A Night in Tunisia', which is
594 David Aronson

suggestive of Africa, 'Con Alma' (with soul). to inform the music critic that a jazz artist is
Look at Charlie Parker's ' N o w is the Time'. Y o u performing in a local night club. A n d the
can read a lot of things into just the titles.11 night clubs, with limited seating capacity and
marginal profits, can rarely afford to pay for
The white backlash to what was viewed as significant newspaper advertising. The people
militant music and the public's association of w h o remain informed are those w h o do so
jazz musicians with drugs (a topic often more largely by their o w n efforts.
interesting to journalists than the music itself) In N e w York City there is only one radio
did little to promote the form. Most of the station that devotes more than 10 per cent
n e w music was recorded by small companies, of it's programming to jazz, and that station
unable to compete with the major labels in broadcasts from a university campus, staffed
terms of promotion or direct payment to radio by unpaid student workers. A s N e w York is
disc-jockeys for air play. Today, most of the the centre of the American jazz community,
vanguard musicians still rely on the inde- one can imagine what the situation is like in
pendent companies, m a n y of which are the rest of the country. Exposure to inno-
based in Europe, or form co-operative efforts vative music and such subsequent tutoring
a m o n g themselves to record in the United as young players receive is largely due to the
States. efforts of the musicians in their community.
Major record companies rarely seek For example, Archie Shepp met Lee M o r g a n
young innovative jazz artists, preferring to and K e n n y Rogers, then two local players,
sign well-known musicians with an estab- at a club in Philadelphia, the Jazz Workshop,
lished listenership. Record executives tend to one of the few places that provided an oasis
favour music that is most dependable, im- from the commercial dross played over the
mediately and easily labelled. The trend is to radio.
market that which varies the least. Even the
most casual inspection of record shops d e m - I started talking to Lee at this place one time and
onstrates h o w discs are classified by c o m m o n went home with him and Kenny. They asked m e
categories. Music that is not readily 'typed' who I liked. . . . I said Bruebeck and Getz. And
perplexes sales divisions. Those jazz artists they really wigged out . . . but they were being
very hip. . . . Y o u can imagine their reaction.
w h o have had commercial success while main- They said, O yeah? So then these cats asked m e
taining their evolution have usually done so to take out m y horn and play something. . . . I
despite the efforts of their record companies. guess I had sort of a Stan Getz sound. . . . Lee
That which is not readily institutionalized is was doing everything he could to keep from
usually forced to m a k e its o w n path. laughing in m y face. But then he pulled out his
Record executives argue that, since jazz horn and played the blues for m e . . . . I had to
has a limited audience, there is little sense in forget all about m y Stan Getz shit. Then I just
played like I play. . . . I didn't know any chord
investing large sums of m o n e y to promote
changes at all but I could hear the blues. . . . I
the product. W h a t results is a self-fulfilling could always hear the blues. So then these cats
prophecy. A record c o m p a n y will spend hun- stopped playing and said Yeah, that was right.
dreds of thousands of dollars to m a k e video- Then after that, they sort of took an interest
tapes, print posters, buy advertising space in in m e . It was m y introduction to jazz music.12
newspapers and time on radio and television,
and expend great effort to persuade print and The people w h o decide what music will be
media journalists to review a n e w recording promoted, and hence heard, k n o w very little
by a rock group. T h e companies will often about jazz, failing to see that the majority of
distribute over 10,000 promotional copies the music reflects the backgrounds of its
and help finance a world tour of a band. But composers, m a n y of w h o m played in rhythm-
often, the press attaché for such a c o m p a n y and-blues bands. But jazz is labelled 'ob-
will not-even bother to telephone a newspaper scure', above the tastes of the black listener.
Jazz: a music in exile
George Adams performing at a Paris club. In the background, a blow-up of a Chad postage stamp
portraying Duke Ellington. Matthieu Prier.
In the late 1960s Charles Mingus was per-
forming outdoor concerts under the auspices
of Jazzmobile in N e w Y o r k City. W h e n he
toured through Harlem, rather than simplify
the music, Mingus played as intricately and
innovatively as he would in front of the
'sophisticated' d o w n t o w n white audiences.
The van w a s besieged with crowds of young
blacks. In an interview, M i n g u s was to c o m -
ment: 'All those kids, following the truck,
wanting m o r e . O f course they want to hear it.
It's their music, m a n . It's their lives.'13 O n e
must question exactly what sort of a future
jazz m a y have if exposure within the c o m -
munity which gave it birth is so limited that
Shepp w a s listening to Stan Getz and that,
even Mingus's o w n musicians were surprised,
that black youths should be open to the music.
O n e of the sorest points a m o n g black
artists is the obfuscation of the roots of the
music. T h e contribution of black musicians
595
has been minimized concomitantly with the
near deification of white players of ques-
tionable merit. That Bix Beiderbecke, a white
cornettist responsible for innovative c o m -
positions but a m a n w h o never played ex-
tended improvisations, should be better
k n o w n than R o y Eldridge or Cootie Williams
can only be explained by the need of a d o m i -
nant culture to ascribe credit to its o w n . R o y
Haynes recalls:
I was in Chicago once, playing opposite this very
well-paid group. So the drummer, w h o m I'd only
known casually, comes over after one of our
sets and tells m e something like, 'Roy, you are
the greatest. I've listened to you for years and
really picked up so much. M a n , if it wasn't for
you and M a x , I don't know what I'd be playing.'
. . . But a few days later I read in a magazine
where this same drummer is quoted as saying his
biggest influences have been Buddy Rich and
Sonny Igoe.14
596
In The Benny Goodman Story, Hollywood
filmmakers portray the young white clari-
nettist learning h o w to convert his style to
jazz playing in a ten-second conversation with
the black trumpeter, B u c k Clayton. Although
easily dismissed as the product of crass c o m -
mercialism, the inherent message cannot be
discounted. The implication, iffilteredthrough
osmosis, is that the black in the United States
is incapable of legitimate creation, that he is
only able to provide a primitive idea that the
white refines into art.
Dizzy Gillespie's unique valve techniques,
which have enabled him to play at accelerated
tempos, are not identified as 'new', but rather
as 'false', fingerings. T h e derogation discour-
ages potential musicians and can be debili-
tating to the practising artist. Archie Shepp's
experience is not u n c o m m o n :
M y students started asking m e about [a record I
had made] and I had to go back to listen to it
because in that period I didn't listen too much to
what I did. I was always afraid. They always told
m e I couldn't play and so I was afraid to listen
to what I played for fear that I really couldn't
A Negro player, not only a player, but whatever
his experience, is always made to feel that it's not
enough, that it's not so much. Or on the other
hand, that it's downright lousy. So that by the
time a person gains a sense of him or herself the
gift is gone and the thing has gone by, you see.
A n d it's perfect because that's the system. They
want you to think that. That you're nothing. A n d
the critics and all the writers, they tell you that
constantly. A n d they keep you unemployed. A n d
they do everything to make you realize, or to
make you think that your contribution is minimal.
Until perhaps one day you wake up and you see
what your contribution really was. But then it's
too late to do anything because they've shot
people past you. 15
M a r y L o u Williams, the pianist-composer,
echoes Phepp:
I don't think anybody is looking for any big
applause or anything about what they've created.
But after a while, you get kinda really disgusted
and dried out because everything you create is
taken from you, and somebody else is given
recognition for it.1*
David Aronson
Disheartened by the lack of respect accorded
them in their o w n country, m a n y American
musicians emigrated to Europe for either ex-
tended or permanent residence. Racism is too
often cited as the determining factor for the
mass exodus. Surely m a n y black Americans
find less discrimination in Europe than in the
United States, but, sadly, racism is an inter-
national disease not uniquely American. T h e
choice of white musicians like T o n y Scott and
Steve Lacy to settle in R o m e and Paris,
respectively, belies the argument that jazz
artists choose Europe solely to avoid dis-
crimination. S o m e players arefleeingracism,
but others offer reasons as diverse as bad
marriages or just the desire to find a change of
environment. Lesser musicians often prefer
a less competitive circuit in which they can
more easily find work. But eminent artists
settle in Europe as well. Ultimately, the audi-
ence is the deciding factor. Without a public
an artist cannot survive at his or her
trade.
Archie Shepp, Art Blakey, the Art
Ensemble of Chicago, and others w h o main-
tain their homes in the United States often
earn more than half their income through
their performances abroad. A s in the United
States, jazz is performed in night clubs or
concert halls in large metropolitan centres,
but also with a great frequency in the prov-
inces. Concert promoters are able to organize
tours, monopolizing on the availability of
community cultural centres. Viewed as a
'legitimate' art form, jazz receives a greater
level of public subsidy than it does in the
United States.
But merely subsidizing a concert does
notfillfor instance a maison de culture in the
south of France. People m a y attend a jazz
performance because they are curious, but
they will not return if the music is unen-
joyable. Perhaps the European audience
brings with it a better musical preparation
to appreciate the highly complex technical
constructions of modern improvisatory m u -
sic. But m o r e likely, jazz carries less negative
excess cultural baggage in Europe than it
does in the United States, so a less misin-
Jazz: a music in exile
formed audience m a y be willing to listen with
more open ears.
W h a t future jazz has as a continuing
form rests largely on the ability of the music
to find an audience and to provide oppor-
tunities for players to feed off each other's
inspiration. W h e n the music began to lose its
public in the United States the players in-
vented n e w locales for performance. Bands
appeared in lofts and coffee shops. Small
clubs opened in low-rent, semi-industrial
areas. But such locales only enjoyed brief
life-spans, due tofinancialpressures. Without
the level of local and state support given the
European cultural centres or the municipal
and federal funding received by 'classical arts'
in the United States, jazz has plunged into
fiscal distress. Concerts and clubs still exist,
but not in profuse enough numbers to provide
a living wage for all but a handful of per-
formers. Players receive the greatest part of
their exposure to each other in the informal
settings of jam sessions and rehearsals. T h e
master/apprentice relationship persists today,
but with the diminution of club appearances,
the 'classroom' has m o v e d to the homes of
the great musicians, through which only a
limited number of 'students' can pass at
one time.
S o m e of the leaders of the new music have
taken positions in the universities and con-
servatories. The institutions provide a forum
for a single artist to address a larger number
of students at any one time, but such a system
has its limitations. Exposure to a great artist
m a y prove invaluable to a few gifted students
meriting individual attention and capable of
internalizing what is offered. But neither an
exceptional artist nor a competent staff can
offer the range of creative possibility and
interplay available in a thriving performance
environment. Formal instruction and guid-
ance is virtually a necessity to approach and
practice a music which has embraced elements
of twentieth-century composition as complex
as atonal theory. However, instruction merely
provides the tools to prepare the initiate.
Only in a working situation can the
improvisational musician achieve the goals of
597
his quest. O f course there are n e w and im-
mensely talented players developing, seeking
different approaches and techniques, but per-
formances are too geographically spread out
to allow a young musican to find one city
(with the possible exception of N e w Y o r k ) to
serve as a living school. A n d even in N e w York
there is not enough work to support a sig-
nificant community of young players.
T o survive economically, most aspiring
or experienced jazz players eventually seek
other employment. T h e majority of those
w h o continue in music are forced to turn to
more commercial or 'standard' performance,
be it rock 'n' roll, funk or disco, either on stage
or as studio musicians. S o m e artists write and
arrange (usually non-jazz) film scores or ad-
vertising jingles. Interestingly, a significant
proportion of the highly touted younger m u -
sicians enjoying somefinancialsuccess in jazz
are returning to a style not far removed from
the more, retrospectively viewed, classically
bebop-oriented music of the early 1960s (that
is, more akin to the conception of a Miles
Davis or Sonny Rollins than the 'free jazz' of
the Art Ensemble of Chicago or Albert Ayler)
or to a music bordering on funk. Perhaps these
developments herald an effort to m a k e the
music more accessible to audiences. But one
must ask if these musicians are attracting a
new public or simply drawing a larger per-
centage of the already converted, eager to see
the newest stars on the scene. Certainly no
one can argue that the delicate economic health
of jazz encourages the artist to challenge the
general listener (which is probably the most
likely explanation for the upsurge of the
jazz-rock fusion of the 1970s). In the United
States one sees little indication of commercial
impetus for jazz players to extend themselves
and their imagination of the uninitiated.
The education system is certainly not
preparing the public. Teachers are rarely for-
mally trained to introduce their students to
the music or to counter the effects of the
general societal attitude towards jazz. A s
of 1976 less than twenty American univer-
sities demanded that their music-education
students study a jazz course and fewer than
598 David Aronson

ten of those institutions required students to
demonstrate a competence in jazz.17 W h a t
exposure children receive is so minimal that
it is unlikely they will be drawn to even the
more 'understandable' performers.
The few well-established bands and indi-
viduals will probably be able to survive the
economic perils of a generally uncaring or
antagonistic recording industry and an audi-
ence more firmly based abroad than at h o m e .
S o m e new lights will undoubtedly appear and
nurture their o w n following. But in the United
States jazz has to be considered an endangered
species. There is not enough work to support
a sufficient number of musicians to supply
the flow of creative energy necessary to sus-
tain invention. Without a dramatic change in
public attitude the music will stagnate and
become inbred.
Perhaps thefinalirony is that the centre of
creation for improvisational music is moving
to Europe, where the funding and more active
support exists. Twenty years from n o w , when
jazz musicians speak about crossing the
Atlantic to perform, they m a y be referring
to the United States.

Notes

1. 'Does Jazz put the Sin
in Syncopation?', New York
Times, 3 June 1921, p. 6.
2. Archie Shepp, Interview
with author, 1981.
7. Whitney Balliett, in
J. C . T h o m a s , (ed.), Chasirí the
Trane, p. 188, N e w York,
Doubleday, 1975.
8. Shepp, op. cit.
13. Charles Mingus, quoted in
record-sleeve notes by
Nat Hentoff for Charles
MinguslPassions of a Man,
N e w York, Atlantic Recording
Corporation, 1979.

3. Steve Lacy, Interview with
author, 1982.
4. M a x Roach, quoted in
Dizzy Gillespie and Frazer Al,
To Be or Not . . . to Bop,
p. 149, N e w York, Doubleday,
1978.
5. Kenny Clarke, quoted
in Gillespie and Frazer, op. cit.,
p. 72.
6. Lacy, op. cit.
9. Louis Armstrong, 'Bop
Will Kill Business Unless It
Kills Itself First', Down Beat,
7 April 1948, p. 2.
10. Sarah Vaughan, quoted in
Gillespie and Frazer, op. cit.,
p. 139.
11. M a x Roach, in ibid., p. 154.
12. Archie Shepp, quoted in
Leroi Jones, Black Music,
pp. 147-48, N e w York,
William M o r r o w , 1967.
14. R o y Haynes, quoted in
Jones, op. cit., p. 48.
15. Shepp, op. cit.
16. Mary Lou Williams,
quoted in Gillespie and Frazer,
op. cit., p. 108.
17. Charles Suber, 'Jazz
Education', in Leonard Feather,
and Ira Gitler (eds.), The
Encyclopedia of Jazz in the
Seventies, p. 373, N e w York,
Horizon Press, 1976.
 CONTEXTS OF THE ART
The nueva canción
in Latin America

Eduardo Carrasco Pirard

A changing continent finds acquired an air of their o w n which n o one

its o w n form of expression could have dreamed of in the land from where
Columbus set sail. T h e Indian populations
For several years n o w there has been an which had shown defiance from the m o m e n t
important popular-music movement in Latin of the earliest Spanish raids, nevertheless
America which, although it has not yet m a n - quickly assimilated this music and adapted its
aged to attract the attention of musicologists, instruments and rhythms to suit their o w n
has stirred up enormous interest throughout needs, incorporating them into their festivals
virtually every sector of society and in all and ceremonies and thus producing that m a g -
the countries of the continent. This m o v e - nificent mosaic of musical colours, which
ment is still taking shape stretches from the Rio
and because of this its Grande to Cape Horn.
characteristics have not Eduardo Carrasco Pirard is a Chilean But it was not until
yet been definitively es- composer and former professor of phil-
osophy. H e is the artistic director of the African slaves ar-
tablished while the wealth the nueva canción group Quilapayun. rived that the Latin
of its forms of expression His address is: c/o Salou, 16-18 rue American song assumed
reflected in the different E d m o n d Bonté, 91130 Ris-Orangis, its definitive form and
lines of development it is France.
colour. W h e n the blacks
taking m a k e an exhaus- settled in Latin America
tive analysis difficult. their rhythms were also
However, because of poured into this virtual
its growing influence in melting-pot of music and
the vastfieldof popular song, which w a s the re-
Latin American music sult of the impact be-
and its cultural and social tween such dissimilar cul-
impact, a more searching tures and peoples; from
approach is called for in order to explore in that time on a single voice gradually emerged
depth its particular sociological and musical which was destined to achieve that ultimate
features. synthesis which today stands as the ex-
For several reasons, the song genre pression of a single people. These three
has enjoyed unprecedented success in Latin currents have nourished—and will continue
America. T h e canción must have crossed the to nourish—the well-spring of Latin A m e -
Atlantic in some Spanish galleon a m o n g rican music; their greater or lesser pres-
whose crew there were probably a good n u m - ence, together with European and, sub-
ber of Andalusians with guitars, but from the sequently, American influences—which have
m o m e n t their tunes struck American soil they never slackened—has resulted in the typically
600 Eduardo Carrasco Pirará

hybridized forms of the Latin American song. The nueva canción

Another reason for the spread of the song
and for its wealth of expression throughout The term 'nueva canción1, or 'new song',
the continent stems from the importance given appeared in Latin America for thefirsttime
there to popular art in general. Indeed, in at the end of the 1960s; it has come to denote
Latin America it is only in the present cen- the song movements which emerged during
tury that the more developed artistic forms that period in the southern cone. The ex-
have acquired true stature independently of pression was used in Argentina, Uruguay and
the aesthetic standards of the European Chile, but it was in the latter country that it
parent countries. Previously almost all high became most popular, receivingfinalconse-
art was an imitation of European art and was cration in 1969 in an event called the First
based on its standards. Artists, for the most Festival of the Nueva Canción of Chile, which
part, came from the upper classes and were thus gave this n a m e to a movement that was
trained in the schools of Paris, London or just beginning to develop on a mass scale.
Madrid, addressing their work to an élite in F r o m then onwards, the expression began to
their countries w h o had little to do with the be more and more widely used, until today it
cultural realities of the people. Because of has come to stand for the great majority of
this, over a long period of Latin American the other national movements of which, dur-
history the real artisans of national culture ing the 1970s, there were important examples
were the people themselves w h o , on the basis in almost all countries of the continent.
of authentic, vital needs for beauty and ex- It should be m a d e clear, however, that
pression, produced an art which, initially certain trends which come under the head
very primitive, nevertheless gradually pieced 'nueva canción' have been given other titles
together a national image. Later on, when in their countries of origin, although in every
'serious' artists came to tackle the task of case reference is m a d e to the theme of re-
giving their work a Latin American basis and newal. Outstanding examples are those of
purpose, they had n o choice but to turn back Argentina: nuevo cancionero argentino; Cuba:
to thisfirst-bornculture to cull from it the nueva trova cubana; and Brazil: nova música
vital features of a true art in its o w n right. In
popular brasileira ( N M P B ) . Over and above
the sphere of music w e have seen this hap- the differences stemming from national ex-
pening recently in our o w n century: Villalobos,
periences and traditions, these titles reflect
Chavez and Ginastera o w e a great deal to a sufficient number of c o m m o n ideas and
popular and folk music in the same way that approaches for all the movements to be
the great nationalist muralists and painters brought together under the more general ru-
borrowed from the indigenous and popular bric of 'nueva canción'. Apart from Chile,
visual-arts tradition which still lives on in the
the countries where this expression is used are
crafts of Latin America. Thus high art is seen Mexico, Nicaragua, Costa Rica, Puerto Rico,
to be popular art carried to the furthest of itsVenezuela, Peru, Colombia and Ecuador.
possibilities, and it is only on the basis of this
The terms 'protest song' or 'committed song',
relationship that it has been possible for a fairly widespread during the 1960s, were
truly national art-formfinallyto emerge. gradually dropped, probably because they
gave an overly unilateral vision of the phenom-
Until art music was born of this relation-
enon, although they still continue to be used
ship, the popular folk-song was the form of
to describe particular trends within the gen-
expression in which all the musical forces from
eral movement.
the different ethnic roots of the continent
were contained, thus constituting a rich source This n e w music began to emerge at the
from which the most profound music of end of the 1950s and the beginning of the 1960s
Latin America has emerged and will probably in the form of a specific trend within the
continue to emerge in the future. popular music of the continent. Far from
The nueva canción in Latin America
Archetypical Andean folk musician. Musée de l'Homme, Paris.
weakening the development of Latin American
popular music, there are instances in which it
can be considered to be its creative centre and
source of renewal, and its genre of greatest
artistic worth.
The nueva canción was not, in itself, re-
sponsible for creating the social and physical
space in which it exists, nor the musical world
which sustains it and gives it meaning. In most
instances it forms part of the general process
of development of popular music and this is
the sphere in which it moves. However, if w e
are to respect the complexity of its origins, w e
should say that it also occurs as alternative
music, although sometimes using the same
channels of dissemination as popular music
in general (radio, television, theatre, etc.).
W h a t matters is that it does not confine itself
to the traditional context and seeks, by this
means, a 'half-way' position; it brings with it
its o w n forms of dissemination and, after a
fashion, of material and social existence. This
601
factor is a decisive one in those cases where its
development depends less on the customary
channels of dissemination than on those which
it has to invent for itself.
In spite of the fact that the nueva canción
enters the popular music circuit (or tries to),
it does not become identified with the other
form and, in fact, a certain number of factors
can be seen to separate the two from the outset.
This has to do mainly with two aspects af-
fecting the development of the popular song
at a given point in its growth: in thefirstplace,
the havoc caused to artistic production by the
need to adapt to the laws of the market,
which means that the song has increasingly
become a consumer product insensitive to
popular culture; in the second place, the
penetration of foreign music, mainly from
the United States and Europe, which has
threatened to corner local broadcasting fa-
cilities completely stifling any possible growth
of national popular music. These two aspects
602 Eduardo Carrasco Pirará

were increasingly decisive factors in the cre- tors, etc. T h e nueva canción, in contrast,
ation of n e w music movements and marked springs from the middle classes and its move-
the dividing line between the run-of-the-mill ments have generally drawn their strength
popular song and the nueva canción. The nueva from the body of young university students
canción has always sought to represent a w h o , at the m o m e n t the nueva canción ap-
reaction in national terms to the dangers peared, were, paradoxically, those most in-
described above. fluenced by European and American music.
All this helps explain w h y this type of So in its initial approach, the nueva canción
song is almost everywhere k n o w n as 'new'. could be seen to be a movement seeking to
If w e consider the situation of the Latin reinstate popular national music, to sink its
American song at the beginning of the cen- roots into the previous, more intensely Latin
tury, w e can see that until the 1930s consider- American, music, and in some cases explictly
able creative progress was m a d e in almost all setting out to revive the old traditions of the
countries, or at least in those most active in popular music of the early years of the
the production of popular music. These were century.
the years when a style of Latin music was The fact that in some countries the move-
developed which was to become the basis of ment originated in student circles does not
the current popular music of the continent: call into question its mass nature; it accounts
the tango in Argentina and Uruguay, the son simply for its beginnings, for subsequent de-
in C u b a , the ranchera in Mexico and the samba velopment was governed by very different
in Brazil. This was when the popular music historical and social factors, and these were
of Latin America began to burst through the responsible for the varying characteristics of
barriers of Creole culture and local folk music the movement in each country.
to express itself on a continental level for the The nueva canción attempts to revitalize
first time. But the existence of radio broad- a tradition, either of folk or popular music,
casting that enabled these movements to ex- and deliberately seeks to span the gap and
pand so decisively also meant that European establish continuity between music of the past
and American music began to m a k e its pres- and the n e w creative form. This need stems
ence felt, gradually gaining ground until it from the widespread nationalistic thrust in
occupied a central place in the 1950s and Latin American culture, one of the most
1960s. remarkable. trends on the continent during
T o a certain extent the nueva canción, recent decades. In some countries it takes the
with its awareness of the danger of cultural form of an attempt to retrieve the forgotten
penetration, has sought to restore the lost or fast disappearing folklore heritage. O b -
balance and to take as its vital point of ref- viously what cannot be restored is the position
erence thefirstpopular music movement that of folklore and tradition in the practical life
grew u p in Latin America during the first of modern m a n ; this is w h y folklore retrieval
three decades of the century. The term 'nueva" movements attempt to disseminate and re-
is a reference, in fact, to this previous current, discover old songs and, at the same time, on
to a past that gave birth to a national music the basis of this fecund source, re-introduce a
tradition of the purest kind, holding its o w n creative process which is faithful to these
against imported models. Naturally, this song origins. In the nueva canción movement the
movement of the 1920s and 1930s did not die new is, then, built on the foundations of the
out altogether; in fact it went on to further old, bringing its original values back to life.
development in a number of renewed forms, It should be pointed out that the nueva
but its influence became increasingly limited, canción movement did not begin everywhere
and it was directed towards the social sectors at the same time, but rather came about as
closest to the land and most faithful to the the result of the mutual influences that have
past—farmers, workers, working-class sec- always existed in Latin America in the area
The nueva canción in Latin America
Atahualpa Yupanqui (Argentina).
Le Chant du Monde/Photo Yan.
of popular art. Such is the case of the nueva
trova cubana, for example, which, at the out-
set, was influenced by music from the south
and today, in turn, is making a considerable
mark on almost every n e w music movement
on the continent. W h e n w e refer to influences
we do not, of course, m e a n the mere repro-
duction or mimicry of one movement by
another, which would be no more than imi-
tation and would fail to account for the
spontaneity of the canción in each individual
country. Influence here is understood in the
sense of something that points out a trend or
a direction, a sort of guideline to follow and
nothing more. In fact all the nueva canción
movements in Latin America, even when they
emerge in different and successive periods,
have always been a reflection of national
urges, with an overall connotation of Latin
Americanism. This is precisely what enables
them to assimilate experiences coming from
other countries: if there were no pre-existing
603
force to account for the emergence and devel-
opment of the canción as a dynamic process
in its o w n right, these movements would be
unable to absorb the influences that reach
them from outside sources.
The nueva canción
in the southern cone
The phenomenon of the Latin American
nueva canciónfirstappeared in the countries
of the far south—Argentina, Uruguay and
Chile—at the end of the 1950s. Argentina had
already taken a leading part with the enor-
m o u s spurt in the growth of its popular music
in the 1930s when the tango, born in the slums
of Buenos Aires, w o n fame and popularity
throughout Latin America. T h e n e w m o v e -
ment that began to take shape in the 1950s,
however, was to develop on the basis of a
new sort of experience.
604
Reference to a few of the important
events in the history of Latin America be-
tween the 1950s and the 1970s gives us an
idea straightaway of the stormy climate ofthat
period of struggle, victories and defeats. For
example, in 1955, a few months after the
Plaza de M a y o massacre in Buenos Aires
came the fall of Perón; in 1959 the Batista
government fell and the Cuban revolution
triumphed; in 1964 the government of João
Goulart fell in Brazil and a hard-line period
began which would lastfifteenyears; again,
in 1964 the Christian Democrats rose to
power in Chile; in 1965 there was the American
intervention in Santo D o m i n g o and an up-
surge of guerilla warfare in Peru, Colombia
and Bolivia; in 1967 C h e Guevara died in
Bolivia; in 1968 guerrilla warfare spread in
Venezuela and Central America, and the
Tlatelolco massacre took place in Mexico;
in 1970 Unidad Popular triumphed in Chile,
beginning the three years of the government
of Salvador Allende; in 1971 the regime of
Banzer began in Bolivia; and in 1973 came the
fall of Unidad Popular in Chile and the mili-
tary coup in Uruguay.
The nueva canción movement of Latin
America was born in this period of violent
antagonisms and powerful social and political
confrontation, and it bears the mark of those
times.
Peronism gained power in Argentina at
the end of the Second World W a r and ben-
efited from trade relations with the warring
nations which had been set in motion by the
previous governments. This brought about
economic conditions such as the country had
never experienced before, and made Argentina
the most prosperous Latin American nation
of the time. F r o m the livestock and crop-
producing country it had been, it became a
developing country with the most powerful
industry of any of its Latin American sister
states. This change transformed the country
from top to bottom, and a m o n g other things
intensified the phenomenon of rural and prov-
incial migration to the city of Buenos Aires.
These country people, known disparagingly
at the time as the 'cabecitas negras' or 'the
Eduardo Carrasco Pirará
little black-headed ones' on account of their
Indian ancestry, brought m a n y of their cus-
toms and traditions to the city, including,
naturally their fondness for singing and
playing the guitar. Little by little their music
began to gain ground a m o n g the country's
working classes, aided by the nationalistic
and populist spirit that Peronism was awak-
ening in the people.
During the years of Perón's government,
folklore was given a great deal of attention by
the media, mainly because of a law passed
during that period protecting popular culture
and directing radio stations to include a
minimum of 50 per cent of national music
in their broadcasts. This measure was never
carried out to the letter, but it helped
the new movement to win an increasingly
larger place in the heart of the public, until it
became the focus of the country's musical
interest during the 1950s and the beginning of
the 1960s.
During the period of Peronism, that is,
until the mid-1950s, the folk music that was
played was essentially traditional and it had
no major themes concerned with renewal;
the importance of the tango—as yet un-
challenged by other currents of popular m u -
sic—remained. The main representative of
thisfirstperiod of folk renewal was Antonio
T o r m o , a singer from the province of San
Juan w h o emerged from one of the most
famous groups of the period.
In contrast, a great change occurred in
the second half of the 1950s and early 1960s
when a large number of soloists and groups
from a m o n g the cabecitas negras came to the
fore, breaking with the previous puristic con-
ceptions and making music of a n e w type.
The main groups were Los Chalchaleros and,
subsequently, Los Fronterizos. For a long
time these two groups were the real leaders of
the movement. The most important c o m -
posers of the period were Falú, Dávalos,
Perdiguero, Horacio Guaraní and the greatest
of all, Atahualpa Yupanqui, w h o m a y be
considered to be one of the main forerun-
ners of the Latin American nueva canción
movement.
The nueva canción in Latin America
Violeta Parra (Chile), whose children, Isabel and Angel, have followed in her footsteps as performers.
Le Chant du Monde.
Atahualpa Yupanqui, with his flawless
instrumental technique, not only established
the basis of a new trend in composition and
interpretation, but also opened a n e w w a y
forward for the development of vernacular
songs on the continent, managing to combine
the advanced interpretative techniques of the
European guitar with the expressive and
emotional resources of the Indian tempera-
ment. H e also did m u c h for the dissemination
of folk-music on the basis of his far-reaching
study of its sources. His work reflects, at one
and the same time, high, popular and folk
culture, and his songs embrace all the seminal
605
trends in Latin American music. His studies
of the violin and guitar provided him with
the necessary resources for launching his
highly successful career. A s far back as
the 1950s Atahualpa's work was widely k n o w n
in Argentina and in most other Latin American
countries. All his research work into his
country's folklore is reflected in his songs;
they bring together the purity of ancient
tradition and the poetic creativity of one of
the most profound artists of his generation.
The main recipients of his musical legacy
were a group of artists w h o came to the fore
at the end of the 1950s—the nuevo cancionero
606 Eduardo Carrasco Pirará

argentino. These musicians created a song of del Alba, Las Voces Blancas and the Quinteto
deep meaning, firmly rooted in folklore, and, Tiempo. A s for composers and poets, apart
in both form and expression, imbued with a from those already mentioned the most im-
spirit of renewal. portant were Cuchi Leguizamón with Manuel
The nuevo cancionero argentino emerged Castilla, Ariel Petrocelli with Daniel Toro
as a movement in 1958, when a 'manifesto' and Hamlet L i m a Quintana with Iván Cosen-
written by one of its creators, the poet tino. Although their themes became more and
A r m a n d o Tejada G ó m e z , was issued. Its more general and, so to speak, more involved
underlying theme reflected the famous words with the country's social conditions, their
of José Hernández in his Martin Fierro: 'Ac- language became more cultivated and refined,
quire the habit of singing about things that drawing closer to the poetic work of the city
matter', and itsfirstsupporters were, apart and away from the expressive forms of the
from the author, the composer Oscar Matus, peasants and Indians. This was no doubt due
the singer Mercedes Sosa, Tito Francia, to the fact that certain Buenos Aires poets
Manuel Tejón and others. The strength of joined the movement and began to collaborate
this trend—as part of the movement for the with folk-music composers.
retrieval of Argentine folklore—became ap- W h e n the second Peronist government
parent in 1965 with the unprecedented triumph broke up in 1976, and the present period of
of Mercedes Sosa, the leading interpreter of military regimes began, the Argentine song
Argentine music. T h e Argentine song has movement found itself in a most difficult
always been one of the most varied in the situation. O n the one hand, it was increas-
continent and it would be pointless here to ingly difficult to obtain broadcasting time
n a m e all those w h o have given life to this because of a selection policy regarding radio
vigorous movement. In instrumental music, and television programmes (this policy was
valuable work has been done by Atahualpa never m a d e very clear, so that official re-
Yupanqui and Eduardo Falú in their c o m p o - sponsibilities in this area have been difficult
sitions for guitar solo. The same m a y be said to pin d o w n ) . O n the other hand, the best-
of Jaime Torres with regard' to the charango known musicians began to feel that they were
(smallfive-stringedguitar), and U ñ a R a m o s in personal danger on account of aggressive
in respect of the quena and other Indian flutes. unofficial groups which organized a veritable
The singer-composers Horacio Guaraní, César campaign to boycott their concerts, to the
Isella and José Larralde stand out in the field point of actually threatening audiences with
of song-writing and interpretation. explosives placed in the theatres. This state
The nuevo cancionero argentino not only of affairs m a d e some musicians leave the
brought about renewal in the sphere of ideas, country, and those w h o remained began to see
but in musical form and themes as well. T h e their field of activities shrink drastically.
countrified lyrics of the first period were Although atfirstthis situation endangered
replaced by exquisite poems that drew their the very existence of the Argentine song
message from the conditions and experience movement, it was gradually overcome, but
of the Argentine people; melodies did not not without great difficulty, for in addition
respect traditional rhythms, but little by little to the lack of official support, there were
they w o n the approval of the public, w h o saw the general economic problems affecting the
in them the necessary renewal of traditional country. In spite of everything, this move-
forms. Innumerable groups and soloists ap- ment—which has given proof of its enormous
peared, introducing new harmonies and styles capacity for expansion—goes on surviving
of interpretation and arrangement. The main and searching for n e w directions in artistic
groups were Los Trovadores, Los Andariegos, expression.
Los H u a n c a - H u a , Los Nocheros de Anta, The Argentine movement set off a whole
Los JHupay, Los Tucutucu, Los Cantores wave of interest in folk research and consider-
The nueva canción in Latin America
Vinícius de Moraes, the Brazilian poet. Phonogram/Claude Delonne.
ably extended knowledge a m o n g the people
at large, as well as creating new conditions for
musical creativity in the country. This initial
step in the search for roots was also highly
beneficial to the movements emerging in
neighbouring countries, especially Uruguay
and Chile. Obviously, during the years re-
ferred to, Argentine song was not confined to
the nuevo cancionero. During the same period,
for example, there was considerable renewal
in regard to the tango in the work of out-
standing musicians such as Astor Piazzola,
a m o n g others, leaving a swarm of followers
in their wake. O n the other hand, commercial
popular music was also caught up in this
wave of renewal and began to make successful
in-roads into the Latin American market,
though without great artistic achievements.
In Chile, the song also achieved a high
607
level of development, the nueva canción chilera
forming one of the continent's most power-
ful and externally influential movements.
There, research into folklore and its dissemi-
nation—which laid the foundations for the
new trend—began m u c h earlier than the 1960s,
when thefirstsigns of a nueva canción could be
identified.
A m o n g the pioneers of this research,
mention should be made of Margot Loyola,
Violeta Parra and Héctor Pavaz and his wife,
Gabriela Pizarro. Although not necessarily
using academic research methods, they all
succeeded in collecting an enormous number
of songs, verses, legends and dances from the
Chilean countryside and its Indian regions.
This research was carried out with meagre
resources and m u c h hardship, and was a real
labour of love for the popular art tradition.
608 Eduardo Carrasco Pirará

Such effort has c o m e to be one of the main, precisely the same time as the outbreak of
and most significant, characteristics of nueva popular uprisings in the country. Theatre
canción movements, which for the most part and song were involved from the very be-
began by gathering, in remote areas of the ginning of the Chilean workers' struggle; it is
countryside, the work of thefirstpopular therefore not surprising that the song became
singers and writers of verse. one of the cultural factors most closely ident-
But research with underlying purposes ified with the social and political movement
such as these has not always been understood of the 1960s and, ultimately, a real symbol
and approved by folklore research institutes, of what was happening in the life of the
which have sometimes felt that this popular- country. The nueva canción gradually became
ization of folk-songs is a distortion of in- the popular art-form par excellence, wielding
digenous culture. W e believe that the exper- far more influence over the general public
iment has proved that, though the danger of than any previous movement had ever done.
distortion is a real one, the work of those Since it took its place in the Chileans' life
responsible for this dissemination process has at a time of violent social confrontation, the
been .highly successful, for not only has it song became highly politicized; this became
broadened the knowledge of the people at most marked during the period of the Unidad
large regarding their origins and roots, but Popular government. In spite of all the excesses
has also given them a sharper awareness of the that can be noted during this period, the
need to defend indigenous cultures and has Chilean song movement acquired consider-
m a d e them more determined to safeguard able maturity during those years and, most
these values; at the same time it has responded important of all, succeeded in developing
to current cultural needs. forms of organization which had not yet been
, O n e of thefirstpeople to take u p this used in other countries of the continent. Since
task was Violeta Parra, w h o after travelling it had emerged in open opposition to the usual
across the plains and mountains of Chile channels employed for the dissemination of
absorbing the knowledge and popular art she popular music, it had to use the mass organ-
found there, began to create her o w n songs izations of the workers, farmers and students;
which, over the years, became k n o w n all over these organizations were able to ensure that
the continent. Her work has had one of the the music got the necessary hearing by means
greatest followings and should be considered of their o w n cultural structures. Chilean song
as one of the most seminal influences on was finally given wide coverage by the mass
Chilean song. Her creative work has m a n y media during the period of the Unidad Popu-
and varied forms and ranges from the décima lar government.
(ten-line stanza) and popular verse to cer- Apart from Violeta Parra, the artists w h o
amics, painting and tapestry embroidery. A produced this movement were, together with
tireless traveller, she presented her work in those already mentioned, her children Angel
m a n y countries in Europe and Latin America, and Isabel, Víctor Jara, Patricio M a n n s ,
although it was only some years after her Rolando Alarcón and the Quilapayún and
death that it received full acceptance and due Intiillimani groups. Obviously, this list is far
recognition. Her first songs go back to from being comprehensive, since during that
the 1950s, but were preceded by lengthy initial period, the popular artistic scene was
research work and by years of direct contact seething with new creative activity. Tragically,
with the sources of popular song in her the Chilean movement also gained a mar-
country. H e r songs and poems reflect the tyr in the person of Víctor Jara, one of
national spirit to such an extent that today Violeta Parra's most faithful followers; over
they have come to represent a real synthesis and above his work of compiling and sing-
of Chile, its land and its people. ing the music of country folk he took his
The Chilean song movement emerged at artistic commitment to its ultimate conse-
The nueva canción in Latin America
Carlos Puebla (Cuba).
quence, meeting his death by assassination on
15 September 1973. The work of Jara, a m a n
of the theatre and the leader of several n e w
music groups, provides us with some of the
best examples of what have been termed
'revolutionary' or 'committed' songs, although
in view of the immense expressive range of
his music in themes and tone colour it would
be unfair to confine it to this. Afineguitarist
and excellent poet and composer, his work has
kept alive for us the rich working experience
that was the result of the authentic relation-
ship he had with his people.
The Chilean song, as with its Argentine
and Uruguayan counterparts, is closely linked
to folklore, which, at least in its beginnings,
has been its main source of musical and
thematic inspiration. But it must be stressed
that one of the main trends that has emerged
from the creative movement in Chilean song
has been to bring modes of popular expression
closer to more sophisticated forms, without
609
removing the character of music designed for
the people in general. This trend, which is
tantamount to the creation of a non-élitist,
academic form of music, came to constitute
a genre of its o w n , appearing at the end of
the 1960s and remaining ever since as one of
the main lines of development of the song
movement. At the outset these musical c o m -
positions consisted simply of groups or sets of
songs, but they soon began to follow a classical
pattern, and cantatas, oratorios and masses
were introduced into the everyday repertory
of popular music. Thefirstreally successful
example of this type of work was the 'Cantata
de Santa María de Iquique' by the composer
Luis Advis. T h e main composers of such
works which lie half-way between the aca-
demic and the popular form are, apart from
Luis Advis, Sergio Ortega, Gustavo Becerra,
Cirilo Vila and, in recent years, Juan Orrego
Salas.
During the 1960s, Chilean song succeeded
610
in transforming the formalism and 'folklore'
character that had typified the work of artists
most influenced by the trans-Andean m o v e -
ment. T h e initial wave of compositions that
in Chile were called 'neofolklore' and which
coincided with the political success of the
Christian Democrats was thus rapidly super-
seded. Even before the 1970s the nueva canción
chilera movement succeeded in creating works
of considerable artistic value, and its pro-
motors attained popularity—though they were
never able to win favour with the c o m m u n i -
cation media—by means of the thousands
of musical performances organized by trade
unions, neighbourhood and mothers' groups,
sports clubs, etc. The song, a faithful reflection
of the historic events that the country was
witnessing, received its basic support from the
sector that was reaching for power and which,
in turn, saw in the song a stimulus and a
weapon in its struggle. This close relationship
of the song with social confrontation was one
of the reasons for its severe repression in the
early years of the military government, when
its very existence as a cultural movement was
endangered.
This situation brought about something
of a recession for the song movement, which
fortunately did not last long. O n the one
hand, the artists w h o were abroad at the time
of the change in government, and those w h o
left the country afterwards, set about the
task of continuing their work in the countries
that took them in; on the other hand, those
w h o were able to go on working in Chile soon
discovered ways of coping with the new situ-
ation, and in 1975 a real movement for the
rebirth of the nueva canción (nowadays called
canto nuevo) took place. A n d so there was a
split into two: the song in exile and the song
within the country. Although both are guided
by a single spirit whose strength has become
more marked over the years, their situation is
very different. T h e song within the country
has continued to be threatened, no longer by
direct measures but by the absence of any
official or organized help which means that
it comes u p against the unfair competition of
foreign music. In contrast, the Chilean popu-
Eduardo Carrasco Pirará
lar song abroad has scored an unprecedented
success and become one of the most widely
disseminated of all Latin American music in
recent times.
Although in a number of countries the
nueva canción movements have had no trouble
in holding their o w n , even where the most
adverse conditions prevail, they have at the
same time been developing n e w alternative
forms enabling them to avail themselves of
mass-communication facilities without m a k -
ing any concessions from the standpoint of
the commercialization of popular art. A n d so
a kind of third way has been opened up,
which creates its o w n dissemination channels
without completely abandoning the old ones,
and works with a new conception of the re-
lationship of the artist with his public. A
much more genuine dialogue is being sought
on the basis of a profound relationship,
bringing about the re-establishment of the
real aesthetic values that have been distorted
by commercialized music. This intermediate
position between folk-music and what is
simply popular music gives the nueva canción
special interest, since its purposes are suited
by these two forces that in the present-day
world would seem to stand in opposition to
one another: true popular culture and the
commercial system coupled with the use of
increasingly sophisticated technical resources.
Song and politics
or song and history
The movements in the southern cone soon
left their marks on the fledgling movements
that were emerging in the north. National
versions of the nueva canción began to take
shape in Ecuador, Venezuela, Peru, Mexico
and, under the title of nueva trova cubana, in
Cuba. In practically all these countries the
first attempts at song renewal occurred at
more or less the same time as the southern
movements, in such a way that this influence
merely intensified the basic drive of the in-
itial national effort. But in almost all these
countries it was the more open current of
The nueva canción in Latín America 611

The berimbau, a characteristic Brazilian instrument. Marie Paule Nègre/Rush.

612 Eduardo Carrasco Pirará

continentalized music that prevailed, for the very beginnings, especially during times w h e n
aim w a s to avoid any withdrawal behind the people of the continent have had to muster
national folklore frontiers, and to remain all their forces and means to advance, as they
responsive to the most representative songs of did during the heroic battle for independence,
the strongest movements or from the most the liberal revolutions and struggles of the
actively creative countries. past century and those of the present one.
It should c o m e as n o surprise that in a Indeed, there can be no important event in
n u m b e r of instances these song movements the history of the people of Latin America
had strongly political overtones, since the that is not reflected in a song. The nueva
same was true of nearly all thefieldsof Latin canción is conscious of its links with history
American culture during that period. W e and it meets this responsibility in m a n y dif-
cannot consider art as being divorced from ferent ways, but alwaysfindingits response in
the reality from which it springs and if that actual experiences rather than programme
reality is shaken by conflicts and struggles slogans. T h e nueva canciórfs value, therefore,
opposing different sectors of society, it is lies not only in its commitment to a cause,
to be expected that art, and especially popular but in the w a y in which it solves or confronts
art, will bear the traces. W h a t is absolutely the problems involved. In some countries the
untrue and historically insensitive is to regard need is of a cultural order, so the song m o v e -
this political or social link not as a spon- ments base themselves on the general work of
taneous and necessary development but as retrieving the values of popular culture, re-
the deliberate and machiavellian initiative of search and dissemination of folklore, the re-
groups or parties with stakes in the conflict. vival of old, forgotten traditions and the search
T h e nueva canción is a living reflection of for national roots. In other countries, owing
the world it comes from; it bears all the to historical circumstances, the main thrust
w o u n d s of the struggle for the social and has been directly concerned with the practical
economic emancipation of Latin America, as struggle in support of social and political
well as its hopes, its doubts and its victories. claims, freedom, independence, democracy,
Because of this it does not need anyone to improvement of the people's living conditions,
tell it what it has to d o . Its commitment is a social justice, etc. But in all countries there
spontaneous one and it becomes part of the are certain aspects of both types of need, their
history of the people to the extent that it combination depending on historical circum-
assumes the role that the people assign to it. stances and the particular period.
Sometimes it serves the purpose of a political This leads us to distinguish two senses in
tract and its only value is to have acted as which the song m a y be 'political'. In the sense
witness to the m o m e n t that gave it birth; at that is most generally used, the term 'political'
times it simply repeats old songs from the is identified with the immediate struggle, the
past, while at others it rises to a higher level confrontation of parties or classes by the
and becomes the universal expression of the political or economic power structure, the
blossoming of the Latin American soul, to actual daily experiences of this struggle, and
remain, like all true art, part of the innate the journalistic interpretation, so to speak,
consciousness of the people. This is w h y the of history; the other sense implies a broader
nueva canción cannot be reduced to the pol- view; 'political' is taken as meaning the long
itical context, nor can the problems it exposes perspective of history from the viewpoint of
be brushed off with indifference or rejected the people, something acted out against a
out of hand, as if this were nothing more than background of current events but not ident-
the w o r k of partisan or sectarian interests. ified solely with this, what is actually being
This song-reality relationship is not just constructed behind the outward appearance
a current phenomenon. T h e Latin American of events and which transcends a purely
song has always played this role from its journalistic interpretation—in other words,
The nueva canción in Latin America
all that has been built up over years of sac-
rifice and discovery and which w e call culture,
history viewed from the proper distance and
seen as the long road travelled by the peoples
of the world.
In two ways, therefore, it m a y be said that
the nueva canción has been, or is, political.
Sometimes it deals with passing situations and
sometimes it is strictly faithful to its cultural
mission, but it is never indifferent to what is
going on and, thus, already holds its place
in the history of Latin American culture. A
balanced view of its value must take both
aspects into account, separating and joining
them when necessary, but, most important of
all, never confusing or lumping them together.
The nueva trova cubana
Cuba has always been celebrated for its
production of popular music, and its island
rhythms and melodies have been k n o w n
throughout the world for centuries. The haba-
nera even inspired certain 'formal' European
musical compositions, and during our century
the rumba, the m a m b o and the cha-cha-cha
have been some of the most internationally
popular dances. There is nothing surprising,
then, about the fact that the Cuban n e w -
music movement, called the nueva trova cu-
bana, should be one of the most dynamic in
the continent, influencing all other Spanish-
language songs.
The nueva trova is the result today of a
whole tradition of Cuban popular music,
which began to develop its o w n features at
the beginning of the seventeenth century and
came d o w n through the centuries until it
burst upon the world in 1930. In the last
century the songs of the trovadores or ban-
distas predominated and these combined a
whole set of influences that had come directly
from Spain; but for various reasons the
African element was not assimilated into
Cuban popular music until the present cen-
tury, giving it its definitive personality.
The trova of thefirstyears of the century
is the declared artistic forerunner of the n e w
613
movement's composers. T h e great artists of
this initial period w h o traced the path for the
popular Cuban song of the future were Sindo
Garay, Manuel Corona, Alberto Villalón,
Rosendo Ruiz; during a second phase k n o w n
as trova soñera, they included Ignacio Pineiro
and Miguel Matamoros with his famous trio,
which caused the first explosion of Cuban
music on the continent.
During thefirstperiod, the songs of the
trova were very close to the contrapunto or
punto of country music, which was their most
immediate predecessor in folklore, although
they did not actually stem from it. Their main
themes were the homeland and love, and songs
were performed by small groups with a soloist
w h o sang while the rest accompanied, singing
together and playing typical instruments: the
tres (type of small guitar), the guitar, the
maraca and other percussion instruments. The
great songs of this period were especially
noteworthy for their lyrics, which carried o n
the hyper-romantic tradition of popular Latin
American poetry of the beginning of the
century and were strongly influenced by the
literary romanticism of the past century. A t
all events, the poetic quality of these lyrics
revolutionized the popular song of the period.
Later on the son appeared in its several
forms, beginning the second phase of the
trova which reached a m u c h wider audience
than thefirstthanks to the radio, which came
into being in the early 1930s. The most im-
portant group of that period was unques-
tionably the Trío Matamoros, which gave the
son its structure and form. In turn, the son
became a factor of primary importance in
determining the national character of Cuban
music.
Another important movement in Cuban
music enthusiastically received on the conti-
nent was that k n o w n as 'feeling'. It emerged
in the 1940s along the lines of the romantic
music that preceded it but was strongly in-
fluenced by the American music of the period,
mainly the blues, as can be heard in the mel-
odies of the bolero created by the major Cuban
composers. 'Feeling', through the songs of
José Antonio Méndez, César Portillo de la
614
Luz, Tania Castellanos and others, had a
direct influence on the nueva trova. But a
major factor separating the nueva trova from
this music—and one that was mainly respon-
sible for its emergence—was Cuba's most
dramatic historical event: the 1959 revolution.
W e have already had something to say
concerning the importance of this event in
the cultural history of Latin America. Apart
from its political repercussions and the social
upheaval that the Cuban revolution triggered
off all over the continent—the start of guerrilla
warfare in other countries, the radicalization
of certain processes, its ideological effect on
student and worker movements and the be-
ginning of a m u c h more aggressive policy by
the United States towards the rest of the
continent—this event had an enormous cul-
tural impact because it brought with it a
feeling of Latin American solidarity that had
not existed since the times of Independence.
This wave of Bolivarian spirit swept through
Latin America, finding its strongest support
a m o n g intellectual and artistic circles, and
creating a new cultural space that began to be
inhabited by m a n y of those w h o were caught
u p in the n e w feeling of unity. For the
first time in the history of literature, for
example, reference began to be m a d e to a
Latin American literature, dubbed as such
by the writers themselves. Previously the
nationalist and Creole-oriented movements
had embraced a m u c h narrower conception
of national culture, and this was crystallized
in numerous forms of regionalism that took
precedence over any notion of continental
oneness. N o w , the situation was reversed and
the continental dimension came to the fore,
largely due to the effect of the mass media
which had become powerful enough to turn
a literary success into a b o o m throughout the
Spanish-speaking world. It is not surprising,
therefore, that throughout this period the n e w
spirit that had emerged (particularly a m o n g
writers) should find an organized outlet for
its expression with the founding of the Casa
de las Americas, a revolutionary project
whose purpose was to channel this pro-Latin-
American drive.
Eduardo Carrasco Pirard
Approximately the same occurred in the
field of the song, although with a certain
delay due to the movement's lack of develop-
ment at that time. At the end of the 1960s,
however, thefirstsigns of this spirit began to
appear and today the nueva canción reflects,
in varying degrees, this n e w idea of the cul-
tural unity of Latin America.
The nueva trova is also a product of this
situation, although it was born of a gener-
ation already installed in the revolutionary
process. Furthermore, it received a certain
amount of influence from the south, whose
music began to reach the island in the mid-
1960s.
Heading this movement were the singer-
composers Silvio Rodriguez and Pablo M i -
lanês, both of w h o m came on the scene in the
second half of the 1970s. The most important
link between them and traditional music was
an artist w h o had emerged from the trova
soñera trend, his work becoming the most
distinctive musical symbol of the Cuban rev-
olution: Carlos Puebla. This popular poet,
accompanied by his group, Los Tradicionales,
has produced the real annals of the Cuban
revolution and of the continent's most im-
portant historical and political events during
recent years. His work has prepared the way
not only for Cuba's present-day music but,
in addition, for a whole current within the
nueva canción which has come to be termed
the canción contingente or topical song and
which can be regarded as its most committed
form in terms of political struggle. It follows
the old jongleur tradition, which is very closely
identified with the Latin American spirit for
it has been present from the beginning of the
region's history. But the work of Carlos
Puebla is not only political; it relies more on
the purity of his verses as a popular medium,
relating, with unparallelled mastery, the most
important events of his country's history,
while telling us all the time of popular figures
and customs. Puebla is an extremely prolifer-
ous composer and his work is drawn entirely
from traditional Cuban forms such as the
son, the guaracha or the guajira, which ex-
plains its easy and immediate popular ac-
The nueva canción in Latin America
The Argentinian singer, Mercedes Sosa, with a bombo legüero, derived from the military drum
designed to sound over great distances. Phonogram/Claude Delonne.
ceptance. His group is exactly modelled on
the old style of son groups and has preserved
over the years the pure sound of the old music
of Havana. Puebla's importance in the history
of the nueva canción can be compared only
with the work of those two other great inno-
vators, Atahualpa Yupanqui and Violeta
Parra.
The nueva trova has remained faithful to
the.themes of the original trova, since its
main content concerns the homeland and love.
Additional elements are praise of the revol-
ution and its heroes, and the protest song.
The dramatic context of its birth and the
more pronounced lyrical nature of its poetic
and musical inspiration combine to form an
exquisite mosaic of the most varied sounds
and sentiments, as if contradiction itself were
the source of its intrinsic force. The language
used, at the outset somewhat too ornate
615
because of excessive imagery, has since been
refined and simplified, a process that has
given it considerable poetic value.
Officially, the movement began in 1972,
although as has already been said its orig-
inators had begun to produce works m u c h
earlier. A s well as those w e have named,
important singer-composers during this initial
period were Noel Nicola and Vicente Feliú.
A s a final word on the background of the
movement, w e should mention that the nueva
trova reflects (especially a m o n g some of its
most celebrated exponents) the influence of
American music in some ways (Bob Dylan,
Barbara D a n e and Harry Belafonte) but
without sacrificing its authentically Cuban
character.
The nueva trova has an outlet for instru-
mental development in the work of the Sound
Experiment Group of the I C A I C (Instituto
616 Eduardo Carrasco Pirará

C u b a n o de Arte e Industrias Cinematográ- grammes and has the most recordings to its
ficas). A sound-experiment laboratory set u p credit in the island.
in this institution has enabled extremely In recent years the movement has seen a
fruitful contacts to be established between new generation of artists emerge w h o are
popular and academic musicians, resulting in engaged in. a process of renewal of musical
music that is both 'formal' and modern with styles and poetic forms, searching for broader
a decisive influence on the compositions and and more down-to-earth subject material
arrangements of a number of musicians. For which will reflect the present conditions of
a long time I C A I C has been a meeting-place Cuban society in a less epic and more specific
and nursery for n e w performers and c o m - fashion. S o m e of the most well-known ex-
posers, the most celebrated being Eduardo ponents of this new trend are Santiago Feliú,
R a m o s and Sara González w h o received their Donato, Nabel López and Marta C a m p o s .
training at the hands of the great Cuban The tremendous development of the
guitarist and composer Leo Brower. nueva trova movement in almost all the
The nueva trova is the best organized of countries of the continent has been an essen-
all the Latin American song movements, tial factor in the general integration of popu-
having become today a sort of mass youth lar music. In this the nueva trova is heir to the
organization with representatives all over the influence Cuban music has always had vis-à-vis
country. Since its official birth in 1972 its its cultural neighbours and constitutes one of
members have met every year or two to the most brilliant achievements of Latin
discuss c o m m o n problems and elect their America's popular cultural renewal.
representatives in the governing body, the
Executive Directorate of the M o v e m e n t of
the N u e v a Trova Cubana. This movement The n e w popular
currently numbers 2,000 young people, m e m - Brazilian music
bership depending on artistic or personal
merit and the submission of works for dis- Brazilian music, like its Cuban counterpart,
cussion by active regional members. The basic is one of the most successful of the times.
units are called 'detachments of the trova1, Since the beginning of the century when the
and consist of groups or soloists. F r o m time first carnival rhythms from Brazil began to
to time these detachments meet to discuss be heard in Europe its influence has been
n e w compositions and organizational, artistic constant, and in the 1960s, with the emergence
or political problems. A s can be seen, the of bossa nova, it became one of the main
nueva trova has its statutes, its organizational elements of international popular music.
structures and its operational machinery, and
The movement of new popular Brazilian
is highly organized at every level.
music, like its counterparts in the rest of the
T h e channels used for the dissemination continent, appeared at the end of the 1950s
of the trova have been geared to the changing and beginning of the 1960s. Although there
conditions of its development so that today are no direct connections between the other
the trova is the type of song that has w o n the movements on the continent and the Brazilian
largest audience a m o n g the youth of the phenomenon, it basicallyfitsthe description
island. The trovadores sing in cultural centres, of what w e have called the nueva canción.
the people's parks and in special places such During its gestation period, that is, im-
as the Café Cantante of the National Theatre mediately before the military government
of Havana, the Cathedral Square, the Parque took over in 1964, and during its subsequent
de la Juventud and Heredia Street in Santiago years of power, Brazil experienced a phase
de C u b a , all of these being centres set aside of gradual isolation as regards other Latin
for young people's leisure activities. The trova American countries, which at that time were
also has special television and radio pro- being shaken by violent struggle and oppo-
The nueva canción in Latin America 617

sition. In Brazil this was reflected in a process mercial music as such, it competed with the
of development that was somewhat separate latter, on its o w n ground, for the public's
from what was going on in the rest of Latin favour, and thus raised the level of popular
America, for although intellectual and artistic music while continuing to be a mass m o v e -
circles have always fostered integration, the ment. T o d o this the m o v e m e n t assimi-
lack of information and the absence of specific lated—creatively—the aspects of foreign m u -
links meant that popular Brazilian culture sic that suited its purpose and, without losing
retreated within itself. its typical character, became highly successful
The music of Brazil, in previous times, all over the world. At the same time it became
had m a d e a powerful impact on the rest of politicized, but without using the song as a
the countries of South America. T h e baiôn means of agitation, so that it was able to play
and the samba, linked with the carnival, caught its part in the people's struggle without be-
on rapidly in the 1950s, and in some countries coming sectarian. Furthermore, it was not
such as Venezuela, for example, their appeal based o n folklore but on ' the bedrock of
was so great that there were even samba popular Brazilian music, heavily influenced
schools in Caracas, following the carioca by modern musical currents, mainly jazz. It
(Rio-originated) models and with Brazilian never once lost its main source of support
teachers. This influence was halted during the a m o n g youth, intellectuals and the middle
years of the military government for it m a d e classes. It is a fine example of the extent to
any form of cultural exchange extremely which a movement claiming cultural values
difficult. can grow; in its case, these values were
Admittedly, Brazil has always tended to national roots and the aesthetic value of the
form a somewhat self-sufficient world of its music and lyrics.
o w n , and the enormous wealth and diversity The Brazilian popular song is a world
of its cultural life has driven it into a certain of inexhaustible treasures which w e would
natural isolation vis-à-vis the other countries be hard pressed to portray in these few pages.
of Latin America. It has even been asked if It originated during the eighteenth century
Brazil really belongs to the cultural unit m a d e when music appeared in the country which
up by the countries of Hispanic origin. was markedly different from that of Europe.
Although w e are unable to shed n e w light So little did it have in c o m m o n with the songs
on this problem here, it remains surpris- that crossed the ocean that when this music
ing—in view of the above-described phenom- was heard in Portugal audiences were scan-
enon—that the popular Brazilian song and dalized because of the sensuality of its
the other Latin American movements tally rhythms and the daring of its lyrics. This
to the degree in which they in fact do, and early Brazilian song was the famous modinha,
this gives us cause to think that this cultural and it left its stamp on the country's entire
unity truly exists. musical history during the nineteenth century.
Naturally, the Brazilian counterpart of It reached its peak during the romantic period,
the nueva canción has a character all of its becoming one of the purest expressions of
o w n . First of all, it was an off-shoot of c o m - popular music on the continent, due to the
mercial pop music and it fought its w a y u p extensive lyric-writing activity of the country's
in the commercial market until itfinallygot 'serious' poets. These modinhas were the first
to the top. It did not entirely create its o w n songs to have written lyrics; they existed side
channels of dissemination as happened in by side with rhythms from the milieux of the
other countries; rather, it m o v e d into, and blacks and mulattos, dance music such as the
took over, the already existing channels, in lundu, a kind of combination of the batuque
spite of all the difficulties it encountered and the Spanish fandango. At the end of the
during those troubled times. O n the other century the maxixe appeared, a sort of
hand, rather than become merged with c o m - Brazilian polka stylized by the choro groups
618 Eduardo Carrasco Pirará

and which was thefirstmusical form to c o m e at that time. T h e result of this complex state
entirely from the people. It was an extremely of affairs was the emergence of a song with
popular part of the carnival repertory and lyrics which was very different from the music
went so far as to conquer the dance-halls of produced simply for dancing that had, until
Paris at the beginning of the century. O f equal then, monopolized popular composition. The
importance as an instrumental form was the student population began to seek its o w n
choro, thus named (from the verb chorar, to form of expression and it was the young
weep) because of the mournful sound of its musicians from within its midst w h o produced
constant modulations, interpreted by the thefirstattempts towards renewal. Thus bossa
flute, the clarinet and several string instru- nova was born.
ments. It, also, derived from the polka. This This took place in Rio de Janeiro, in
yearning, profound music has even found Copacabana, in neighbourhoods inhabited by
classical expression in the immortal c o m - the bourgeoisie and the well-to-do; the purpose
positions of Villalobos. of bossa nova was to break with wordless per-
After the end of the century carnival cussion music, and music with exclusively ro-
music became an increasingly important part mantic and sentimental lyrics, Latin America's
of the Brazilian popular genre, culminating reflection of the romantic tradition as ex-
in the greatest popular event in this trend, pressed in the tango and the bolero. A c -
the creation of the samba and the marcha. cording to one source the word 'bossa'' implies
The samba, appearing in 1916, rapidly sur- swinging, although this refers not so m u c h to
passed other festival and dance forms and a new dance movement as to the characteristic
soon became Brazil's most typical music. T h e syncopation of the guitar accompaniment, this
musicians mainly associated with the samba being the instrument most particularly as-
are Sinho, the 'king of the samba', Careca, sociated with the n e w style. Bossa nova is
Caninha, D o n g a Pixinguinha, etc. Until the simple music which often makes use of the
advent of bossa nova it constituted Brazil's voice as an instrument and is played by small
international image in the field of music. groups; it has an intimist quality with lyrics
The current of renewal in Brazilian popu- that are often as important as the music and
lar music which began at the end of the 1950s, the rhythm and shuns the headiness of carnival
was in some ways an expression of opposition music. It was born in 1956 and the great names
to this carnival music. Brazil had undergone associated with it include Nara Leão, in whose
great changes in its economic development, h o m e the n e w rhythm is said to have been born,
and the big cities of Rio de Janeiro and São João Gilberto, considered to be its creator
Paulo had grown in spectacular fashion. T h e and supreme exponent and Antonio Carlos
young generation, m u c h better informed than Jobim. All these musicians were great admirers
ever before, sought ways of expressing its of the jazz trends of the period, mainly bebop
particular identity in clearer terms; at the and the blues, and this explains w h y one of
same time the student population had grown thefirstcountries to respond to bossa nova
enormously and the middle classes were be- was the United States.
coming m u c h more influential in the country's O n e of bossa nova's main characteristics
social and economic life. The influence of jazz was the incorporation of 'serious' poetry into
began to have a considerable effect on young its lyrics, which enabled great Brazilian poets
musicians attuned to the n e w currents of to become song-writers and play a part in the
European and American music, while the movement. O f these, the one w h o attained
intellectual circles were awakening to the n e w most fame was Vinícius de Moraes. Another
spirit of Latin Americanism, which had important n a m e from thisfirstperiod was the
brought with it the C u b a n revolution, some- composer and guitarist Baden Powell.
thing that could not fail to have a powerful The first Brazilians to accept this music
influence on the dangerous situation in Brazil were the students. A tfirst,bossa nova was
The nueva canción in Latin America
Record sleeve (Illapu group) (Design by Guillermo Duran). EMI Odeon Chilena S . A .
somewhat élitist and played only in fashion-
able cabarets for an elegant and intellectual
set of young people. It was only after 1961
and its triumph in the United States that it
began to be acclaimed in the country and
throughout the world. O n e particular line of
development that was very successful in this
sense was the music of Sergio Mendes.
The years in which bossa nova had its
beginnings were those immediately preceding
the military takeover in 1964, years of great
trade-union conflict and university-campus
excitement, which soon influenced the lyrics
of the new music. T h e intimist m o o d of the
early beginnings began to give way to social
themes which presented a rather idealized and
paternalistic vision of the blackyàve/a-dweller
and the worker from the fringe areas of the
big cities. In some songs commitment went
deeper, as in 'The Farm-labourer's Funeral'
619
set to music by Chico Buarque de Holanda;
but we can by n o means describe these works
as being 'political'.
Until 1964 this renewal movement still
lacked strength. The only performers to have
gained great popularity in the country were
Nara Leão and Elis Regina, thefirstto be able
to draw large audiences.
A s the movement was not yet strong
enough to be self-supporting, it turned to
the city's music theatres, very popular at the
time, and m a n y musicians began to compose
for certain plays with an underlying social
theme. This produced works that had a great
impact, in terms of both theatre and music,
such as Liberdade, Liberdade, Opinião, a m o n g
others. Little by little the censor began to
weed out the lyrics and writers had to invent
innumerable stratagems to get their message
through.
620
Around 1965/66 something of great im-
portance for the future of Brazilian song took
place. T h e major television companies, Tupí
and Record of São Paulo, hoping to attract
a larger number of young people a m o n g their
viewers, began to organize big song festivals
which soon turned into veritable nation-wide
competitions with the participation of the
finest interpreters of the n e w Brazilian song.
They helped publicize the work of singer-
composers such as Chico Buarque, Caetano
Veloso, Edú Lobo, Gilberto Gil, and singers
such as María Betania and Gal Costa from
Bahía state. These festivals did exactly what
they set out to do, for in a short time they
succeeded in involving the whole youth sector
in the song movement. During the six months
leading up to the festival radio time was
allotted to the entries and then the competition
began, which, just like football and other
mass-entertainment events, had no difficulty
in capturing everybody's attention.
Since young people had no other way of
channelling their feelings, the song soon be-
came the main outlet for their disquiet. M a n y
lovely songs were produced during this period
and it was, perhaps, one of the most rewarding
m o m e n t s in the history of popular music in
Brazil. The festivals were held in the Para-
mount Cinema in São Paulo which seated
thousands of young people w h o came to
applaud their favourite musicians. T h e c o m -
petitions grew to such an extent that they
soon had to be held in large stadiums. During
that same period, bossa nova was also widely
broadcast on one of Elis Regina's radio
programmes, which achieved one of the
largest audiences in the country. This music
thus became k n o w n in all its diversity and
took on the character of a mass movement.
Although there was never any political
music in Brazil that could be identified as such,
the authorities became increasingly suspicious
of the movement's line of development. T h e
only songs that could be considered as some-
thing approaching commitment were those of
Geraldo Vandré, their main quality residing
in the originality and beauty of the lyrics.
This music, based on the traditional forms of
Eduardo Carrasco Pirará
Northeastern Brazil, had such an impact in
the festivals and developed such symbolic
force that the author was expelled from the
country in 1969.
During the 1966/67 periods a new trend
in opposition to bossa nova appeared, influ-
enced by the b o o m of the hippie movement,
which had found a means of expression in
Brazil. This trend, which accused bossa nova
of being too accommodating, non-dissident
and associated with the national bourgeoisie,
was called 'tropicalismo'. Tropicalism boomed
in spite of the n e w wave of repression
during 1968, which practically extinguished
the development of the committed theatre,
its most important representatives being
silenced or driven out of the country. F r o m
that time on, Brazilian music became divided
into three trends: bossa nova, tropicalismo
and a third movement which was the most
traditional. Its greatest exponent was the
singer Roberto Carlos, w h o carried on the
popular romantic style so deeply rooted in
the country's traditions. This movement
dubbed itself ajo vem guarda (the young guard).
In 1968 Institutional Act N o . 5 was
passed; this legalized censorship with serious
consequences for popular culture, for it forced
m a n y people to leave the country. A n office
coming under the Ministry of Social C o m -
munication in Brasilia scrutinized every
theatre play, every song and in general every
artistic product intended for a sector of the
public. In fact, this censorship had no strict
guidelines governing its work and it some-
times passed in music what it banned in the
theatre or the cinema; at all events, it caused
havoc because it left the development of the
nation's popular culture in the hands of
officials w h o were often inexperienced.
This situation of internal crisis and viol-
ence is reflected in the personal history of
m a n y Brazilian artists. Chico Buarque, for
example, was frequently submitted to police
interrogation and finally chose to leave for
Italy, where he remained for some time.
Caetano Veloso and Gilberto Gil were im-
prisioned and forced to leave the country for
London, where they sat out their exile. E d ú
The nueva canción in Latín America 621

Lobo went to the United States to study music English-speaking world of the 1960s, and
and Vandré had to spend several years in especially by groups such as the Beatles. But
Chile and France. During the whole of this they were also affected by Northeastern music.
time, between 1969 and 1972, there was a Their generation had been brought up in a
real cultural vacuum, and record companies context of censorship and they were no longer
and the mass media took advantage of this alive to the importance of words in themselves.
to s w a m p Brazil with American music. In Hence in their music the voice is not used to
spite of attempts to revive the international convey lyrics but to produce pure sound, and
song with big festivals, in order to replace the music becomes the undisputed main force
those of a previously national character, of the song. T h e most important representa-
nothing of importance was achived. It was tives of this new trend are Milton Nascimento,
not until 1971, when Brazilian artists began Gismonti and Hermeto Pasqual. They have
to return, that there was a new attempt to delved m u c h more deeply into folklore roots
retrieve popular national music. O n e of the than their predecessors, and recreated this
first to come back was Chico Buarque, and music with electronic instruments. Jazz, an
with his n e w record, Construção, he spoke ever-present force in the new Brazilian music
once more for the young generation whose because of its black roots, has also been very
voice had been silenced for more than three influential here.
years. Caetano Veloso and Gilberto Gil fol- In 1974 several protest songs came out
lowed some time later and the situation that linked with the theatre, restoring the relation-
had existed at the time of the festivals was ship between drama and popular music. The
restored, although this time the song—mainly most important works were Un Grito Parado
in the lyrics of Chico Buarque—became No Ar, by Vinícius de Moraes, and Calabar,
openly critical. by Chico Buarque. The latter was banned the
O n e highly positive effect of the years of day of itsfirstperformance, in spite of having
cultural vacuum was the rehabilitation of old been passed by the censor. Chico Buarque's
singers whose works were in fact at the root of influence began to create a trend in the work
the whole poetic and musical movement and of younger musicians w h o also started to
w h o , until then, had not been recognized. This compose critical songs, as in the case of
was the case of Dorival C a y m m i , great popular Gonzaguinha, Luis Melodia and Melchior.
poet of Bahía, whose songs offishermenand In spite of all the limitations imposed by
m e n of the soil, based on folk themes, m a d e censorship, the n e w music achieved unpre-
him into one of the fathers of the new Brazilian cedented success and neither the radio nor the
music. television could, at any time, completely shut
The reinstatement of the most important it out. O n e reaction to censorship was the
musicians of the period of the festivals, which holding, during 1976, 1977 and 1978, of mass
n o w had a national character, proved that the gatherings of music-lovers at universities and
Brazilian people still wanted their o w n music. in other places where large numbers of young
For this reason a number of attempts to people congregated. In this way the 'Pixin-
revitalize folklore achieved considerable suc- guinha project' was born, consisting of the
cess, as in the case of Marcus Pereira w h o simultaneous holding of evening concerts in
began to publish Northeastern music, which seven major cities, which had the additional
became one of the greatest landmarks in effect of combating centralism.
Brazilian musical history. Later on, the Quin- The Brazilian song stands as one of the
teto Violado from Recife drew on these same most successful expressions of popular music
resources. on the Latin American continent. Today it is
F r o m 1972 on a n e w generation of m u - going through a phase of integration, showing
sicians began to appear—young people w h o receptiveness to the experiences of other Latin
were strongly influenced by the music of the American countries and assuming a role, in
622
its o w n right, in the unity of the popular music
movement on the continent. Its ability to
penetrate the international popular-music
market has not slackened, and it has even
reversed the trend and exercised a greater
influence on American music than the latter
has on it. Today there is a whole current within
jazz based on bossa nova and it has become
standard practice for major singers and groups
all over the world to perform Brazilian music.
This interest has not been confined to the music
Brazil produced in the 1960s and 1970s, but
continues to follow its present development
m o r e or less closely.
Conclusion
In this brief outline that w e have given of the
most important events surrounding the nueva
canción in the countries referred to, a number
of conclusions have emerged which w e shall
not attempt to develop in detail. Although
w e have given only the general lines of what
is really a m u c h m o r e complex development
process, and have not dealt with events that
took place in several important countries, a
n u m b e r of inferences can be drawn as regards
the general characteristics of the movement.
T h efirstconclusion is that the nueva can-
ción in Latin America is a living and fast-
developing phenomenon whose history is far
from being a closed book. This thriving
movement is too be found in all countries,
assuming national forms in line with local
traditions and adapting itself to the social and
historical conditions of its environment.
A second conclusion is that this m o v e -
ment is continental in scope and is therefore
one of the few forms of artistic expression to
have spread so far afield. T h e artists involved
assume a fully commensurate role, seeking
contacts and exchanges of experience and in
some cases even producing joint works.
The nueva canción inhabits the space
between popular and folk music, drawing
closer to one or the other according to the
form it assumes in each country. In its actual
form of existence it comes closer to popular
music because it addresses a mass audience
Eduardo Carrasco Pirará
and makes use of the established mass media
whenever it can. But its nationalistic purpose
also links it to folklore, which sometimes be-
comes an important factor in reaching a mass
audience. In some countries this phenomenon
does not occur, but there is nevertheless always
an underlying idea of support for traditional
popular music.
The nueva canción opposes the more
abstract current of commercial music and,
although it is meant for non-specific and
sometimes international audiences, it always
seeks identity with its roots and remains
closely tied to the national culture. In this
sense it is a reaction to the process of cultural
penetration, recognized or unrecognized, that
is m a d e possible by the different development
levels of the industries concerned with the
popular music world. This opposition, of
course, is in no way an organized movement;
it simply occurs through the direction that the
musical creations take. In the case of Latin
America the greatest danger comes from the
plugging of music from the English-speaking
countries.
In its great variety the nueva canción
covers every aspect of popular music and
cannot be defined simply in terms of its formal
aspects. It exists as dance music, as a vehicle
for lyrics; it can come close to classical forms,
it documents current situations; it can be a
rousing march, have an intimist quality or be
purely instrumental; it can adopt the jazz
idiom, and so on. It gathers up, therefore, all
the threads of the Latin musical tradition,
and invents n e w paths of development as well.
In countries where the nueva canción is
closer to folklore, it produces an enormous
increase in research and so contributes to the
rediscovery of. the roots of popular Latin
American culture. A s such it is a key factor
in the discovery of cultural identity and in
developing the awareness of the people. It is
one of the front-line positions in the defence
of Latin American culture, not only safe-
guarding the heritage retrieved from the past
but giving its future development a fertile
creative force.
[Translated from Spanish]
The nueva canción in Latin America
Selected recordings
A L C A L D E , Alfonso. Toda
Violeta Parra. Buenos Aires,
Ediciones de la Flor, 1974.
C A B R A L , Sergio. ABC do
Sergio Cabral, um desfile dos
craques da MPB. Rio de
Janeiro, Editora Codecri, 1979.
C L O U Z E T , Jean. La nouvelle
chanson chilienne. Paris,
Seghers, 1975.
LINARES, María Teresa. La
música popular, Havana,
Instituto del Libro, 1970.
Select bibliography
A M A U R Y . Egrem ID3580.
Havana.
B U A R Q U E , Chico. Philips 6349398.
Rio de Janeiro.
La canción, un arma
de la revolución.
Egrem L D A 3 4 6 4 . Havana.
D E M O R A E S , Vinícius. A arte
de Vinícius de Moraes.
Phonogram 6470580-81.
Rio de Janeiro.
INTIILLIMANI. Canto de pueblos
andinos. Zodiaco V P A 8227.
. Palimsesto.
E M I 3 C 064 64522. R o m e .
ISELLA, César. Juanito Laguna.
Philips 6347288. Buenos Aires.
J A R A , Víctor. El derecho
de vivir en paz.
Dicap 2 C 06281541. Paris.
M A N G U A R É . Razones para
cantar. Nueva Trova C U L P 8 .
Helsinki.
M A T U S , A d a and Osear.
Hombre canta. Chants
du M o n d e L D X 74499. Paris.
L U N A , Felix. Atahualpa
Yupanqui. Madrid, Ediciones
Júcar, 1974.
M A N N S , Patricio. Violeta Parra.
Madrid, Ediciones Júcar, 1977.
M E L L A C , Régine. Chants libres
d'Amérique Latine. Paris,
Les Éditions du Cerf, 1974.
PETIT D E M U R Â T , Ulyses.
Atahualpa Yupanqui, antología.
Barcelona, Organización
Editorial Novaro, 1973.
M I L A N Ê S , Pablo. Chants
du M o n d e . Paris.
Nova historia da música popular
brasileira. Abril Cultural.
São Paulo. [Over 40 records.]
P A R R A , Angel. Angel Parra
de Chile. Chants
du M o n d e LDX74611. Paris.
P A R R A , Isabel. Isabel Parra
canta a Violeta Parra.
Dicap 2 C 06492677. Paris.
P A R R A , Violeta. Le Chili
de Violeta Parra. Arion
ARN34222. Paris.
P U E B L A , Carlos, y sus
Tradicionales. Egrem L D A 3410.
Havana.
Q U I L A P A Y Ú N . Santa María
de ¡quique. E M I 2C 06814578.
Paris.
. Darle al otoño . . .
E M I 2 C 07072248. Paris.
Q U I N T E T O T I E M P O . Odeon 3335.
Buenos Aires.
R A M O S , U ñ a . Chants
du Monde LDX74609. Paris.
623
P I N A , Juan Andrés.
Violeta Parra,
21son los dolores. Santiago
de Chile, E d . Aconcagua, 1976.
P L A Z A , Galvarino. Víctor Jara.
Madrid, Ediciones Júcar, 1976.
R A M O S T I N H O R Á O , José.
Pequeña historia da música
popular (da modinha à canção
de protesto). Petrópolis,
Editora Vozes, 1978.
TeJADA G Ó M E Z , A r m a n d o .
Horacio Guarany. Madrid,
Ediciones Júcar, 1975.
R O D R Í G U E Z , Silvio. Días y
flores. Egrem. Havana.
. Te doy una canción.
Areito/Movie Play 170759-8.
Madrid.
S O S A , Mercedes. Cantata
sudamericana. Philips 6347080.
Paris.
. Chants de ma terre
et de mon peuple.
Philips 6347193. Paris.
V A N D R É , Geraldo.
S O M - M a i o r 3032001. São
Paulo.
VIGLIETTI, Daniel. Canciones
para mi América.
Chants du M o n d e L D X 7 4 3 6 2 .
Paris.
Y U P A N Q U I , Atahualpa. Campo
abierto. E M I - O d é o n 06080.
Paris.
. Soy libre, soy bueno.
Chants du M o n d e L D X 7 4 3 7 1 .
Paris.
. Duerme negrito. Chants
du M o n d e L D X 44394. Paris.
. Basta ya. Chants du
M o n d e LDX74457. Paris.
 CONTEXTS OF THE ART
The changing social structure
of music in India

O . P . Joshi

Music in India began as an integral part of which soon evolved into two notes raised—the
socio-religious life, as set out in the scriptures. higher and unudatta (unraised or lower). M u s i c
It had its place in sacred life for ritual pur- became more extended with the addition of
poses and to express devotion to G o d . O n the the third note, svarita or 'sounded' tone which
secular side Kama Sutra1 prescribed music as gradually formed the nucleus of the full octave
1
thefirstnecessity of the sixty-four arts to be the heptatonic scale of samveda the recitation
learnt by a person of high birth, to serve of which descended with a scale roughly ressem-
aesthetic satisfaction and entertainment. T h e bling the Greek Phrygian m o d e . T h e concept
attachment of music to sacred and secular of rag (melody) took definite shape b y the
3
phenomena influenced both the styles and the time of Matanga (fifth century A . D . ) . B y the
social structure of m u - fifteenth century a certain
sic in India. Music with degree of uniformity in
sacred and secular signifi- O . P. Joshi is Professor of Sociology Indian music h a d been
cance co-exists in various at M . L . V . Government College, Bhil- achieved. Today there are
wara 311001, India. H e has done field-
classical, folk and popu- work among artists in India and Cze- two broadly similar sys-
lar styles. Contemporary choslovakia and has published Painted tems of music—Hindus-
Indian music has adopted Folklore and Folklore Painters of India tani (northern) a n d K a r -
m a n y n e w trends and (1976) and The Artist in Indian Society nataka (southern). These
(1981), and is currently preparing a
instruments particularly book on mass culture. have similar f u n d a m e n -
from the West, and its tals but are considered
classical, folk and tra- dialectically different.
ditional idioms are being Indian music is es-
exported. This creative sentially melodic: sounds
contact with harmonic follow one another ex-
and popular music has pressing an emotional
given a n e w impetus and state in an aesthetic unity.
wide horizons free of the traditionally closed The melody is k n o w n as rag, that is, a rise
forms of melodic Indian music. The resulting and fall of sound with a certain rhythm and
radical changes in musical phenomena will emotional appeal or m o o d expressed in any
be discussed in this article. particular rag sung at a particular time. In
performance, artists expand, embellish a n d
improvise u p o n the nucleul rag.
Classical music The closed forms of Indian music k n o w n
as the dhruvapada or dhrupad are defined in
Religious music in the earliest Vedic times the ancient texts as songs in praise of gods and
was based o n just o n e note, udatta (raised) kings. Gradually, the kings prevailed and the
626 O. P. Joshi

gods were praised in the deshi (regional) style pleasing. Indian music seemed repetitive and
(Mukerjee, 1948, p. 150). Out of contact with it was hard to tell when it started and when
Arabic-Persian music a style k n o w n as kheyal it ended. But contact with Indian music
(idea or imagination) came into existence. widened with the increasing number of visits
It is more free, imaginative, elaborate and of artists to Western countries. Indian m u -
romantic, compositions being highly orna- sicians participated at Commonwealth festi-
mental, lacy and delicate. Besides these, vals, Unesco celebrations, Bath festivals and
thumari and tappa in the north and tilana in other international manifestations. T h e per-
the south are other important styles. W h e n formance of duets by Yehudi Menuhin and
dhrupad and kheyal became vocal gymnastics, Ravi Shankar at the H u m a n Rights D a y
thumari emerged as a protest. Thumari creates concert at the United Nations, has become the
an atmosphere of romance describing the joy symbol of the meeting of music of East and
of union, the pangs of separation, the uncer- West. T h e performance of Indian music and
tainty of anticipation and nostalgia. Tappa, face-to-face contact between musicians and
the songs of camel-drivers of the north-west audiences encouraged Indian musicians to
acquired a place in the classical tradition after learn their taste. Indian music reached the
refinement. Tarana is based on 'nonsense' United States in the 1960s. American audi-
(not meaningful) syllables woven into a rhyth- ences slowly took an interest in Indian music
mic pattern in a rag and performed in a fast and certain enthusiastic young m e n and
t e m p o . Recently gazai, a Persian style of folk- w o m e n even went to India to try to learn
music has become very popular, on account music and dance, but it is so time-consuming,
of the beauty of its meaning and spectacular that most of them returned h o m e before they
presentation. Audiences for gazal concerts could acquire a sufficient grasp of it. There
have become very large and faithful. are n o w a few Indian music-and-dance
teachers w h o have started small schools in
American and European cities.
Contact with the West The popularity of Indian music and in-
struments reached a n e w high when the
Indian classical music came into contact with Beatles adopted the sitar and Indian styles.
the West through the visits of Indian maestros George Harrison learned the sitar especially
to Europe. In the 1920s, Udai Shankar, a for the Beatles group music, but slowly en-
painter turned musician, and the elder brother thusiasm for Indian music in the West de-
of Ravi Shankar, introduced Indian instru- clined to its original level. Shankar (1968,
ments, specially small drums (tabla) through p. 93) writes:
his dance productions on the Western stage.
His troupe included musicians w h o played Many people these days think that Indian music
on the sarod, tabla and sitar. This was the is influencing pop music to a high degree. But m y
personal opinion is that it is just the sound of the
time of a breakthrough in the confluence of
sitar and not the true Indian music that one finds
melodic and harmonic music. Western m u - in pop music.
sicians like Georges Enesco, Yehudi Menuhin
and Andres Segovia came in contact with In the 1960s Indian music, along with mari-
Indian music and musicians, while the latter juana and yoga, became symbols of youth
heard great masters like Toscanini, Pade- culture a m o n g hippies and the young in the
rewski, Casals, Heifetz and Kreisler. M a n y West as well as in India. M a n y emerging
European recordings were brought back by gurus, swamis (ascetics) and bhagwans (gods),
Indian musicians from abroad. also helped the spread of Indian music,
Thefirstreaction of European audiences accompanied by an interest also in Indian
to Indian music w a s that it was monotonous handicrafts and art.
and grating: it went on and on and was not Though Indian music has been influenced
The changing social structure of music in India
T w o traditional dholis (drummers) from a Punjab village. S . N . A .
by Western music at the popular level, the
classical m o d e has been retained and revived
in its pure forms over time. The new gener-
ation of educated Indian musicians deepened
their understanding and lent sophistication
to their styles in accordance with modern
trends, but they maintained the mastery of
traditional music. This generation is aware
of world trends in music as well as of Western
enthusiasm for Indian music, but has avoided
the rapid hybridization of Indian music by
adopting all sorts of trends without m u c h
thought. Mallikarjun Mansur, Hirabai Bado-
dekar, Pt Jasraj, Kisori A m o n k a r , K u m a r
Gandharvas, Bhimsen Joshi and the Dagar
Brothers, amongst the celebrated vocalists,
and Ali Akbar K h a n , Vilayat K h a n , A h m e d
Ali K h a n and Bismillah K h a n , among the
best-known instrumentalists, are some of
those w h o have not only kept the tradition
627
alive as performers but also m a d e classical
music popular.
Certain Western instruments have been
adopted by Indian musicians; the violin in
particular has become an indispensable and
integral part of Karnatada music. During the
British Raj the native courts disappeared or
disintegrated, and musical events, which
used to take place in the courts of zamindars
and nobles and in the homes of merchant
princes and wealthy persons, became things
of the past. The revival of interest in classical
music was strengthened by the emergence
of a new educated middle class in the urban
areas. Organizations for the development of
music were founded and a few music col-
leges were established by Pandit Bhatkhande
and Paluskar in the 1930s. T h e middle
classes—graduates, government officials, law-
yers, teachers, doctors, engineers, young
628 O. P. Joshi

industrialists and rich merchants—started against in-laws, and expressions of love for
taking an interest in the revival of traditional husbands are amongst the themes of folk
music. A knowledge of music and dance songs.
increased the prospects of marriage for a Folk epics are sung by traditional artists.
middle-class girl to a husband from a higher In Rajasthan a group of two travelling singers
class. present them against a backdrop of a large
painting in glowing colours depicting the
incidents of the epic by singing and dancing
Folk-music and playing on stringed instruments. The folk-
singer is a protean figure of minor cultural
Folk-music continued toflourishundisturbed forms.6
by political changes, since it is patronized by The group hymn-singing k n o w n as
the masses rather than the élites. Folk m u - bhajans is popular all over the country,
sicians enjoy the support of castes, c o m - including the large cities, as an expression of
munities, religious establishments and the devotion. It is informally organized on temple
general public. premises, street corners, or in privates homes
Indian classical music arose out of both and halls. Singer (1975, p. 174) reports that
folk and religious music, developing its classi- there are nearly a hundred such groups in
cal m o d e in response to the interests of the Madras city alone. Well-to-do families or
"upper classes. Folk-music remained in con- singing groups keep a few instruments for
tinuous contact with classical and popular devotional music. A bhajan group has five
music in a perennial give-and-take relation- tofifteenmale members. W o m e n w h o attend
ship. Lyricists and composers of folk-music the performance m a y also join the singing
are generally anonymous and it is sung to but they hardly ever form part of the
simple melodies, accompanied by simple in- group.
struments, including stringed instruments,
large and small flutes, easily portable drums
and m a n y kinds of bells, gongs, little cymbals Popular music
and other accompanying instruments.
Folk-music has close connections with Popular music in India is synonymous with
day-to-day social life, the content being more film music. It is that element of mass culture
important than the form. A variety of themes which is listened to and sung by the largest
are treated: praise of nature, the seasons, number of people, particularly the young. It
sowing, reaping, child-birth, marriage, etc., is played on juke boxes, radio and cassette
sung by both m e n and w o m e n . Love songs players. Hit songs succeed each other in
express happiness in union, the sorrow of popularity; helped by the publicity and popu-
separation, hope and expectation. A love song larity of films. Songs from Hindi films have
from Assam runs: become popular all over the country breaking
the dialect barriers. Sometimes it is the
I shall be a swan and swim in your tank; emotions, or the quality of the voice, at other
I shall be a pigeon and sit on your roof; times the tune that accounts for their popu-
I shall be perspiration and enter your body;
I shall be aflyand kiss your cheek.4 larity. Film music is equally popular in rural
and urban areas, and has become big business
M a n y folk-songs have been recorded on the which engages song-writers, music directors,
sound-tracks of feature films which have singers and accompanists. T h efirstsong was
given them mass popularity. A lovely lady recorded in India in 1902, sung by Gaura Jan
sends a message through birds, gets infor- in B o m b a y ; thefirstsound film, Alam Ara,
mation about the arrival of her lover through was released on 4 March 1931 in B o m b a y :
a crow; requests for ornaments, complaints its hallmark was its music. The songs in such
The changing social structure of music in India
T w o instrumentalists in traditional dress with a large pipe and a drum from Sikkim. S . N . A .
early films were sung by the actors and
actresses themselves, in the theatrical style;
play-back singing started in 1933. Songs were
thought to be the base of films in the 1930s.
Forty-two songs were included in the film
Shiri Farhad (a love story). Around the 1950s,
light classical songs entered the films, the
Second World W a r having enlarged contacts
with the West, introducing n e w instruments
as well as Western styles of music. But u p
to 1948, the classical and folk styles domi-
nated the musical scene. After 1960, Indian
film music developed very fast and adopted
m a n y Western trends. T w o instrumentalists
sufficed for afilm-musicrecording in the 1940s;
later the number of instrumentalists grew to
over a hundred. Recently, 200 instrumentalists
worked as accompanists to record a chorus for
the film Chela Babu. Pop music with hard and
soft rock established itself infilms.Film music
629
has become a distinct category, which remains
to be studied systematically.
Despite the popularity of film music there
are n o recognized schools for teaching it.
Disco music has become a modern craze. Ten
songs by Biddu and Nazia Hassan in disco
style sold 100,000 records on thefirstday,
thus establishing a record. Film music is
governed and controlled by music directors
w h o have a practical knowledge of popular
taste and a working knowledge of the orchestra
sufficient to meet the special requirements of
performing quickly and authoritatively. S o m e -
times musicians of the classical tradition are
also invited to perform film music by the
directors of n e w experimental films, but the
audience for such music is limited. It is not
easy for a musician to enter the film-music
establishment, strongly protected by those
w h o are part of it.
630 O. P. Joshi

A brass band leads a marriage procession. Vandana studio, Bhiiwara.

Musicians content with local fame. Accompanists, young

students, hotel orchestras, and others are at
T h e social structure of musicians is pyra- the base of the music pyramid.
midical, with a few established masters at the Indian classical music is essentially de-
top. These masters are in great d e m a n d for signed for the soloist. T h e soloist regulates
national concerts and sometimes are also the accompaniment, determines movement,
invited abroad. Such musicians are econ- tempo and the beginning and end of per-
omically well-off and get publicity through formances. T h e profession of music has been
concerts, All-India Radio, records,filmsand hereditary, dominated by Muslim families in
newspapers. Next in the hierarchy are the northern India and by high-caste Hindus,
emerging musicians w h o , with the encourage- usually Brahmins, in southern India and
ment and support of their friends and teachers, Bengal.*
try to attain a place in the world of music T h e lineage of a master musician gave
through their performances. Third are those rise to ghanaras7 distinctive musical styles
musicians w h o either have no aspirations or which c a m e into existence based on the
opportunities to achieve greatness, and remain three relationships of descent, learning and
The changing social structure of music in India 631

A Pandit and his accompanying tabla player giving a lesson in vocal music to his young disciple at a music
school before the portrait of Sarswati, the goddess offinearts and knowledge. Murii Manohar.

affinal kinship. Hindu maestros, usually non-
hereditary musicians, are Brahmins and are
k n o w n as panditji—learned m e n or gurus.
The social structure of music is created
by the successful and the unsuccessful, the
recognized and the amateur, creative and
non-creative artists. T h e strict division of
society under the caste system, where rules
"of interaction and conduct govern the devel-
opment and growth of each individual from
birth to death have influenced music. There
are m a n y professional castes w h o specialize
in music. A drummer and a piper are at-
tached to every village and every family
(Jajmans—patrons) to serve them on the
occasions of village festivities and family
rituals and ceremonies. Public entertainers,
singer-beggars and accompanists of dancing
girls originate from castes such as dholi,
sargara, mirasi, kanjar, dom, fakir, daphali
and pirana. Travelling musicians are a living
tradition in India, moving about from c o m -
munity to community to serve each.
All castes patronize their bard-musicians
k n o w n as Bhots. They sing songs in praise of
their patrons. In Rajasthan even dholis (drum-
mers) a singer caste for other castes, also have
a subservient caste k n o w n as dhanmanga
which sings for them. Similarly, damamis sing
for rajputs and phadalis sing for kunjra
(butchers). S o m e of the castes like langa—a
Muslim agriculturist caste and part-time m u -
632
sicians of the western Rajasthan desert—have
taken to music as their profession recently,
due to their popularity in urban centres
(Lalas, 1962, p . 77).
In the social structure of music, vocalists
have higher status than instrumentalists and
accompanists occupy the lowest level. Players
on sarangi and tabla are essential accompanists
k n o w n as sarangias and tablias, traditionally
associated with dancing and singing girls and
brothels; because of this association there is
stigma attached to them.
Recruitment training
and professionalism
Musicians are recruited from a variety of
social groups, i.e., from hereditary castes of
musicians, amongst Hindus and Muslims,
from families of musical specialists and from
matrilineages of courtisans. Musicians orig-
inate from both high and low castes, from
Brahmins to untouchables. M a n y of today's
master musicians got their initial training
from relatives and later went on to famous
maestros for advanced courses. N o w a d a y s
schools, colleges and universities provide gen-
eral training in music, but advanced training is
still available only through the relationship of
guru-shisya (teacher-pupil). T h e best m u -
sicians attract the best students. Learning is
based o n copying: the pupil initially learns
the basic principles of singing and playing
on instruments by listening to the teacher
with the utmost care. The pupil is identified
by the identity of his teacher w h o , in turn is
identified by the identity of his teacher, thus
forming a chain of teacher-pupil heritage.
The teacher acculturates the disciple into
musical life. N e u m a n (1980, p . 50) observes:
' H e transmits two elements, neither of which
is available through any other m e d i u m of
instruction: a body of knowledge which is
both secret and esoteric and the w a y a m u -
sician leads his life.' Ideally, a disciple never
pays tuition fees, but presents in cash and
kind are offered on birthdays, festivals and
ritual occasions.
O. P. Joshi
In recent years m a n y youngsters of the
middle and upper classes have started learning
music as a hobby at recently founded music-
and-dance schools. They adopt popular m u -
sic quickly and attain the status of 'college
singer'. Musicians believe that students seek
quick success, are not serious about music
and are attracted to Western music and in-
struments; this process, however, has helped
to swell the public's interest in music.
Successful entry to the musical estab-
lishment of India is difficult. First, the young
artist must satisfy his guru, and the musicians
of his school; if they approve, he enters into
the world, where he needs assistance from
accompanists, help from friends and en-
couragement from connoisseurs. Economic
success m a y take years to attain in the music
world.
Musicians earn their livelihood in dif-
ferent ways. M a n y are employed in univer-
sities, colleges and schools as music teachers.
Musicians of repute and those emerging m a y
try their luck in B o m b a y , the film city, to
reach for mass popularity. All-India Radio
employs nearly 10,000 musicians as staff or
casual artists at its different studios. S o m e
work as orchestra musicians, concert m u -
sicians, composers and free lances. Folk m u -
sicians are patronized by temples, villages and
different castes under the traditional jajmani*
system. M o d e r n hotels and other organ-
izations including commercial establishments
invite popular musicians, also from abroad.
A variety of organizations in large cities
sponsor musical events. Success in concert
tours abroad by eminent artists has encour-
aged m a n y other musicians to free-lance in
Europe and North America. T h e 'returnee
from abroad' has become a notable symbol
of success and a factor of prestige. But only
a few dozen musicians survive on art-music
performances, while thousands have to seek
some other form of livelihood.
A s a profession for w o m e n , music has
recently gained m u c h status. A t the beginning
of the twentieth century professional w o m e n
singers still bore the stigma of the public
entertainer and the prostitute. But play-back
The changing social structure of music in India
A famous maestro unfolds a rag with an alap while singing dhrupad. Accompaniments from left are on
tabla, pakhawaj, tanpuras and sarangi. S . N . A .
singing in films and the revival of music as
an element of nationalism provided a re-
spectable opportunity for w o m e n to re-enter
the world of music. M a n y great w o m e n
singers and instrumentalists have made their
mark in the- last few decades. The melody
queen, S. M . Subbulakshmi, has recently
been honoured by Unesco; Lata Mangeshkar
has m a d e history by performing over
30,000 songs in the last thirty years of her
film career. Singing by groups of w o m e n at
festivities is c o m m o n , though as accompanists
m e n dominate. A m o n g the humble labouring
classes, singing is one of the chief reliefs from
the monotony of a hard day's toil. A w o m a n
m a y teach music and dance and she m a y
have disciples, but can never rise to the
status of a guru.
633
Brass bands
and orchestras
The brass band, introduced by the British,
has become most popular for family and
social festivities. Betweenfiftyand a hundred
brass bands m a y be found in a city of a
million, serving the city and surrounding
towns and villages. The leader of a band
maintains an office or home-cum-office, where
he keeps musical instruments he owns as well
as the costumes of those w h o lead the pro-
cessions. Except for the band leader, the other
members are part-time musicians and are
hired on a contractual basis by the leader. T h e
musicians in these popular bands are often
migrants from rural areas w h o m a y work in
factories, etc. Brass bands provide jobs for a
large number of people of traditional m u -
sician castes.
The prestige of a brass band depends on
the number of instrumentalists, the quality
634
of costumes and the quality of popular tunes.
Vocalists with bands, w h o sing from a mobile
van fitted with a microphone, have become
c o m m o n . Y o u n g boys, and sometimes girls
too, m a k e disco music with bands in pro-
cessions, arousing criticism a m o n g the older
generation. Brass bands are symbols of pres-
tige and a means of enhancing the status of
families w h o engage them. N o creativity being
expected from brass bands they are outside
the realm of art music.
A good Indian musician uses minimal
instruments for a melody and believes that if
a rag can be performed with just a single
instrument there is no need for any more
elaborate orchestration. But with the rise of
a variety of life-styles and dynamism in music
culture a n e w orchestra was introduced at
All-India Radio in the 1950s for which Walter
Kaulfman composed six rags using Indian
as well as Western instruments. This first
radio orchestra composed of twenty-eight
musicians, including stringed instruments and
percussion was established in 1952 by Ravi
Shankar and T . K . Jaya R a m Ayyar w h o
had the courage to experiment with tra-
ditionally oriented musicians and developed
the orchestra to a considerable degree of
proficiency. Though the orchestra has become
a regular feature on radio a m o n g the wider
public only film orchestra music is really
popular.
Audiences
Indian music has succeeded in maintaining its
traditions throughout its long history and
spread beyond its original cultural bound-
aries. Important musical events used to be
held mostly under private patronage, but
since the era of the mass media a n e w mass
audience for music emerged. This mass audi-
ence has secularized performances. Formerly
a performing musician ideally engaged in a
sacred activity and addressed G o d ; n o w he
addresses other people—the audience. T h e
music profession has become respectable:
mass popularity has drawn musicians out of
O. P. Josh
courtly isolation into the hurried and c o m -
petitive world.
The listening public is heterogenous in
character and taste. A t a large concert or-
ganized in a public hall, theatre or under
pandáis,9 for which entry tickets are sold, the
audience m a y be composed of connoisseurs,
admirers of the artists, relatives of the organ-
izers, music students, other musicians and
new entrants to musical culture. The m u -
sicians have also come to understand the
nature of their public and adjust their per-
formance to suit its taste. T h e connoisseurs
occupy front seats on chairs or rugs and the
rest sit behind them. Usually, a concert begins
at 9 p . m . ; by 11 p . m . the musically unsoph-
isticated a m o n g the audience mostly leave the
hall. Then a good rapport will be established
so that the performers can demonstrate their
competence to the connoisseurs until the next
morning, if there is sufficient enthusiasm.
Small gatherings at private homes k n o w n
as mehafils form another type of audience of
connoisseurs only, other musicians or all m u -
sicians and friends. Such gatherings are artis-
tically profitable to performers and help to
make their reputation a m o n g music lovers.
Audiences for popular music are more
active, energetic and larger, composed of m e m -
bers of the n e w generation. They are some-
times unruly in their behaviour and appreci-
ation, which creates problems of law and order.
The music industry
and mass audiences
Four important agencies, record and cassette
players, films, radio and television, and music
academies, have lately had m u c h influence
on Indian music. These have rescued and
brought to light m a n y an obscure musician.
Radio created interest in music a m o n g chil-
dren and w o m e n and facilitated the develop-
ment of a sense of comparative judgement.
From the 1930s onward radio stations pro-
vided opportunities for musicians to con-
tact the masses; the transistor revolution en-
larged the radio audience further. There are
The changing social structure of music in India 635

Pandit Bhim Sen Joshi, one of the most eminent Indian vocalists. S.N.A.

nearly 25 million radio sets and eighty-four T A B L E 1. Production of music on records

(1979) broadcasting stations in India. All- in India in 1979
India Radio (AIR) broadcast music for
139,380 hours in 1979, which constituted Type of N o . of discs
38 per cent of total broadcasting time. O f music produced
this, 34.3 per cent was devoted to classical
music, 22.1 per cent to light music, 17.3 per
cent to film music, 12.4 per cent to devotional Film songs 794
music, 9.5 per cent to folk-music and 4.4 per Film tunes 14
Devotional songs 169
cent to Western music. Table 1 shows the Folk songs 56
breakdown by categories of recordings. Classical (vocal) 18
Musicians take pride in calling them- Classical (instrumental) 13
selves radio artists. T h e expansion of tele- Popular compositions 83
vision, still limited to a few large cities, is Western music —
likely to give m u c h encouragement to m u - Others 68
sicians as well as to satisfy musical needs
amongst the masses. TOTAL 1,215
636 O. P. Joshi

T h e Indianfilmindustry, n o w the second North India. H e observed that though a craze

largest in the world, has enlarged oppor- for virtuoso performance, brilliant techniques
tunities for musicians and encouraged special- and novelties especially n e w rags, was emerg-
ization and the division of labour. T h e ing, rags remained fundamental and Western
n u m b e r of films produced rose from 219 compromises were never accepted in art
in 1951 to 714 in 1979. Indianfilmsare music.
exported to ninety countries. According to D e v a (1973) contended that the responses
one estimate nearly 30,000 artists are engaged of musically trained and untrained persons
in thefilmand broadcasting industry. A single were very m u c h on the same lines as the
recording company monopolizes record pro- m o o d s traditionally attributed to the rags.
duction and it is putting out about 300 long- A n interesting study by N e u m a n (1980,
playing discs on average each year. T h e p. 235) concerns the relationship between a
appearance of a musician on disc enhances people and their music. H e analysed the
his status, only successful musicians being cultural structure, social organization and
commercially recorded. Certain shops sell adaptive strategies of musicians,findingthat:
discs and tape cassettes for h o m e music in
every urban centre, and there is also an In the proliferation of new occupational and
increasing demand for recorded Indian music performance roles, innovation in training and
in Western countries, particularly of the expanded rules of recruitment, in the diversifi-
instrumental variety. cation of listening public and patron and the
changed role relations and social identities of
Central and state governments have musicians, the social organization of musical
established academies of music, dance and tradition can indeed be said to have changed.
drama to encourage artists, music organ-
izations and research in the performing arts. H e concludes that while these changes might
A w a r d s and fellowships to eminent maestros appear radical, seen from within they appear
bestow recognition to them, but the credits to be logical extensions of the cultural struc-
allotted to the academies are quite meagre. ture of Indian civilization.
They need to be consolidated by providing A few musical journals are published, in
adequate support and branches at the dis- regional languages, which sometimes put out
trict level. special numbers on classical, folk and film
music. Sangeet ('Music') published in Hindi
from Hathras is one of the regular well-
Sociological studies received monthlies in northern India. S o m e
of the music academies also publish journals
Only a few sociological studies on Indian m u - but their readership is small. In general, all
sic have been conducted. D . P . Mukerjee, an popular journals include a few articles on
eminent sociologist and a connoisseur of m u - music every year.
sic and art, was thefirstto analyse the Indian There is vast scope for sociological re-
musical scene in 1947 in his article 'Soci- search on Indian musical phenomena es-
ology of M o d e r n Indian Music'. H e observed peciallyfilmmusic, contemporary folk-music,
two tendencies, the revivalist and the creative, art music, their creators, performers and
as a result of the impact of economic forces consumers. A n intensive study of the musical
upon Indian traditions. structure of B o m b a y , which is the melting pot
T h e Dutch anthropologist V a n Der M e e r and diffusing centre of all Indian music could
(1980, p. 191), studied the classical music of yield interesting results.
The changing social structure of music in India
Notes
1. Kama Sutra by Vatsayan
(around the seventh century)
is a systematic treatise o n the
art of love.
2. Samveda (1000-600 B . C . )
is one of the four vedas
dealing with Hindu
philosophy and rituals
3. Matanga wrote his treatise
on regional music, entitled
Brihaddeshi, in thefifthcentury.
The treatise deals with regional
music and dance. It varies
from region to region and
is performed as the people
please, and that which charms
the heart is called desi (secular).
4. Quoted from D . Satyarthi's
collection Meet My People,
English translation and text,
p. 5, Hyderabad, Chetna
Publishers, 1951.
References
D A N I E L O U , Alain. 1974.
The Situation of Music
and Musicians in Countries
of the Orient. Florence,
Leo S. Olschki/International
Music Council.
D E S H P A N D E , V a m a n R a o H . 1973.
Indian Music Traditions:
An Aesthetic Study
of the Gharanas in Hindustani
Music. B o m b a y , Popular
Prakashan.
D E V A , B . Chaitanya. 1973.
An Introduction to Indian
Music. N e w Delhi,
Publications Division.
I M A M , Hakim M o h a m m a d
Karam (translated by
Govind Vidyarthi), 1959:
'Effects of Ragas and
Mannerism in Singing',
Bulletin, Sangeet Natak Akademi.
5. See O . P . Joshi's study
of folk epic singers in Painted
Folklore and Folklore Painters
of India, Delhi,
Concept Publishing C o .
6. Daniel N e u m a n in his study
of Delhi musicians found
that out of seventy-five
musicians, there were forty-three
of Muslim castes, thirty Hindus,
one Sikh and one Christian.
Of the Muslim musicians
74.4 per cent belonged to
the mirasi caste; 50 per cent
of the Hindu musicians were
Brahmins. A m o n g the vocalists
and string instrumentalists,
Brahmin musicians were in
the majority while drummers
and bow players belonged to
the Muslim mirasi caste.
A m o n g Muslims, kalawant and
mirasi castes dominated the
JOSHI, O . P . 1976. Painted
Folklore and Folklore Painters
of India, p. 31. Delhi, Concept
Publishing C o .
L A L A S , Sitaram. 1962. Sangeet
(Hathras, Sangeet Karyalay),
January. (In Hindi.)
M A R I A M , Alan P . 1964. 1975.
Anthropology of Music.
Evanston, 111., North Eastern
University Press.
M A R R I O T T , M . 1955. Village
India, pp. 21, 56. Chicago,
Chicago University.
M E E R , W . V a n Der. 1980.
Hindustani Music
in the 20th Century. N e w Delhi,
Allied Publishers.
M U K E R J E E , C . P . 1948.
Sociology of Indian Culture.
Jaipur, Rawat Publications.
637
musical scene. Kalawant s
specialized in vocal music
while mirasis were
instrumentalists.
7. There are today four major
schools of Kheyal, the style
popularly k n o w n as gharana
(which literally means 'house'
or 'family'), these being Gwalior,
Agra, Jaipur-Atroli and
Kirana.
8. Jajmani is the traditional
relationship between patron
and serving castes. The right
to serve a family is treated
as an inheritance and divisible
right.
9. Pandal is a tent of colourful
cloth with onlyfloorseating
for the audience.
N E U M A N , Daniel M . 1980.
The Life of Music in North India.
N e w Delhi, M a n o h a r Publishers.
P O P L E Y , Herbert, 1971.
The Music of India, 4th ed.
N e w York, Oxford University
Press.
S A T Y A R T H I , D . 1951. Meet
My People. Hyderabad,
Chetna Publishers.
S H A N K A R , Ravi, 1968.
My Music, My Life.
N e w Delhi, Vikas Publications.
S I N G E R , Milton, 1975. 'The
Great Tradition in a
Metropolitan Center: Madras',
Traditional India. Jaipur,
Rawat Publications.
. 1980. Indian Reference
Annual. N e w Delhi, Publication
Division, Government of India.
 CONTEXTS OF THE ART
Interaction through music:
the dynamics of music-making
in African societies

J. H . Kwabena Nketia

It is becoming increasingly recognized that music are present in varying degrees in m a n y

the formal structures cultivated in music are African societies.1 Particular stress seems to
guided not only by the primary functions of be laid, however, on the social dimension and
music as a m o d e of communication, but also more especially, on the interactional approach
by h o w music comes to be viewed in each to the organization and use of music. Hence,
society in relation to artistic, philosophical as in other cultures that emphasize the social
and social values, and the forms of musical dimension, the institutional arrangement for
life that support it. W h e r e music is viewed music-making makes it a part of different
soley as a source of aesthetic pleasure, e m - spheres of individual and organized social
phasis is laid on its artistic dimension or its life.
development as afineart T h e domestic sphere,
that explores sonic m a - for example, provides av-
terials and poetry for J. H . Kwabena Nketia, former director
of the Institute of African Studies,
enues for the singing of
their o w n sake, while University of G h a n a , is currently pro- pounding - and - grinding
continually expanding its fessor of music at the University of songs, or cradle songs
range of artistic values. California, Los Angeles. H e is the through which mothers
W h e n it is viewed from author of several articles and books on interact not only with
African music and culture, including
a largely philosophical Funeral Dirges of the Akan People, their babies, but also with
point of view, however, it Drumming in Akan Communities of others in the environ-
m a y lead to the culti- Ghana, Music Dance and Drama, African ment as they reflect in-
vation of contemplative Music in Ghana and The Music ofAfrica. dividually on their mar-
music that lays emphasis H e has been the recipient of a number
of awards.
riage or their relations
on symbolic meanings, or with kinsmen and others.
the selective use of sound Similarly the economic
materials believed to ex- sphere encourages the
cite appropriate spiritual creation of music for the
emotions, create harmony with the cosmos or activities of occupational groups such as
bridges to the supernatural. O n the other hand traders, cattle-herders, bird-trappers, fisher-
where the primary consideration is on the m e n , hunters, craft guilds and co-operative
social dimension or the processes of interac- workgroups, or the performance of c o m m u n a l
tion through music, emphasis m a y be laid on projects such as clearing bush paths, building
structures that facilitate role assumption and bridges or launching canoes. T h e need for
identification, directness of communication generating. social feeling which strengthens
and immediacy of response. social cohesion encourages the formation of
The ethnographic evidence on the music music-and-dance clubs of youths or adults
of Africa shows that all three approaches to w h o specialize in recreational musical types,
640 J. H. Kwabena Nketia

while songs are incorporated into story-telling and group needs that emerge from it, for
and games. 2 it will be evident from the foregoing that
O n the same basis, the requirements of although music is greatly enjoyed in African
religious life create the need for the special societies, it is not an activity associated only
music of the gods, or music for different ac- with institutions of leisure. It permeates all
tivities of worship as well as music for special fields of social action in which interpersonal
rituals and séances connected with individ- relations and roles have to be acted out,
uals' mental and spiritual well-being. Hence affirmed or re-defined, or occasions on which
music is given a particular place in therapy spontaneous interaction is encouraged. Hence
either in its o w n right or as an extension of it m a y take place in the h o m e or at the shrine,
symbolic actions designed for the achievement or at locations open to the public such as the
of self-realization. A m o n g certain societies in street corner, a c o m p o u n d adjacent to a
Zambia, one way of curing someone suspected homestead, a chief's palace, market-place or
to be mentally ill, or believed to be possessed dance plaza—in other words, wherever inter-
by a spirit, is to m a k e h i m sing as m a n y songs action takes place in the social process—be-
as possible while specialists listen for the right tween mother and child, a m o n g children or
clues as to the source of the affliction. If the other peer groups, a m o n g kinsmen, members
singing does not lead to a state of tranquillity, of associations or the community as a whole.
appropriate rituals are performed and the
musical activity is intensified. This procedure
is also used to some extent for establish- Performer-audience
ing lines of succession of royal musicians relationship
(ingomba) when it becomes clear that a per-
son's state of illness can be attributed to a A s in other cultures there is scope in tra-
departed musician.3 ditional African societies for making music
T h e need for strengthening the bonds privately or even in seclusion, especially with
that bind units of social organization is met, personal instruments such as the mbira (hand
a m o n g other things, through music and dance. piano) often played by a musician as he walks
Special categories of songs and d r u m texts along a lonely path, flutes (played by indi-
are created through which the identity of vidual herders), stringed instruments such as
individuals and groups m a y be expressed, the musical b o w , plucked lute, zithers and
while the institution of chieftainship encour- lyres which can be played indoors or in one's
ages the recruitment and training of royal compound. However, because of the general
musicians and the creation of historical songs cultural focus on interaction through music,
that legitimize the position of rulers, or heroic m u c h m o r e emphasis tends to be laid o n
songs that extol the ideals of society. A c - open performances, whether by individuals or
tivities of c o m m o n concern to the community groups, for performers are always eager not
as a whole m a y be integrated with music, in only to share their music with others—as w e
particular activities organized for dealing with find in other cultures—but also to relate
crises such as an outbreak of war and for socially to the members of their community
festivals for the expression of community through their music. Hence a music-and-dance
sentiments. club or association will always perform in
This catalogue of music and events or locations where they can attract crowds of
social occasions could be greatly multiplied spectators from the community, for the success
and elaborated with specific examples from of an occasion of performance m a y be judged,
different societies without adding significantly among other things, by the size of the at-
to the general ethnographic picture of musical tendance and the extent of interaction oc-
life or the predilection to use music for achiev- casioned by it.
ing societal goals or for meeting individual O n the same basis a religious group that
Interaction through music: the dynamics of music-making in African societies 641

Playing royal drums in a procession. Kwasi Ándoh.

performs private rituals accompanied by m u - etiquette associated with such dances avail
sic m a y also stage public performances of themselves of the opportunity. For example
music and dance so that other people m a y a m o n g the A k a n of G h a n a , c o m m o n people
come and see them. This is because in some w h o are courageous enough to dance to the
societies religious music and dance are held royal drum ensembles must always observe the
in high regard for their expressive and dra- courtesies that drummers expect of them—in
matic qualities. Associations like warrior the way they comport themselves, the way the
groups and occupational groups such as wear their cloths and the reward they give to
hunters m a y similarly organize public per- the drummers. The tradition requires that, in
formances whenever they have their annual deference to the king, all commoners dance
celebrations or special activities. O n the same barefoot, with their cloths stripped d o w n so
basis in some societies even court music is that their shoulders are bare. Only the king
not designed as something that m a y only be and noblemen keep their sandals on and wear
4
performed privately for the enjoyment of the their cloths in the normal way while dancing.
king and his courtiers, but also as something O n all public occasions, therefore, one
to be performed and shared on ceremonial can observe different levels of participation in
occasions with the wider community. While musical events. A m o n g those directly respon-
certain dances or dance movements m a y be sible for the occasion will be found an inner
reserved for the king, active participation in core of people w h o keep the musical event
other dances by the servants of the court and going. This inner core (often an ensemble) is
others is allowed, though only those w h o always the most active and the most engrossed
k n o w the dance routine and the customs and in the music itself. Their behaviour and the
642
musical responses they m a k e to one another
or to those present as they perform always
appear intense or animated, except where
custom prescribes the use of subtle m o v e -
ments for expressing intensity of feeling. W h a t -
ever the form it takes, this animation or
intensity of feeling is always communicated
overtly.
Around this inner core will be found
those whose participation and responses are
moderate, but w h o are nevertheless involved
and interested in what goes on. S o m e of these
m a y be members of the group with no par-
ticular responsibilities other than joining in
the chorus or gracing the occasion because
they are the elders or patrons of the group.
The third group are those on the periph-
ery, and w h o constitute the audience proper.
These m a y c o m e to the performing arena out
of curiosity or because of their particular
interest in the performing group or their
music. Others m a y be drawn to it because
they are relations, neighbours or members of
the community. These generally stand around
to listen and watch in a fairly relaxed and
informal manner. Their focus of attention
m a y shift from time to time from the per-
formance to something else. They m a y even
engage in conversation or other activity ir-
relevant to the performance itself. Although
this group m a y be quite large—sometimes
m u c h larger than the performing group—it
is not always as close spatially to the source
of the music as others. They m a y hear very
well instruments of great intensity such as
drums, but those w h o are not close to the
performers m a y not always hear the songs
distinctly. Similarly if the music is provided
by some soft-sounding instrument, they m a y
not hear the tunes distinctly until they are
picked up by singers or dancers. Because of
such difficulties, the choice of modes of pres-
entation is often an important consideration
in music-making. Fluctuations of interest
caused byfluctuationsin the audibility of the
details of the music m a y be counteracted by
the activities of the dancing ring. Hence
during performances, performer-audience re-
lationships are established not only through
J. H. Kwabena Nketia
the sounds of the music, but also through the
movement of dancers and the mannerisms or
stylized behaviour of the performers. A s the
performance gets exciting, those w h o cannot
see the dance instinctively begin to draw
closer, pressing in on the performers and nar-
rowing the dancing space. Accordingly, some
performing groups appoint people to control
the crowd and push them back from time to
time as necessary.
Since a performing group usually special-
izes in a limited number of musical forms
—often just one or two musical types—those
w h o attend their performances have very
little else to expect. A s m a n y of them would
be familiar with the music, the satisfaction
they get lies not only in the renewal of musical
experience, but also in the interaction oc-
casioned by it. While the music is going on,
they can indicate their feelings about what
they hear and see at any given m o m e n t . In
some societies individuals can show their
appreciation by walking straight to the inner
core of musicians, or more specifically to the
master drummer or an individual dancer to
give him a gift. They can also identify them-
selves with the performing group by stepping
into the dancing ring at appropriate moments
to dance in appreciation of the music.
Because the presence of an audience as
well as what they do can influence the ani-
mation of a performance, the spontaneous
selection of items, the range of textual impro-
visation and other details of performance,
this stimulus to creativity or intensity of
expression is welcomed by performers and
sometimes sought for. Sometimes people talk
about a performance and any striking inci-
dents that took place in the course of it long
afterwards, for performer-audience relation-
ships are not just based on social bonds,
shared beliefs and shared values, but also on
shared knowledge and shared critical stan-
dards. These are activated or redefined on
occasions of music-making through estab-
lished modes of music communication, and
modes of presentation discussed subsequently.
Interaction through music: the dynamics of music-making in African societies 643

The b o w zither. Kwasi Andoh.

M o d e s of communication Similarly in certain African societies, some of

and interaction the games played by children involve making
ordered sequences of percussive sounds by
Communication in music has been defined hitting various parts of the body, slapping the
broadly as 'the impacts that music makes thighs and clapping the hands. Snapping the
upon any one or several senses of an individ- fingers or clicking the t h u m b and middle
ual receiver or group of receivers'.6 Such finger is used in place of the finger bell by
impacts can be m a d e through one or more of adults as percussive accompaniment to sing-
the following three channels: (a) the sonic ing, while cupping the hand and blowing into
materials and the structures in which they are it provides other sources of sound. The tech-
realized; (b) the verbal texts to which sonic niques of some regular instruments such as
materials are set; and (c) the dance through the gourd-stamping tube involve hitting them
which basic structures in music are articulated. against parts of the body—the outstretched
A s in m a n y cultures of the world, the palm, elbow and thigh—while some drums are
sound sources that the h u m a n body provides played not only by hitting the m e m b r a n e with
are exploited in African musical practice. In the hands, but also by thumping it with the
addition to the voice (which m a y be used not heels.
only for singing but also for imitating drums All these and other musical practices
and other sounds), percussive sounds gener- arise because of the great emphasis given to
ated by hand-clapping and foot-stamping are percussive sounds in the musical cultures of
used. In the latter case, bells or rattling de- m a n y African societies. Practically any sound
vices m a y be strapped to the legs or ankles. that can be organized or structured can be
644 /. H. Kwabena Nkeíla

used in a situation of work or leisure for lyres. Rattling or buzzing devices are attached
musical purposes w h e n there is a felt need forto m a n y of these tuned instruments or some-
interaction, for organizing effort, diverting times to the wrist of the performer, while
attention or releasing tension. W o m e n beat- percussive qualities are emphasized in the
ing the floor of a newly built house can techniques employed in playing m a n y of
organize the sounds in a musical manner by them. 6
structuring their strokes into regular rhythmic The emphasis on percussion is not due
patterns. In some societies w o m e n take their only to an awareness of the impact that
grain and grinding-stone to a central place percussive sounds m a k e o n the individual
where they can grind it in a concerted manner receptor, but also to the values attached to
with other w o m e n as they sing to divert such sounds. Considered in terms of the ratio
themselves. In work situations axe-heads, of noise to pitch, they are closest to the sounds
hoes, cutlasses, oars and so forth are treated of speech—the primary m o d e of oral c o m -
in a similar manner as sound sources for munication. Buzzers and rattling devices are,
music-making. therefore, added to tuned instruments so that
Other sources of percussive sounds are they can 'speak' more forcefully or distinctly,
provided by regular instruments cultivated as some traditional musicians put it. Indeed
for this purpose. They include rattles of vari- some societies refer to such devices as speech
ous types, such as container rattles, beaded devices. Hence, in symbolic terms, percussive
rattles, rod rattles and the sistrum, and var- sounds represent the 'vital force' of speech
ieties of scraped, stamped, struck and con- and a particular 'energy' source in music.
cussion idiophones, such as single and double Anyone w h o observes performances in a tra-
bells, percussion sticks or w o o d blocks, slit ditional African society cannot fail to notice
drums, pot drums, gourds struck with thin . the qualitative difference between a song
sticks, water drums (upturned calabash placed sung unaccompanied and the same song ac-
in a bowl of water and struck with a stick or companied by simple handclapping, idio-
the hand) and a wide variety of drums with phones or drums. The energy level of music
parchment heads. can be regulated by the presence or absence
In addition to these, African societies of percussion as well as by the density of
cultivate a wide variety of'tuned' or'melodic' percussive sounds. Energy levels in drum
instruments, such as the mbira (sansa or hand music can be increased or decreased according
piano) and the xylophone, horns m a d e out of to the n u m b e r of accompanying idiophones
elephant tusks, the horns of animals or conch such as bells and rattles, the number of
shells, or trumpets carved out of w o o d or supporting drums, or sometimes the employ-
built-in sections out of gourds or metal, flutes ment of more than one low-pitched drum.
and whistles carved out of w o o d or m a d e out In addition to considerations of energy
of materials with a natural bore such as level (which has a correlation with intensity
b a m b o o or cones cut out of gourds or ani- of interaction), particular musical instruments
mal horns. There are indigenous single-reed are selected and used because of their evoca-
instruments m a d e out of millet stalks as well tive power or affective presence, or their
as varieties of Arabic-type double-reed in- capacity to stimulate or heighten dramatic
struments in a few societies, and varieties of intensity. Horns, trumpets and sometimes
chordophones—musical bows (including the whistles are often approached in this manner.
earth b o w , mouth b o w and braced b o w ) , The presence of a particular god or spirit,
zithers of various types (such as the m o n o - the ancestors or even a paramount chief m a y
chord zither, raft zither,flat-barzither, board be signalled through these. In some societies
zither and trough zither). Other chordo- bells and rattles played intermittently are used
phones found in Africa include bowed and in similar contexts.
plucked lutes, harp lutes, arched harps and
S o m e instruments are used because of
Interaction through music: the dynamics of music-making in African societies 645

Ensemble of ivory horns. Kwasi Andoh.

their capacity for attracting undivided at- made them feel 'dreamy' or 'sleepy'. Others said
tention or enhancing concentration, contem- that the music m a d e them 'peaceful' 'calm' and
plation or pensive m o o d , for exciting the 'unafraid'. . . . It is also the case, however, that
imagination or creating a feeling of exhil- performances sometimes have an exhilarating
aration. T h e one-string b o w e d fiddle assumes effect upon the mbira players; they smile and
laugh aloud with thorough enjoyment when
this role in s o m e West African societies such
playing.8
as those of the D a g o m b a and the Hausa.
A m o n g the latter it is an instrument for Sometimes particular instruments are selected
inducing trance possession in the bori cult.7 for use because of their symbolic associations
O n the same basis the K o n k o m b a lute-player or referential meanings. Thus a m o n g the
plays his instrument in seclusion w h e n he Baule of the Ivory Coast, the bull-roarer
wishes to c o m m u n e with his god, while a m o n g
represents the voice of the god, Goli. In the
the Shona, w e are told, mbira music is in Poro cult of Liberia, the horn represents one
m a n y respects 'music for meditation'. A s Paul of the divinities described as the Big Devil.
Berliner points out: A m o n g the A k a n a friction d r u m that imi-
tates the snarl of the leopard symbolizes the
the mbira player enveloped by the sound of the
music, entranced by its repetitive, cyclical nature might and majesty of a paramount chief.
and captivated by its subtle variations m a y find Instrumental sounds are approached not
his state of consciousness transformed. Several only in terms of their semiotic functions such
performers reported that playing mbira music as those discussed above, but also in terms of
646 / . H. Kwabena Nketia

their structural functions and their potential contours reflected in a melody), level or regis-
for other levels of communication when they ter shifts (the process by which the rhetoric
are used as substitutes for the h u m a n voice. of music is modelled after that of speech, and
T u n e d instruments are used as substitutes fortexture (arising from the use of multipart
the singing voice, that is, as instruments that organization).11
can reproduce songs, play melodies or mel- There are also several rhythmic processes
odic fragments. Certain percussion and tuned and procedures that m a k e a strong impact on
instruments are used as substitutes for the performers and listeners, which can only be
speaking voice—for communicating verbal referred to in passing, such as the contrast
messages by imitating the tones and rhythms between free and strict rhythm, the principle
of their texts. Such speech surrogates are of propulsion, which m a y be maintained by
greatly exploited in certain African societies handclapping or a similar device, alternations
both on their o w n terms and as a basis of of contrasting rhythmic motifs, the use of
musical communication. 9 Naturally they pro- staggered entries, delayed patterns or off-beat
vide one of the major sources for generating phrasing, cross-rhythm and rhythmic strati-
interaction in musical situations. fication in multipart music. 12
Other structural functions performed by In addition to the foregoing, some so-
instruments relate to their specific roles in cieties develop special codes in the form of
ensembles, roles which are translated by the specific sounds or formal patterns that are
performers into interactional relationships. assigned semiotic function, codes such as the
S o m e instruments such as bells or sometimes yodel and the falsetto which in some cultures,
particular drums are used for clarifying the express intensity of feeling, the use. of the
structures used in music, for providing a fixed h u m or the whisper for subdued emotions,
time-span or cycle in which performers can the use of interjectory particles (at the be-
find their points of entry relative to those of ginning and end of phrases) which are pro-
other instruments, or for articulating the reg- longed for expressive purposes or for attract-
ular divisions of a time line.10 S o m e instru- ing attention or creating suspense. Sometimes
ments are assigned lead roles, others response variations in rate of utterance function as
roles or that of replier where the music is codes, particularly in cultures in which cram-
based on the interplay of forms assigned to ming a long verbal text into a short time-span
the lead instrument and other instruments in by accelerating the tempo of the basic time
the ensemble, while others simply maintain unit has aesthetic value. Special interactional
the flow of the music by playing invariable codes m a y also be embodied in structure,
parts which they repeat over and over again codes that musicians, dancers and the audience
for the entire duration of the piece. listen for, such as starting-and-stopping codes,
The basis of the impact that vocal and codes for changing over from one set of
instrumental music m a k e on the performer actions to another, codes for dancers to retreat
and the listener and which gives rise to inter- from a dance arena, and so on.
action extends from the basic sound materials
to certain technical processes and procedures
in music which need not be elaborated here, Interaction through
processes such as modality (the organization verbal communication
which determines the tones of phrase endings
or cadences as well as the tones that should The second major channel through which
be emphasized in order to give a distinctive interaction is generated is the text of songs
character to a song or instrumental piece), and speech surrogates used in musical situ-
melodic movement (the choice of patterns of ations. African societies treat songs as both
tone sequences or directions of movement music and speech utterances because of the
which modify or extend those of speech analogous features shared by both. Musical
Interaction through music: the dynamics of music-making in African societies
Interaction between master drummer and supporting drummer. Jim Rosellini.
phrases tend to be coterminus with gram-
matical units of structure, while the contour
and rhythm of melodies take into account
the intonation contour and rhythm of the
texts to which they are set. Such analogous
features facilitate spontaneous interaction
through songs as they m a k e it possible for
the texts of songs to be modified on the spur
of the m o m e n t tofitnew situations.
In addition to using the song as a vehicle
of reflection, it can be used for protest and
social criticism, for praising individuals or
for making them aware of their shortcomings.
Thus singing can be an avenue of social
behaviour and a means of social control. In
some African societies this use of the song is
institutionalized. If you visit a town in the
D a g o m b a or Mamprusi areas of Ghana, for
example, you will invariably find teams of
musicians playing hourglass drums as one of
647
them chants. There m a y be one other person
with them also holding a drum which he does
not play m u c h , for his role is to accost
individuals w h o pass by and return with
money which he deposits in a small calabash
bowl beside the musicians. Sometimes one
finds passers-by coming to the drummers
themselves to give them gifts because they
have heard their names, and praise names
mentioned on the drums. Everything seems
to go on smoothly most of the time, except
that n o w and then the drummers are c o m -
pelled to follow individuals w h o try to break
the chain of expected behaviour by refusing
to reward the team for chanting their praises.
Because of the importance attached to
praise singing in these societies, it is not
confined to players of the hourglass drum. It
is practised byfiddlers.Both groups of m u -
sicians are found in the entourage of all
648 J. H. Kwabena Nketia

important chiefs. They attend at the courts of become institutionalized in the above m a n -
their patron chiefs at least once a week—regu- ner. O n e meets it in the songs of m a n y
larly on a Friday—to chant their praises. African peoples in east, central and southern
A m o n g the Hausa of northern Nigeria Africa.111 Everywhere it is used for fostering a
praise singing is even more elaborately organ- sense of pride in the individual, for strength-
ized. There are both male and female praise ening his confidence by drawing attention to
singers. Whenever a great Hausa chief has to his status in his society or his group affiliations
appear in a public procession, his praise as well as his achievements or those of his
singers follow him. For ordinary people the predecessors.
services of praise singers m a y be had on social Another form of institutionalized behav-
occasions such as marriages, festivals and iour associated with music is the singing of
special dances. There is also room for the songs of insult and criticism on special oc-
wandering praise singer w h o goes from village casions set aside for this purpose. A m o n g the
to village. T o be successful, he has tofindout G a of G h a n a , at a festival celebrated once a
on arrival about the important people in the year, bands of people sing lampoons in the
village and something of the history of the street, always making sure that scandals that
locality if he does not have this information, have taken place are not only exposed but
for all these must be embodied in his praise strongly ridiculed. A similar event takes place
chants." in the Brong area of G h a n a once a year at a
The southern neighbours of the Hausa special festival held in the towns in which the
—the Yoruba of western Nigeria—also have god Ntoa is worshipped. It is said that it is
professional praise singers. Every court has a this god w h o has sanctioned the singing of
team of hourglass drummers and a praise insults at this festival so that his worshippers
singer w h o m a y also be a drummer. Whenever can get rid of all the ill-feeling they have been
a visitor enters the palace, the drummers play harbouring during the year. It is therefore, a
and chant his oriki or praise names and in time for organized expressions of public
this w a y announce him to the chief long opinion, a time for open criticism of those in
before he meets him. A s a m o n g the Hausa, authority, or for insulting individuals w h o
praise singing is not confined to the court, for m a y have misbehaved or offended others.
there is said to be an oriki for every Yoruba Institutionalized use of the song as a
n a m e as well as for the principal deities such means of social behaviour extends to the
as Obatala, Shango, Erinle, Oshun and O g u n . singing of boasting songs such as ibiririmbo
Yoruba praise poems m a y be chanted or songs of the Hutu of Zaire, the singing of
played on drums. Teams of drummers as well individual songs among some pastoral peoples
as individuals are at liberty to go round and such as the Karamojong of Uganda, songs of
perform in praise of individuals in return for contest such as the halo songs of the E w e
the customary reward.14 of G h a n a or judicial songs sung in some
In the savannah belt of West Africa—in societies by those contesting cases. It should
Mali, Guinea, Senegal and Gambia—there not be assumed, however, that musical situ-
are similarly professional bards w h o go about ations are always serious and that there is no
singing the praises of people, often to the room for sheer fun and enjoyment. Musicians
accompaniment of a chordophone such as the enjoy mentioning each other's n a m e in song
cora harp lute.15 They combine this function as a way of expressing their c o m m o n bonds.
with those of the chronicler, for they recount A great deal of interaction through verbal
the reigns of kings as well as the genealogies texts performed on drums and other instru-
and histories of households to which they are ments goes on between musicians and dancers.
attached.
Praise singing is by no means confined
to those areas of West Africa in which it has
Interaction through music: the dynamics of music-making in African societies
Children in Upper Volta playing and simulating on instruments (and microphones) of their o w n making.
Marie Faule Nègre/Rush.
Interaction through dance
The third major channel of communication
through which interaction is generated is the
dance, for the recreational and entertainment
value of music—a value recognized in African
societies—can be greatly heightened by it.
Response and conscious involvement in music
can be intensified on the individual level
through movement or dance activity, and this,
in African terms, is just as valid as listening to
it contemplatively. Accordingly, except where
music and dance are presented by musicians
and select teams of dancers w h o go through
prearranged dance routines, individuals m a y
respond to the impact that dance-oriented
music makes on them by stepping into the
dance arena to express themselves, using the
movement vocabulary of the culture.
Because dance and music share c o m m o n
649
elements such as rhythm and timing pro-
cedures, dynamics and energy flow, their
structures can be closely integrated in such a
way as to m a k e the dance a visual dimension
of the music and vice versa, or m a k e the two
activities complementary. Such designs de-
m a n d close collaboration between musicians
and dancers. T h e master d r u m m e r of the
Agbekor dance of the E w e of G h a n a or the
Adzobo dance of the F o n of Benin or the
flute-player of the etilogwu dance ensemble of
the Ibo—to cite a few examples—virtually
control what sequence of dance movements
m a y be performed at any given m o m e n t .
Similarly an Ashanti dance drummer will
always watch a dancer closely and change his
rhythms to match those of the dancer and
vice versa."
Another reason w h y the dance is e m -
phasized in African societies is that it can be
650
used in its o w n right for expressing social and
religious values. Participation in the dance
m a y be an expression of one's identity or
group affiliation, an act of ritual or worship,
a form of tribute or homage. M e d i u m s in
altered state of consciousness m a y dramatize
the active presence of the gods through the
dance and m a k e their wishes manifest.
A further reason for laying emphasis on
the dance is that the dance can communicate
specific messages through its o w n symbolic
forms or gestures. Just as gestures are used as
communication codes or as a means of e m -
phasizing statements, so can a dance tradition
develop its o w n vocabulary of dance 'gestures'
for a similar purpose. The dance can thus
extend thefieldof interaction occasioned by
music, for a king can express his loyalty to
his ancestors and his readiness to lead and
protect the nation to the crowd of witnesses
w h o attend a ceremonial occasion by using
appropriate dance gestures. Servants of the
court can similarly express their loyalty to the
king through the dance. Gratitude, distress,
anxiety, fear, joy and similar states or mess-
ages are expressed in some societies through
dance codes. Because of such possibilities and
the interaction that issues from them, and also
the fact that the dance is invariably the main
focus of attention when it is combined with
the other channels of communication, some
African societies refer to a musical perform-
ance which is dance oriented with the word
for play, game or pastime, qualifying it where
necessary with epithets such as happy, serious,
royal, manly and so on. S o m e societies refer
to the same event with the word for dance,
or the word for the most c o m m o n energy
source for the dance in m a n y cultures—the
d r u m . Thus drumming (or its functional equiv-
alents), singing (or its instrumental equiv-
alents) and dancing are conceptually the prin-
cipal components of a full musical event.
In West African music, for example, such
an event would involve the interplay of two
or more structural levels of organization. The
fundamental structural level is the level on
which time and tempo are established, usually
through a pattern played by a bell or some
J. H. Kwabena Nketia
functional substitute, such as a drum that plays
an unchanging pattern throughout the per-
formance. This pattern serves as a tempo line.
In addition to the bell, divisions of the
tempo line or selected reference points m a y be
articulated by means of hand-clapping, finger
bells or rattles. The purpose of these is to
articulate the motor beat and stimulate a
feeling of propulsion. Against the bell, hand-
clapping or rattle sounds, the communication
of different moods or messages m a y be m a d e
through the tunes and texts of songs. A n y
number of songs thatfitthe bell pattern m a y
be sung in a cycle. They need not have the
same theme, for each song makes its o w n
point. If it is desired to extend the avenues of
expression and communication to include the
dance, a drum or drum ensemble m a y be
added. O n e section of the ensemble m a y be
used for creating or arousing general feelings
of agitation by amplifying the dynamics of the
underlying motion of the music and its energy
level. T o this end, short rhythm patterns
assigned to small drums of different pitches
m a y be used. These rhythm patterns are
repeated throughout the performance. Against
the ground rhythms of the small drums, a
master d r u m m e r would communicate codes or
suggestions for movement as well as messages
through the different rhythmic and tonal pat-
terns he introduces.
Full performances of music and dance
m a y emphasize other instrumental ensembles
such as flutes and drums, xylophones and
drums, mbira and drums. In all these, different
structural levels of rhythmic and tonal organ-
ization can be discerned.
M o d e s of presentation
Varying emphasis can be given to the c o m p o -
nents of a musical event in the course of
a single performance or even an entire oc-
casion. A performance could begin with unac-
companied singing in free rhythm led by a
cantor w h o m a y sing a short lead, or sing
alone for a while in some kind of declamatory
or recitative style before bringing in the chorus.
Interaction through music: the dynamics of music-making in African societies
This introduction would be followed by sing-
ing in strict rhythm accompanied by instru-
ments of the time line. This will be the signal
for the drums to start coming in, and for the
dance to begin as soon as the music is in full
swing. This order can be modified by a master
drummer, for he can cue the drummers to
start as soon as the recitative ends and bring
the dancers in with appropriate signals.. Where
there is no introductory singing, the master
drummer can start the performance by cueing
in his drummers. The leader of the chorus will
then start the song as soon as a steady tempo
is established.
The presentation of music previously
composed and rehearsed (such as nindo music
of the G o g o of the United Republic Tanzania
or bobongo music of the Ekonda of Zaire or
the xylophone music of the Chopi of M o z a m -
bique and the music for team dances pre-
viously rehearsed by the group) follow dif-
ferent lines, though all of them depend on
leadership roles that m a y be assumed by
cantors, orchestral and dance leaders. Such
performances are presented as shows or dis-
plays, often with special costumes, make-up
or body paintings. O n the same basis music
and dance integrated with ritual or other
events m a y be presented as dance drama when
the nexus between music and other activities
of the occasion is structured.
Another point worthy of note is that
when music-making is not incidental, it can
be a protracted event and can go on for hours.
Hence, performances always allow for con-
trasts and breaks, and sometimes even for
drums and xylophones to change hands. At
the funeral ceremonies of the Lobi, Dagarti
or Sisaala of Ghana, for example, there would
be a number of suitably qualified xylophone
players to lead group wailing.
It is customary for a performance on a
social occasion to take the form of several
rounds of continuous music-making and danc-
ing. Music played in one round can be just
one item repeated over and over again with
suitable variations. It could be one out of a
repertoire of instrumental pieces or a cycle of
songs performed to the same rhythmic ac-
651
companiment. It could be the music for one
or more dance routines.
The duration and content of one round
of performance m a y be determined by both
musical and contextual factors. W h e n the
music stops, it m a y not be because the per-
formers have c o m e to the end of the per-
formance for the day, but because there is a
felt need for a break or a change to something
else in the repertoire. In some traditions an
item m a y be repeated for a fixed number of
times. It is then followed by a short pause
before a n e w item is begun. There are tra-
ditions in which the cue to end the repetitions
and variations or to change to something else
is given by a lead performer.
The selection of items and the order in
which they are played in this manner could
reflect the character of the occasion, changing
situations, or dance sequences, or they could
be simply the favourites of the lead musician
w h o introduces them or a reflection of the
extent of his m e m o r y .
Music performed in the foregoing m a n -
ner m a y be presented in one spot by a perform-
ing group w h o makes the event its concern—a
musical association, an occupational associ-
ation or a warrior organization. There are,
however, occasions on which multiple group
performances take place at the same location,
events such as funerals, community festivals,
state ceremonies, durbars, all of which are
held out of doors, usually in a large open
space such as a park or ceremonial plaza.
Each group stations itself at a different point
in the performing area and usually performs
on its o w n without m u c h regard to what the
others are playing. However no one is ex-
pected to listen to all of them at the same
time. Spectators interested in any one type of
music and dance cluster around the per-
formers, leaving enough space for the dance.
S o m e watch the performance for a while and
then m o v e on to see another group. It is
only when the performance arena is small that
such performances take place sequentially.
Music-making is not always confined to
a fixed area where a crowd m a y gather to
listen and watch. Another conventional way
652 J. K. Zwabena Nketia

of presenting music is to stroll along with it, and other activities in a social situation or the
following well-defined routes of particular aims and purposes of a social occasion. A s
significance. The choice of this m o d e of pres-in m a n y cultures of the world, this nexus
entation m a y be suggested by the nature of could be one of subordination, with music
what has to be communicated and the audi- serving as background. Since people tend to
ence to w h o m it is directed. Thus in some stay around as long as some music is going on,
communities individual dirge singers are ex- such background music would create and
pected to walk around with their dirges so sustain an atmosphere for interaction even if
that they can be heard by those w h o c o m e to it does not generate it directly. In such con-
m o u r n with them. They end each round at the texts it could provide a basis for organizing
funeral byre, since they must also address the effort, for example in work situations. W h e n
deceased. Those w h o sing choral laments m a y used as background for prayers or personal
m o v e away from the immediate precincts of rituals, it could enhance concentration or
enable one to reach out to something beyond
the funeral and stroll with their laments in parts
of the town. Similarly organized performances the physical awareness of oneself. It could be
of songs of exhilaration or songs of insult a means of controlling individual and group
and criticism present them in this manner. behaviour during community expressions of
This form of presentation m a y be joy, for example, after a victory, in situations
suggested not only by the need for proclaim- of personal stress or general crisis.
ing messages far and wide, but also for the The nexus could also be one in which
purpose of display, for attracting attention the affective presence of the music or what it
to particular objects or characters such as communicates aurally or verbally dominates
masqueraders, or for reviewing particular the situation. Here the non-musical activities
units of the social or political organization may be minimal or unobtrusive, except that
believed to be significant in some particular interaction of some sort would still be ex-
way. O n a ceremonial occasion a chief and pected. The dance m a y be absent or purposely
his retinue m a y parade through the street, excluded, as happens during a ceremony per-
following routes prescribed by tradition. formed by the G a of G h a n a for summoning
S o m e performing groups play the same the gods in which music normally performed
sort of music in processing as they play in by the full ensemble for the possession dance
one spot, while others cultivate special items is performed without the dance. In some
for processions. However, there is always the societies, however, the dance m a y still take
problem of what instruments can be played place in this context but in a subdued form.
in such processions, for not all instruments Or it m a y be replaced by movements that are
are portable. The musicians of some societies primarily articulations of the motor beat or
get around this problem by providing slings controlled responses to the energy flow of the
for instruments that need to be played in music. O n e finds this, for example, in the
processions so that they can be hung sideways subtle movements of the chiefs of the Yoruba
or in front of their body. In some societies of Nigeria w h o are not supposed to perspire
heavy drums that cannot be carried in this when they respond to music in this manner,
manner are carried on the heads of n o n - and in the singing of the ceremonial anthems
drummers, while the drummers stroll behind of the Zulu. A s David Rycroft tells us,
and play them. Others select items from the
regular repertoire that can be accompanied It is asserted by the Zulu that their solem amahubo
by just one or two small drums instead of the (singular ihubo) ceremonial anthems are per-
full ensemble. formed without dancing. Certainly little leg move-
ments take place, but there are obligatory arm
Another consideration taken into account gestures, particularly that of pointing, ukukhomba
in the presentation of music is the relationship which is also an important action in some of their
that needs to be maintained between music acknowledged dances.18
Interaction through music: the dynamics of music-making in African societies
Royal trumpeters of the Emir of Katsina. Max Brandt.
A similar approach is used by the solo per-
former addressing himself to an audience, and
singers of historical songs, praise chants and
other genres of music in which the verbal texts
are the primary focus.
Although m a n y instances of the fore-
going abound in African societies, the pos-
sibility of institutionalizing music as an in-
dependent event outside ritual and ceremonial
contexts does not seem to have been pursued
in traditional societies. Music intended to be
listened to has continued to be performed in
social and ceremonial contexts.
Another approach to the nexus between
music and other events is to structure both
events in such a way as to establish correspon-
dences between them. This can be done:
By incorporating into the body of the music,
special codes of sounds and rhythms which
refer to aspects of the situation, or verbal
texts or speech surrogates which call for
specific behaviour.
653
B y aligning the rhythms of music with the
rhythms of the dance or other activities.
By integrating the sounds of music with the
sounds of individual and group activity.
For example a m o n g the Sisaala of G h a n a
expressions of grief by individuals and
groups of mourners are structured by pro-
viding points within a fixed n u m b e r of
musical phrases played on a xylophone at
which particular sets of wailing tones m a y
be sung. 1 '
Conclusion
In this article our primary concern has been
thé analysis, in ethnomusicological terms, of
the set of relations that music as an activity
presumes between performers and audiences
in traditional African societies, and the fac-
tors—both intrinsic and extrinsic—that gen-
erate such relations, taking into account the
654
contexts of music making, modes of music
communication and presentation, including
the semiotic and structural functions of sound
sources, verbal texts and movement expression
(dance and symbolic gestures).
A s w e have seen, the dominant place
given in traditional societies to the social
dimension arises from the fact that a musical
occasion provides opportunities for acting out
social relations, roles and statuses as well as
for affirming social, moral and religious values.
In non-literate societies such as those of tra-
ditional Africa, there are clearly no better and
more effective avenues for reminding the m e m -
bers of a community of their c o m m o n bonds
and shared values than those provided by
musical events that bring them together at
frequent intervals.
It must be emphasized, however, that the
interactional approach to music-making which
arises out of this does not m a k e the intrinsic
values of music less important than the be-
haviour music generates. O n the contrary,
the social processes involved in music-making
merely extend the relevance of music from
the aesthetic domain tofieldsof social action
in which it can also play a mediatory role by
virtue of its modes of communication and the
impact it makes on the listener. Music per-
formed in a social context must, in some
measure, also be aesthetically satisfying. By
encouraging spontaneous interaction, there-
fore, African societies m a k e music-making
something larger than a purely aesthetic event
and thus expand its range of values and the
basis of appreciation.
Because purposeful interaction depends
largely on the impact of music and dance, the
structures used in music are designed to be
both operational and informative, providing
avenues for social action, an outlet for the
communication of thoughts and messages or
expressions of intensity of feeling. A s the
cultivation of music depends on oral tradition
and performers' m e m o r y of repertoire, codes
and procedures, emphasis is given to short
forms rather than extended or developmen-
tal forms, to repetition and sectional struc-
tures, improvised variations and substitutions,
/ . H. Kwabena Nketia
and the use of forms based on cumulative
structures.
Since the principles of musical organiz-
ation and patterns of melodic and rhythmic
structures of a musical tradition form the
basis of a large number of musical items
which are differentiated in other respects,
similar patterns of behavioural responses m a y
be found in a wide variety of contexts in
which different musical types are performed.
There is a tendency to formalize such behav-
iour not only in respect of dance movements
and performance postures, but also in respect
of the forms in which encouragement, appreci-
ation and other sentiments are expressed.
The implications of the foregoing for
participation in music-making in organized
social life are threefold:
First, it goes without saying that k n o w -
ledge, understanding and appreciation of the
music itself, including whatever codes it e m -
bodies, and the behaviour customary in a
musical situation are a prerequisite for active
participation in the social life of the groups to
which one belongs. If one is a m e m b e r of a
warrior organization or of a hunter's as-
sociation, one must k n o w the repertoire of
songs performed by that group in order to
join fully in its expressive behaviour. In
general such knowledge is acquired largely
through social experience. Hence the older a
person or the longer or more intensive a
person's association with a musical type, the
richer his knowledge. This fact is often rec-
ognized during performances in the assump-
tion of leadership roles.
Second, in addition to a knowledge of the
musical repertoire and procedures, those w h o
assume leadership roles in music or those w h o
perform as solo musicians are expected to
have a certain measure of aesthetic sensi-
tivity—something that a performer c o m m u n i -
cates to his audience by following the fluc-
tuations of his o w n feelings and what he has
learned to recognize as the norms of the art
in his society. Preference is shown for one
performer over another not only on the basis
of his knowledge, but also on the basis of his
sensitivity.
Interaction through music: the dynamics of music-making in African societies
Third, and perhaps in operational terms
the most important for social interaction, one
must have contextual awareness, that is, an
awareness of the aims and purposes of the
occasion of the performance, the sequence of
events and h o w music relates to them, the de-
tails of dance movements and the musical
implications of different situations. It is
through this awareness that a performer makes
his music alive and meaningful to his audience
and thereby stimulates interaction.
It is obvious that musical traditions that
lay so m u c h emphasis on the social dimension
are bound to be affected in a number of ways
by social change—by changes in social struc-
ture, in economic, political and religious in-
stitutions and in the values in terms of which
655
music is practised. M u c h of the significant
transformation however, is taking place in
contemporary African societies—societies in
which linkages are based on n e w associations
rather than on kinship and ethnicity. Whereas
musicians in this n e w society m a k e music
with Western trumpets, saxophones, flutes,
guitars, electric organs, synthesizers and a
set of jazz drums, musicians in traditional
society have continued to use their traditional
instruments and to m a k e music an integral
part of their way of life. Traditional and con-
temporary popular music—the most widely
patronized form of n e w music—nevertheless
share a c o m m o n approach to the dynamics of
music-making, for African popular music is
by and large interactional music.
656
Notes
1. For a bibliography and a
discography of African music,
see L . P . J. Gaskin, A Select
Bibliography of Music in Africa,
London, International African
Institute, 1965; A . P . Merriam,
African Music on LP: An
Annotated Discography,
Evanston, 111., Northwestern
University Press, 1970.
2. For an account of music
in African communities, see
J. H . Kwabena Nketia,
The Music of Africa, N e w York,
W . W . Norton, 1974;
Francis Bebey, African
Music: A People's Art,
N e w York, Lawrence Hill, 1975.
3. Seel. M . M a p o m a ,
' N g o m b a : The Royal
Musicians of the B e m b a
People of the Luluapa
Province of Zambia',
U C L A , 1974 ( M . A . Thesis);
I. M . M a p o m a , 77;e
Determinants of Style in the
Music of the Ingomba,
U C L A , 1980 (Ph.D. dissertation).
4. Sec J. H . Nketia, Drumming
in Akan Communities of Ghana, .
Edinburgh, Thomas Nelson,
1963.
5. Charles Seeger, 'Music
as Tradition of Communication,
Discipline and Play',
Ethnomusicology, Vol. V I ,
N o . 3, September 1962.
6. For a survey of African
musical instruments, see Nketia
op. cit. and Bebey op. cit.
7. Jacqueline C . Djedje,
Distribution of the One-string
Fiddle in West Africa,
U C L A Program in
Ethnomusicology, Monograph
Series, 1980.
8. Paul Berliner, The Soul
ofMbira: Music and
Traditions of the Shona People
of Zimbabwe, pp. 131-3,
Berkeley, University
of California Press, 1978.
9. See J. H . Kwabena Nketia,
'Surrogate Languages of
Africa', Current Trends
in Linguistics, Vol. VII,
pp. 733-57, The Hague,
Mouton, 1971; J. F . Carrington,
Talking Drums of Africa,
London, Carey Kingsgate
Press, 1949.
10. Nketia, op. cit., pp. 131-3.
11. Ibid., pp. 148-68.
12. Ibid., pp. 125-39 and 169-76.
13. M . G . Smith, 'The Social
Functions and Meaning of
Hausa Praise Singing', Africa,
Vol. X X V I I , N o . 1;
January 1957, pp. 26-45;
David A m e s , ' A
Sociocultural View of Hausa
Musical Activity', in
/ . H. Kwabena Nketia
W . D'Azevedo (ed.), The
Traditional Artist in African
Societies, pp. 128-61,
Bloomington, Indiana
University, 1973.
14. See Ulli Beier, Yoruba
Poetry, Ibadan, 1959.
15. R . C . Knight,
'Mandinka Jaliya:
Professional Music of the
Gambia', U C L A , 1973
(Ph.D. dissertation).
15. See David Rycroft, 'Zulu
and Xhosa Praise Poetry and
Song', African Music, Vol. Ill,
1962; I. Schapera, Praise
Poems of Tswana Chiefs,
Oxford, Clarendon Press, 1956.
17. Nketia, op. cit.;
J. H . Kwabena Nketia,
'Interrelations of African Music
and Dance', Studio
Musicológica, Vol. 7,
1965, pp. 81-101.
18. David Rycroft,,
'Stylistic Evidence in
Nguni Vocal Music', in
K . P . Wachsman (ed.),
Essays on Music and History
in Africa, p. 21, Evanston,
111., Northwestern University
Press, 1971.
19. Mary Seavoy, 'The Sisaala
Xylophone Tradition',
U C L A , 1982
(Ph.D. Dissertation).
 CONTEXTS OF THE ART
W h y do the Japanese like
European music?

Mamoni Watanabe

Western music it was our music too? Did w e really have a

and traditional music different kind of music in Japan? It dawned
on m e then that what Europeans call Japanese
' W h y do the Japanese like European music?' music is the so-called traditional music of our
is a question I a m often asked in Europe. country, whereas the Japanese today do not
Europeans seem surprised at the w a r m en- really think of European music as something
couragement given to Western music in Japan imported from abroad.
and the active participation of Japanese m u - The question arises, however, whether it
sicians in European life. A n d I k n o w I a m is really traditional music that constitutes the
not the only Japanese to be at a loss for an basis of Japanese musical understanding, with
answer when first asked Beethoven's music added
the reason. All w e can on as 'alien' music. O r
say is ' W h y not?' or 'Be- Professor M a m o r u Watanabe has are the Japanese more re-
cause it's beautiful', since taught in Austria, Bulgaria and Japan ceptive to European m u -
and held diplomatic posts in Switzerland
we find it quite natural and the Federal Republic of Germany sic than to that belonging
to like European music where, until recently, he was Director of to their o w n heritage?
and for that reason no- the Japanese Cultural Institute in C o - T o obtain a clear
body has thought to raise logne. H e has published very widely
particularly on opera (in Japanese) and view of the present situ-
the question in Japan. It has translated many works on music and ation of traditional m u -
is a topic that no Japa- other subjects from German into Japa- sic in Japan, a dis-
nese music magazine has nese and vice versa. His address is tinction must be drawn
ever concerned itself with. 1668, Horiuchi Hayama, Kanagawa- between folk-music and
ken 240-01, Japan.
But w h y are Euro- art music. In the case
peans surprised at some- of folk-music, typically
thing w efindso natural? Japanese melodic struc-
I remember when I first ture is definitely predomi-
came to Europe about forty years ago being nant, though popular songs are often in
approached by an elderly lady during the European keys.
interval of a symphony concert in Vienna. ' D o But there can be no denying that art
you understand this kind of music?' she asked. music—particularly utai and nagauta and m u -
'Your o w n music is so very different.' sic for shakuhachi and koto—has been rel-
Europeans no longer ask us this kind of egated to the background by European and
question because Japanese are now seen quite American music. Indeed, the latter dominates
frequently at concerts and at the opera. But to such an extent that in everyday usage the
at that time the question caught m e entirely word 'music' is automatically taken to denote
unawares. That Beethoven symphony—surely Western music. If a person is referring to the
658 Mamoru Watanabe

country's traditional music he must add the The writer, Kanji Nishio, recently ex-
adjective 'Japanese'. pressed surprise, in the newspaper Yomiuri, at
Concerts of traditional music are rare, a statement m a d e by a G e r m a n friend of his
accounting for about 7 per cent of all concerts to the effect that music was the leading art in
organized in Japan; it is played on only a tiny Japan today, followed by painting, with litera-
proportion of radio programmes; and there ture last. In Nishio's view, the order should
is little demand for recordings. be reversed, since literature has attained a
In this connection, however, it must be higher level in modern Japan than painting
borne in mind that old Japanese music was or music.
intended basically for the players rather than O r course, there are n o easy answers
the audience. People m a d e music primarily to this kind of question. Nevertheless, the
for themselves. W h e n there was an audience it language barrier is to blame for the fact that
usually consisted of a small, closed circle—ex- Japanese literature is so little k n o w n in
cept, of course, in the Kabuki theatre, where Europe. A vicious circle has developed: be-
the plays frequently have a musical ac- cause Japanese literature is u n k n o w n , people
companiment. take no interest in it; because people take no
This custom of making music for its o w n interest in it, it is not translated; because it is
sake has not died out today. Concerts of tra- not translated, it is u n k n o w n .
ditional music are only semi-public. There is The language barrier is m u c h greater
usually no press publicity, and the audience is than appears atfirstsight. Take science for
confined to friends and acquaintances. T h e example. T h e language barrier is not so
outward appearance of inactivity is therefore important in the natural sciences, and so
deceptive and does not truly reflect the state Europeans are relatively well informed about
of traditional music It is therefore erroneous the state of medicine, physics or tech-
to speak of a general decline in Japanese music. nology in modern Japan. The achievements of
Just recently, indeed, there has been a Japanese scientists are well k n o w n . In the
tendency for people to show a new awareness arts, however, it is a different matter. The
of their o w n culture, and the young generation fact that outside the German-speaking regions
are visibly becoming increasingly interested of the world Japan is the leading country in
in the old music, a fact that is borne out, for Goethe studies is not k n o w n even in Germany
instance, by the remarkable increase in sales itself. But m a n y G e r m a n scholars in Japan,
of traditional musical instruments such as the w h o must, of course, have a firm c o m m a n d
shakuhachi, the koto and the shamisen. of the G e r m a n language and be able to read
But in spite of this welcome development Wolfram von Eschenbach or T h o m a s M a n n
in traditional music, it is an incontrovertible with ease, are unable to translate their o w n
fact that in present-day Japan, leaving folk- dissertations into G e r m a n . Even in the field
music aside, Western music, both serious and of philology, therefore, the language barrier
light, enjoys far greater popularity. For that is virtually insurmountable.
very reason, it is n o w time w e looked into the Although it is not absolutely true to say
question of w h y the Japanese prefer Western that music is a world language, since it has
music to their o w n traditional kind. its frontiers—albeit not as marked as in other
culturalfields—theJapanese find it easier to
assert themselves in thefieldof music, and it
Culture, language and power is their musical activities that catch the atten-
tion of Europeans. It is a fact, none the less,
Before w e deal with this question, it should that the Japanese cultivate all other branches
first be mentioned that the Japanese show a of Western culture with just as m u c h love
great deal of interest in European culture as and devotion.
a whole and not just in music. W h y , then, are the Japanese so fond of
Why do the Japanese like European music?
A lesson in koto ensemble playing at the Osaka High School of Music.
European culture in general? At this point it
must be recognized that Europeans have a
different idea of the significance of Western
culture in Japan from that held by the
Japanese themselves. Europeans are aware
that Western culture has exerted a major
influence o n modern Japan but think the
Japanese still regard it as an alien and
imported culture. O f course, w e Japanese
k n o w that Western culture is not home-grown,
but it is a fact that seldom enters our minds
because w e have become so accustomed to it.
W h e n considering our way of life, Europeans
are fond of contrasting alien Western culture
with native Japanese culture, legitimately re-
garding the former as belonging to themselves.
But our feeling about Western culture is that
it is not the culture of the West, that is to say
of a specific geographical region, but a culture
that has today attained world standing and
must be studied and assimilated if w e are to
keep u p with the times. For the Japanese, it
659
possesses a supraregional and universal
significance.
This idea, be it true or false, stems largely
from the country's historical circumstances.
It is well k n o w n that from the beginning of
the seventeenth century Japan resisted all
dealings with Europe and America for
250 years through fear of invasion by foreign
powers. In 1854 it was forced to accede to
American demands and open its doors, a n d
from then o n the Japanese m a d e ardent
efforts to assimilate Western civilization and
culture, since it seemed the only w a y to avoid
falling victim to the colonialism of the Western
powers of the day. Far-reaching reforms based
on the Western model were undertaken in
every area of life and culture.
The thirst for knowledge, which in any
case had been a characteristic feature of our
people from time immemorial, n o w assumed
an existential significance. The importation of
European culture was seen not merely as a
660 Mainoru Watanabe

way of enriching the life of the community with Western melodic patterns, harmony and
but as a necessity for the survival of that rhythm from an early age.
community as a nation. S o m e years ago, the Japanese radio
station N H K broadcast a programme on
which members of the public were given a
The European model piece of poetry and asked to improvise a
melody suited to the text. S o m e eighty per
Even the teaching of music, though it had little cent of these 'amateur composers' sang their
to do with national policy, was patterned on melodies in a major key. But if the words had
the European model. In particular, songs in a strong folk-song flavour they tended to
European keys were introduced into elemen- produce melodies in a minor or a Japanese key.
tary-school songbooks. Over a period of five Whatever one's views concerning the
years, from 1880 to 1884, ShOji Izawa, the influence of these songbooks, the fact remains
first head of the Music Research Department that the Japanese thus became at h o m e with
established in 1879, compiled a three-volume Western keys, and the foundations were un-
elementary-school songbook in collaboration doubtedly laid for the popularity of European
with an American called Luther Whiting classical music.
M a s o n . The original plan was 'to fuse Oriental
and Western music' in the songbooks, and
Izawa commissioned Japanese musicians to Japanese abroad
compose a large number of songs for the
purpose. But the plan ran aground because Europeans are surprised today to find the
the musicians of the day were not yet capable Japanese playing quite an active part even in
of composing melodies of a high enough European musical life. The question as to why
standard to be included in the official school- we like European music most probably stems
books. Izawa therefore took a large number from observation of this fact. Japanese activity
of melodies of Western origin, for instance is conspicuous mainly through the following
the G e r m a n children's song 'flanschen klein', three phenomena:first,the large number of
the Scottish song 'Auld Lang Syne' and the Japanese music students in Europe; second,
Irish folk song ' T h e Last Rose of S u m m e r ' , the success of young Japanese musicians in all
and set entirely different Japanese words to international music contests; and third, the
them. A s for Japanese music, only a few noticeably large number of Japanese pro-
melodies from traditional gagaku court music fessional musicians participating in symphony
and a selection of folk-songs were included. concerts and operatic events in Europe. I
Moreover, the scale was somewhat simplified, should n o w like to discuss the causes of these
a fact that later drew criticism from musi- remarkable phenomena one by one.
cologists. Contemporary middle-class music
T o begin with, why do so m a n y Japanese
was virtually ignored, probably because m a n y
students attend European music schools?
of the songs had originated in a brothel
There are special reasons for this. Three times
context. Besides, their complicated melodic
in world history the middle classes have
structure m a y have been considered unsuit-
tended to show a strong interest in learning
able for general pedagogical purposes. T h e
music during periods of economic b o o m : first
warabe-uta, traditional children's songs sung
in Central Europe in the early nineteenth
in the provinces, were almost completely
century, secondly in the United States at the
unknown to the central authorities in the
time of the gold rush, and thirdly in Japan
Ministry of Culture.
after the Second World W a r . In all three
There can be no doubt that the songs in cases, the study of music became a status
these books, which were taught at all primary symbol of the middle or upper-middle classes.
schools in Japan, m a d e the Japanese familiar It was regarded as particularly fitting for
Why do the Japanese like European music?
D r Suzuki, a self-taught violinist, w h o runs the Talent Education Institute in Matsumoto, with some of his
y o u n g pupils. Elliott Erwitt/Magnum.
young girls to take piano and singing lessons.
It had always been the custom in Japan
for young w o m e n to learn the tea ceremony,
ikebana or to play the koto before getting
married. After the war, this custom, which
was observed throughout the country, was
extended to the piano, the violin and even the
harp. But in contrast to the traditional arts
such as ikebana, Japanese girls are not content
with private tuition in European music but
want to attend music-school courses as well.
Today, there are 116 conservatoires and uni-
versities or colleges with music departments
in Japan, turning out over 10,000 students a
year. T h e fact that 80 to 90 per cent of
these students are girls is due to the. custom
mentioned above. Moreover, young m e n with
a music diploma are not well equipped for
earning a living. For girls it is a different
matter: as they m a y be expected to marry
shortly and then no longer have to keep
661
themselves, they can study music without
worrying about the future. A s housewives,
the most they are likely to do is teach music
to the neighbourhood children. However,
more and more of them aspire to travel to
Europe or America after completing their
studies in Japan in order to obtain still higher
qualifications. T w o or three years' study
abroad is not such a great financial burden
on their parents, since tuition fees in Europe
are very low compared with Japan. There are
at present about 300 Japanese w o m e n studying
music in Vienna alone.
T o sum up, the fact that so m a n y Japanese
study music in Europe m a y be attributed to
the following three factors:first,the tradition
that requires girls to become accomplished in
the arts before marriage; second, the increasing
prosperity of the middle class; and third, a
keen interest in European music.
Let us n o w turn to the second p h e n o m -
662
enon, the success of the Japanese in inter-
national music contests. In reality, this is not
so surprising, given the large number of
Japanese candidates in such contests.
But the performance of the younger gen-
eration is none the less remarkable. N o doubt
the legendary industriousness of the Japanese
is a major factor, but this quality has its
disadvantages too. There is a risk, especially
in practising a musical instrument, of neglect-
ing the expressive 'soul' of the music and
concentrating unduly on technical difficulties.
In learning ancient Japanese arts such as
ikebana, the shamisen or judo, it has always
been customary to show absolute subordi-
nation to both teacher and subject-matter and
to steel oneself to surmount all difficulties by
means of hard training.
Such rigorous practice is not usual in the
case of European music, and yet one is struck
by the w a y music students willingly devote
themselves entirely selflessly to their exercises.
But making music amounts to m u c h more
than merely showing what one has learnt and
achieved through practice. A n d certain c o m -
m o n shortcomings are indeed discernible
a m o n g young Japanese musicians. Their per-
formance is often marred by excessive tension
and effort. They frequently lack spontaneity
and the natural touch, and the melody does
not always flow as smoothly as it might.
Japanese performers need to pay more atten-
tion to the passages that are technically easier
to play, especially where the melody is in
slow tempo.
Musical life in Japan
That brings us to the third phenomenon, the
active participation of Japanese musicians in
European musical life. It is estimated that
more than 200 professional Japanese m u -
sicians are at present employed in orchestras
in the Federal Republic of Germany. T h e
number of Japanese singers, male and female,
engaged by European opera houses is steadily
increasing. W h y are there so m a n y Japanese
musicians in Europe? Again, it is the result
Mamoru Watanabe
of special circumstances. Foreigners are often
impressed by the flourishing musical life in
Japan. But things are not as rosy as they
seem. First of all, this brisk musical activity
is confined to the two major cities of Tokyo
and Osaka, where concerts by international
celebrities take place every evening. In prov-
incial towns, on the other hand, a concert of
European music is quite a rare event. O f
course, the same kind of dichotomy occurs
in m a n y Western countries, but in Japan it is
far more pronounced than, for instance, the
contrast between Paris and other French
towns or between London and the provinces
in the United Kingdom.
Even the thriving musical life in the cities
is not without its problems, since the number
of concert-goers is in fact relatively small.
The number of regular concert-goers in Tokyo
is estimated at 5,000 at most, which means
that only one in every 2,000 of the city's
inhabitants goes to a concert regularly. But
these few enthusiasts are remarkably constant
and can be relied on tofillthe concert halls.
The n u m b e r of symphony orchestras in
Tokyo is variously reported asfive,six, eight
and eleven. If only fully professional or-
chestras giving regular performances are taken
into account, the correct number should be
five. In any case, these respectablefiguresare
adduced as proof of the keen interest of a wide
audience. But considering that the city of
Cologne has two symphony orchestras, Tokyo
should have twenty in order to achieve the
same ratio of orchestras to inhabitants. Thus,
while Japanese devotees of Western music
are very few in number, they m a k e u p for it
in enthusiasm. But even though guest per-
formances by the Berlin and Vienna Philhar-
monic Orchestras, the Bavarian State Opera
C o m p a n y , L a Scala of Milan and m a n y
world-famous virtuosi are welcomed by these
music-lovers as great events and are always
sold out despite the high admission prices,
they attract little attention outside the circle
of enthusiasts.
Only in the last few years have Japanese
newspapers begun to print articles on music
in their cultural columns or magazine sections.
 Why do the Japanese like European music?
Despite their popularity, performances of Wagner's operas are comparatively rare in Japan.
Die Meistersinger von Nürnberg was performed by the Nikikai Opera C o m p a n y in Tokyo in 1981,
after an interval offifteenyears.
But the reports are still less frequent and on a
smaller scale than in G e r m a n newspapers.
This lack of interest on the part of the general
public m a y also be one of the reasons w h y it
is so difficult to obtain state support for m u -
sical activities, especially where Western-style
music is concerned. In the whole of Japan,
only three orchestras are run on public funds.
Opera houses with regular performances are
non-existent. All in all, the scope for m u -
sicians in Japan is very limited. But this does
not prevent the conservatoires and univer-
sities with music departments from sending
countless graduates out into the world each
year. Although, as already mentioned, a large
proportion of them do not expect to use their
qualifications to earn a living, they never-
theless hope to remain active in thefieldof
music after so m a n y years of study and
practice.
663
This is where the major discrepancy arises
between supply and demand. Musicians want
to play but have n o opportunity to do so. They
have no alternative but to take the initiative
and organize their o w n concerts. In the larger
towns concerts of this kind are quite c o m m o n .
The performer commissions a manager to
organize a concert. O f course, in such cases
he receives n o fee for his performance and
has to pay the manager himself. Moreover, he
has to sell most of the tickets, since only a few
will be sold to the general public. Indeed it
is amazing that despite all the effort involved
performers still want to play or sing.
Operas are notoriously unprofitable in
financial terms. So h o w can operas be staged
without aid from the state, the local auth-
orities or the business world? Only through the
personal sacrifices of those involved. Opera
singers not only forgo allfinancialremuner-
664
ation but also have to sell a large n u m b e r of
the tickets for performances. Although an
opera is usually only performed two or three
times, even in Tokyo, the cast often includes
two or three singers in the same role as a w a y
of increasing sales, since each performer has
a quota of tickets to sell.
Under these conditions, it is not sur-
prising that m a n y Japanese musicians look
for opportunities abroad. A n analogy m a y
be drawn with the increasing exportation of
Japanese goods. The underlying cause is the
same: over-supply and strong competition
on the domestic market.
Music and modernization
Let us n o w come back to our original ques-
tion: ' W h y do the Japanese like European
music?' W e can n o w even rephrase the ques-
tion and ask: ' W h y do the Japanese prefer
European music to their o w n traditional m u -
sic?' T h e only possible answer is: 'Because
European music is more relevant to present-
day life in Japan, which is not all that different
from the Western life-style.'
This situation is in some ways compar-
able to that of Renaissance music in Europe,
which is still played and appreciated but only
by a minority, not by the general public.
Foreigners often say: ' W h a t a pity that the
old music is so seldom heard in Japan.' They
might equally well regret the fact that R e -
naissance music is so rarely performed in
Europe.
But there is in fact a difference. Since
the Renaissance, European music has evolved
in accordance with the taste of the times.
W h y has Japanese music been unable to
adapt itself to modern life, especially in view
of the fact that the E d o period (1603-1867),
during which 'traditional' music was still
played, is closer to the present than the
Renaissance? T o explain this phenomenon,
w e have to examine the special circumstances
under which modernization occurred in
Japan.
Whereas modernization in Europe came
Mamoru Watanabe
about through transformation of the conti-
nent's o w n past, in Japan it amounted to the
following of Western precedents. In the field
of music, therefore, it was also only natural
for the assimilation of European music to be
pursued more assiduously than the modern-
ization of traditional Japanese music. O n the
other hand, from the 1920s or thereabouts
every attempt was made to revitalize Japanese
music by introducing European stylistic el-
ements. Experiments in combining the two
musical styles were carried out by both tra-
ditional musicians and those specializing in
the European style. Certain features of
European music, such as chords, regular
rhythmic structure and discrete pitch inter-
vals, were taken over and used in playing
Japanese instruments. Old instruments were
converted to increase their range and volume.
Except in a few cases, these experiments
miscarried because the essential qualities of
traditional music which had been the source
of its attraction were lost in the process.
Japanese and European instrumental combi-
nations proved equally unsuccessful.
Japanese composers trained in European
music produced symphonies, piano sonatas
and orchestral pieces incorporating Japanese
folk-songs or melodies in the traditional keys.
Leaving aside the genre of the art song,
compositions along these lines written before
the Second World W a r were doomed to
failure, and for the same reason. Japanese
music, which is very rich in harmonics and in
which noises are an important ingredient,
cannot really be reconciled with sharply
defined pitch. If Japanese melodies are purged
of their quarter-tones and other intermediate
intervals, they tend to sound banal. Func-
tional harmony, moreover is totally out of
place.
With hindsight, it m a y n o w be assumed
that if Western music had been introduced
into Japan somefiftyyears earlier the country
might conceivably have produced a Japanese
Grieg or a Dvorak. A s it happened, however,
the period up to the Second World W a r was
too short for composers to attain the Western
level.
Why do the Japanese like European music? 665

After the war, the situation changed in the style of his times as to m a k e it difficult
completely. European music in general freed to understand for someone unfamiliar with
itself from the trammels of functional har- the manner and taste of the period. F r o m this
m o n y . Dissonance was no longer dissonant, point of view, Beethoven is m u c h easier to
noises became interesting and melodies no appreciate than, say, H a y d n or Mozart, or
longer had to proceed by exact pitch intervals even Johann Strauss or Franz Lehár. It is not
to the same extent. This prepared the w a y irrelevant that Beethoven lived during the
for a possible rapprochement between the two transitional period between classicism and
styles of music. Japanese and Western in- romanticism, since it was this that enabled
struments were also successfully combined, him to rise above his o w n era. His energy-
for instance in the works of Toru Takemitsu charged music appeals to young people in all
and Maki Ishii. Traditional instrumentalists countries, not only in Japan.
are being stimulated by Western trends and Where the musical taste of the Japanese
are even tackling works in the avant-garde is concerned, I would m a k e the point that a
style. The fact that traditional Japanese music marked change has taken place over the last
has recently begun to be appreciated in twenty years or so. Beethoven is still in the
Europe is perhaps also due to the enhanced lead, but by a somewhat smaller margin. H e
capacity for expression of modern European is even overtaken from time to time by
music. Mozart. But even more remarkable is the
However that m a y be, it is a matter of popularity of music by Bruckner, Mahler and
great importance that traditional music has Richard Strauss, which was. previously vir-
managed to make contact with the present, tually a closed book to the Japanese. N o w -
thus ending its previous isolation from West- adays, a concert with a symphony by Bruckner
ern music. is sure to draw a full house. There is even a
Bruckner Society with 700 members.
This change in taste is largely due to the
Changes in taste widespread availability of gramophone re-
cords, since records undoubtedly play a far
In general, Japan m a y n o w be described as a more important role in Japan than in Europe.
country in which European music, be it Thanks to recent advances in music recording
classical, modern or pop, is particularly and reproduction techniques, the Japanese
warmly cultivated. have acquired a taste for orchestral music for
Is it possible to discern a particular trend m a n y instruments and, not least, for opera.
in taste? Which composers enjoy the greatest The wave of enthusiasm for Wagnerian opera
popularity in Japan? Even abroad, it is a well- was entirely due to the influence of recordings.
k n o w n fact that Beethoven leads the field. Sales of the various complete recordings of
W h a t is the reason for this special fondness Wagner's Der Ring des Nibelungen are greater
for Beethoven, generally regarded as the most in Japan than in any other country. In most
G e r m a n of all composers in the history of cases, these records are bought by music-
music? People tend to overlook the excep- lovers w h o have never seen one of Wagner's
tional universality of his music. Beethoven's operas performed on stage.
musical language, despite the boldness of A s far as taste in classical music is
expression, is comprehensible on a scale that concerned, it already seems true to say that
is virtually unequalled in the history of music. there is no great difference between Europe
His melody, harmony and rhythm are charac- and Japan.
terized by compelling logic and unequivocal
simplicity. His musical style is not so steeped [Translated from German]
 THE STATUS OF CREATORS
T h e musician in Brazilian society,
past and present

Luiz Heitor Correa de Azevedo

The great François Couperin, in one of his A multicultural

suites for harpsichord, left us a colourful ac- musical tradition
count of the battle waged by musicians to gain
a position of distinction in society. I a m re- In the masterpiece by the Brazilian writer
ferring to the Fastes de la grande et ancienne Érico Veríssimo, O Tempo e o Vento (Time and
mênestrandise, in which the composer humor- W i n d ) , an Indian named Rafael appears, at
ously disparages the corporation which had the very beginning, playing on the clarinet
presumptuously sought to enrol, cheek by jowl a pavan by an Italian composer. The piece
with the jugglers andfiddlersw h o were its is set in the middle of the eighteenth cen-
members, the musicians of the king and those tury, in the days of the Jesuit reducciones1
of the aristocratic salons, in Paraguay, which were
theatres and churches of to be discontinued by
France. Couperin had Luiz Heitor Correa de Azevedo has the Spanish and the
been granted a coat of taught at the School of Music of the
Portuguese in order to
Federal University of Rio de Janeiro
arms and a knighthood. and at the Brazilian Academy of Music comply with the clauses
Could he allow himself in the same city, as well as in France of the Treaty of Madrid
to be regarded as n o and in the United States. Between 1947 in 1750, which granted
better than the beggars, and 1965 he worked as a programme part of their territory to
specialist on Unesco's music pro-
tumblers, acrobats and gramme. H e is the author of numerous the Portuguese crown.
freaks portrayed in the books and articles, including 150 Anos Pedro, another Indian
movements of his suite? de Música no Brasil (1956), and has of the reducciones, an
The quarrel ended in the contributed to the 5th and 6th editions almost mysticalfigureof
of Grove's Dictionary of Music and
law courts. a young warrior w h o died
Musicians and to other reference works.
Brazilian musicians, young, and w h o was to
or, at least, m a n y of them, become the ancestor of
have also fought for a one of the families fea-
better place in the sun. Over the centuries, turing in Verissimo's account, also played
and in keeping with the circumstances specific thefluteand the pipe.
to each period, they have found ways of Music was indeed highly regarded in the
winning recognition from their contempor- reducciones of Paraguay, and it is k n o w n that
aries.not only forthe artisticgifts that they pos- the first operas to be performed in Buenos
sessed, but also as citizens whose role and place Aires were sung by musicians from Jesuit
in society were universally acknowledged. backgrounds. In Brazil, where nothing c o m -
In this article, w e shall attempt to trace parable to the administrative autonomy which
the path of a progression of this sort in the the reducciones enjoyed had ever existed, the
multiracial society of present-day Brazil. society's colleges from the sixteenth century
668 Luiz Heitor Correa de Azevedo

onwards were nevertheless places where litera- is very popular today in all countries and is
ture, drama and music were cultivated ad known as the marimba), have finally been
majorem Dei gloriam. Documents of the forgotten in Brazil. Only percussion instru-
period, which have n o w been published,2 in ments are still in use, in particular a whole
particular the letters from the priests to their family of drums of all sizes, played with the
superiors in Europe, very frequently refer to hands or with drumsticks.
events connected with music and describe the Black musicians subsequently played a
advantages of its use in missionary work. The leading role in the making of popular Brazilian
Indian was sensitive to this art and took music. T h e genuine African music, brought
obvious pleasure in learning the melodies that by their ancestors, has been preserved in
he was taught to sing, as well as mastering the varying degrees of purity in religious centres,
instruments given to him. which are strongly attached to tradition.
In Indian societies, musicians were im- Moreover, this music is often still sung in the
portant people and their role blended with original languages, which the majority of the
that of priest and the doctor. So to m a k e singers no longer understand. But music for
music with the missionaries was not only leisure, divested of the taboos of the sacred,
pleasant, but a means of enhancing social has evolved considerably, and n e w forms of
prestige. Throughout South America, experi- expression have been invented, which form
ence had proved that music helped to open the core of a great deal of Brazilian popular
people's hearts and minds to the gospel. music as it is produced today, the samba
In colonial society (from the sixteenth being a typical example.
to the beginning of the nineteenth century), In the old senzalas, or slave-quarters, the
and in post-colonial society, the Indian m u - Africans gave free rein to their need to sing
sician was not markedly different from his and dance. Júlio Ribeiro, in A Came (The
European counterpart. The caboclo, of mixed Flesh), a classic of Brazilian naturalist litera-
white and Indian descent, is an integral part ture, has left us a striking picture of one of
of this society. H e is one of the major c o m - these dancing parties accompanied by the
ponents of the population in northern Brazil. frenzied percussion of drums and by songs
They are to be found in large numbers in the with those present repeating endlessly the
armed forces, and even today military music refrain: 'Ehl pombal EhV This- was the
groups (brass bands and wind bands) are samba.
nearly always composed of individuals with a The greatest samba composers of the
generous dose of Indian blood in their veins.3 twentieth century, heirs to this Afro-Brazilian
Eleazar de Carvalho, a well-known orchestra tradition, apart from a few white m e n , like
conductor w h o has had an international ca- Sinhô, whose real n a m e was José Barbosa
reer, was a musician in the ranks of the da Silva (1888-1930), or Noel Rosa (1910-37),
marine fusiliers. His mother was Indian and have been black, like the legendary D o n g a
was born in an Indian community. (Ernesto dos Santos, 1889-1974) or Pixin-
Africans have been extremely numerous guinha (Alfredo da Rocha Viana Filho,
in Brazil. It is probable that until the end of 1898-1973).
the slave trade, officially halted in 1850, sev- Since their initiation in the distant past,
eral million Africans were brought into the Africans in Brazil have been making music
country,1 with, a m o n g them, musicians w h o in the European tradition. For centuries, the
k n e w the songs and played the instruments big landowners, masters of numerous slaves,
of their h o m e country, and succeeded in maintained wind bands consisting entirely of
passing them on to later generations. black musicians in their fazendas. François
Instruments of a melodic type, like the Pyrard, in the seventeenth century, found one
sanza, with its metal strips, the flute, or the of these ensembles in Bahia, with a French
5
balafon (a xylophone with a resonator which conductor.
The musician in Brazilian society, past and present
A Tuyuka Indian from Amazonia blowing
a sacred pipe (after Theodor Koch-Gruenberg,
Vom Roroima zum Orinoco).
In the rich coffee plantations of the valley
of Paraíba in the province of Rio de Janeiro,
in the nineteenth century, ensembles of this
sort were not rare. The members, in uniform,
played waltzes for the grand balls organized
by their masters, or military marches when
there were open-air religious or other cel-
ebrations, always accompanied by the ex-
plosion of fireworks shooting across the
sky.
It was, however, on the Jesuits' huge
estate in Santa Cruz, near Rio de Janeiro,
that the training of slave musicians, both m e n
and w o m e n , attained such a high level of
development that it was appropriate to talk
669
of an academy of music. They performed
grand religious music with soloists, choirs
and orchestra, and produced operas. Marcos
Portugal, a well-known composer of the late
eighteenth century, w h o had returned in 1811
to the royal court, which at that time had
taken refuge in Rio de Janeiro, composed
more than one score for the chapel and the
theatre of Santa Cruz, whose musicians had
enchanted the music-loving king.
Karl Friedrich Philipp von Martius,
a Bavarian naturalist w h o had travelled
throughout Brazil at the beginning of the
nineteenth century with Johann Baptist von
Spix, and w h o was very interested in anything
connected with music, recounts in Reise in
Brasilien that, in the region watered by the
São Francisco river, on entering the property
of a mulatto landowner, he had the surprising
experience of taking part in a string quartet
in which the other violins were played by the
landowner himself and by two of his cowherds,
very probably black slaves,6 and w h o per-
formed quartets by Ignaz Pleyel.'
The mulattos, descended from the Afri-
cans but already m u c h closer to European
culture, were the undisputed kings of Brazilian
music throughout the eighteenth century. They
had become true professionals as composers,
instrumentalists and singers, and were to be
found everywhere, but more particularly in the
wealthy region of Minas Gerais, where musical
activity, accompanying the baroque explosion
in architecture and sculpture, was particularly
intense.
Francisco Curt Lange, w h o has studied
this period of Brazilian musical history, speaks
of it enthusiastically. H e stresses that there
were a great m a n y of these professores de arte
da música (teachers of music) at Minas Gerais.
According to him, not only music in the
famous churches of Vila Rica (today k n o w n
as Ouro Preto), but also secular music, 'was
almost entirely in the hands of mulattos w h o
were exceptionally experienced in the art of
music'.8
For the black m a n in colonial society, the
musical profession was therefore one of the
means at his disposal for rising in the esteem
670
of those w h o m accidents of birth and fortune
had placed above him.
A m o n g the most celebrated of these
eighteenth-century mulatto musicians were
the composers José Joaquim Emerico Lobo
de Mesquita (c. 1745-1805) from Minas
Gerais, and, in Rio de Janeiro, José Maurício
Nunes Garcia (1767-1830), w h o was a priest,
a musician at the court of D o m João V I ,
and a great figure in Brazilian musical
history.9
In the sphere of secular music, curiously
enough, it was another clergyman, a mulatto
n a m e d Ventura, w h o conducted the orchestra
at thefirstopera house opened in 1767 in Rio
de Janeiro. Louis Antoine Bougainville, the
French navigator w h o sailed round the world
between 1766 and 1769, recounts in his travels
having seen a 'humpbacked priest in clergy-
m a n ' s garb' conducting the orchestra in this
theatre.10
After the eighteenth century, mulattos
continued to abound in Brazilian musical
circles, though they were no longer the only
good musicians, or nearly so, as they had been
before. Whites of Portuguese or other descent
joined them and became increasingly nu-
merous. Nevertheless, some of the famous
composers of this period were mulattos, such
as Henrique Alves de Mesquita (1838-1906)
and Francisco Braga (1868-1945), w h o were
sent to Paris by the Brazilian authorities to
study at the Conservatoire. They composed
operas and taught at the Conservatory in
Rio de Janeiro.
Mário de Andrade notes that the musical
activities of black people were to all intents
and purposes ignored by Brazilian society
until the second half of the nineteenth century.
Their songs, instruments and dances were
considered as coisas de negros (belonging to
the blacks), and not as an expression of the
people of the country.11 The role of mediator
thus fell to. the mulatto, w h o , with his twofold
culture, was the intermediary between the
cultures of his African and his European an-
cestors. Through him, the African heritage
wasfinallyable to make itself felt in Brazilian
popular music, and thence to penetrate the
Luiz Heitor Correa de Azevedo
works of the composers of 'serious' music,
whether Brazilian or foreign, such as the
French composer Darius Milhaud, w h o knew
Brazil and drew inspiration from the creations
of its mulatto musicians.
In northern Brazil, where the Portuguese
had established thefirsturban centres, Bahia
and Recife, white musicians w h o were Euro-
pean or of European descent were more nu-
merous than in the land of adventure and
burgeoning national awareness formed by the
region of Minas Gerais (general mines).
Churches with bishops could not do without
celebrations which had to respect social con-
ventions. They had to bring from Lisbon,
with the square-hewn stone for buildings,
bells and ¡mages, scores, musical instruments
and musicians.
F r o m the sixteenth century onwards,
traces of these newcomers m a y be found. The
first prelate w h o disembarked at Bahia in 1552
was already accompanied by a choirmaster,
Francisco Vaca. Others followed, and this
chain of choirmasters and organists continued
unbroken until the beginning of the nine-
teenth century. Thereafter, it is true, the m u -
sicians in the service of the Church did not
necessarily all come from Europe. S o m e were
whites w h o had been born in Brazil. But these
were not very numerous. Nationals of the
country, with a few exceptions, had darker
complexions. W e have already met these
mulatto musicians w h o were to be seen almost
everywhere, even in the north, although that
region considered itself m u c h closer to the
mother country.12
In the nineteenth century, however, the
situation began to change, especially in the
southern part of the country, where European
immigration began to increase and national-
ities other than Portuguese began to arrive.
Nevertheless, the Portuguese continued to be
the strongest influence in this process of
'Europeanization'. A m o n g prominent, m u -
sicians of the nineteenth and twentieth cen-
turies were surnames such as Ambrosio,
Bevilacqua, Borgerth, Fernández, Gallet,
Gnatalli, Guarnieri, Hauer, Jacovino, Ja-
nacopulos, Karabchewsky, Krieger, Levy,
The musician in Brazilian society, past and present 671

Maristany, M a r x , Meyer, Mignone, Miguez,

Oschwald (which became Oswald), Parisot,
Praguer, Rudge, Santoro, Saules, Schic,
Schnorrenberg, Schwartzman, Tagliaferro and
Villa-Lobos, which certainly did not belong to
families of Portuguese origin.
In the seventeenth century, to come upon
a French music master on a plantation in
Bahia, as François Pyrard reported," was a
quaint and curious incident. In the nineteenth
century the presence of foreign musicians was
a c o m m o n occurrence and no longer as-
tonishing.
The .white musician's breakthrough into
popular music came later, particularly as far
as composition was concerned. Black people
and mulattos were long to remain the acknow-
ledged masters of this kind of music.

The organization
of the musical profession

Generally speaking, and from the eighteenth
century onwards, it is unlikely that skin colour
afforded grounds for discrimination in the
musical profession. T h e very fact of being a
musician—provided, of course, that the type
of music was acceptable to society, i.e. rel-
igious, lyrical or chamber music, composed
according to the rules taught by the European
masters—was a passport to all classes of so-
ciety, as was the priesthood, as w e shall see.
Talent, and society's need for thsir services,
were the sole factors governing the degree of
prestige enjoyed by musicians at that time,
whether white or of mixed race. Black people
and foreigners were to arrive on the scene
only later, as w e have already seen.14
White, black, caboclo or mulatto, the
musician naturally strove to find his place in
society, earn his living, and rise in the esti-
mation of his fellow citizens. T o that end, he
made plans, defended himself, attacked others
if necessary, intrigued, and had recourse to all
the means generally available to make a better
life for himself. W e find them as qualified
priests, doctors of one faculty or another
(music studies did not lead to a doctorate),15
traders, industrialists, bankers, sometimes
money-lenders, or engaged in local govern-
ment, or even in politics.
Naturally, such posts are the exception
rather than the rule. But the Brazilian m u -
sician, heir to Portuguese tradition, has
always set great store by professional
organization.
The ancient Brotherhoods of St Cecilia
were modelled on that of Lisbon, which had
existed since 1603. They were, however, estab-
lished in Brazil only in the eighteenth century,
when practising, professional musicians had
become almost as numerous as their col-
leagues in Portugal, if not more so, and
especially those w h o were already 'Brazilians'
and in some cases mulattos began to consti-
tute the great majority of the profession. In
the seventeenth century, the old Portuguese
masters could, if really necessary, consider
themselves under the protection of the found-
ing Brotherhood in Lisbon. They had not felt
the need to establish other branches on the
other side of the Atlantic. But n o w the situ-
ation had changed, and the Brotherhoods
which originated in America, unlike the one
672
in Lisbon, could not afford to close the door
to coloured musicians or to those suspected
of having Jewish blood in their veins. Fran-
cisco Curt Lange, in his study on the organ-
ization of music in Brazil during the colonial
period, says that he found no trace of racial
discrimination in the documents that he was
able to examine concerning the Brotherhoods
Luiz Heitor Correa de Azevedo
of St Cecilia in Brazil, and he rightly notes
that 'intermarriage with Jews was very c o m -
m o n in the north-east, and with mulattos and
blacks likewise'.18 H o w then, could music be
m a d e without recourse to these 'Brazilians'?
The Brotherhoods of St Cecilia, descendants
of the medieval trade guilds, but with stronger
emphasis on religion and with their o w n
The musician in Brazilian society, past and present
Figures in an Epiphany procession. Water colours by Carlos Julião (1740-1811). National Library, Rio de Janeiro.
chapels, were designed to defend the musical
profession which only their members, by
royal grace and favour, were allowed to
practise.
With the ending of these privileges in
independent Brazil, the Brotherhoods of
St Cecilia were replaced by other bodies
intended to provide solidarity and protection
673
for musicians. For example, on the Lisbon
model, there was the Monte-Pio Filarmônico
(superannuation fund) and the Sociedade
Beneficente Musical (musical welfare society),
which, in Rio de Janeiro, lasted almost
throughout the nineteenth century and ren-
dered considerable services to professional
musicians and their families.
674
T h e musical centres in the main towns
acted as recruiting agencies, and one could
apply to these centres to form large or small
orchestras for concerts or dances. In the
former capital, it was not unusual to see on a
programme for a symphony concert the note:
'Orchestra of the Musical Centre of Rio de
Janeiro'.
Under the socialist policy of the Getulio
Vargas government (1930-45) musicians'
unions were formed, but they never had any
real power, nor did they achieve anything
of note.
M o r e recently (1960), on the initiative
of the musicians themselves but officially
constituted by a decree of the President of
the Republic, the Order of Musicians of Brazil
came into being. It is reminiscent of the old
guilds and Brotherhoods of St Cecilia, with
compulsory membership for everyone working
as a musician, from the transcriber to the
conductor; but in other ways it resembles the
musicians' unions of the socialist countries of
Eastern Europe, providing holiday or retire-
ment homes, a documentation centre with a
department for reproducing scores, orchestral
equipment, etc.
The musician has sometimes had to fight
for his rights. Although trade-union pressure
did not m a k e itself felt as emphatically as in
the English-speaking countries, and although,
in particular, recourse to strikes was somewhat
rare, individuals nevertheless took action, in
the courts if necessary, as is shown in the
works of Régis Duprat 17 and Francisco Curt
Lange 18 on Brazil and its musical past.
Throughout the eighteenth century, there
was a conflict between the musician's freedom
t o w o r k and the official choirmasters and the
musicians w h o were usually supported by rel-
igious authorities claiming the monopoly of
the profession in the towns, even in the sphere
of secular music, to the detriment of their
independent colleagues w h o were not e m -
ployed in the service of the Church. For
consenting to a departure from the rules and
issuing a sort of work permit, they demanded
payment. Despite the slowness of transat-
lantic communications and the bureaucracy of
Luiz Heitor Correa de Azevedo
Lisbon, musicians w h o considered themselves
wronged by this sort of procedure had no
hesitation in appealing to the King's Justice;
some even addressed themselves directly to
the sovereign.
Nowadays, copyright disputes are c o m -
m o n . T h e famous composer Heitor Villa-
Lobos (1887-1959) and others of his gen-
eration were often sued by the authors of
popular tunes for using them in their c o m -
positions. O n the popular music scene, when
the authors of popular melodies were fre-
quently illiterate, this was a time where some
musicians recorded and published under their
o w n names tunes composed by others. S o m e -
times, of course, the tune's composer sold it,
or accepted an association with other partners
(e.g. the arranger or the lyric writer) in order
to share copyright royalties with them. U n -
surprisingly, a fair number of disagreements
and legal disputes arose.
The ambition of most was confined to
earning a little more money, to meet their
o w n needs and those of their families. Others
had aims which went beyond material welfare:
they also wanted a reputation and a respected
position in society. N o w , just as in those days,
both categories are active in Brazilian towns
and, where traditional music is concerned
(for there are traditional musicians w h o are
paid to perform), also in the vast, sparsely
populated tracts of the interior.19
Generally speaking, a good musician can
earn a decent living nowadays. His income
is higher even than at the turn of the century,
when the number of jobs open to musicians
was apparently greater, owing to the existence
of popular theatres producing light opera or
musical revues, folk-opera groups which
formed from time to time in São Paulo (a
town with a large number of Italians), the little
cinema orchestras (in the best cinemas there
were two orchestras, one in the auditorium,
the other in the foyer) and those playing in the
numerous beer-houses, tea-rooms or luxury
restaurants. But they had to work hard and
hurry from one place to another to earn
enough money, not to mention perform at
the occasional church service. It was not
The musician in Brazilian society, past and present
The samba composers D o n g a (Ernesto dos Santos)
and Pixinguinha (Alfredo da Rocha Viana Junior).
Victor Civita, São Paulo.
unusual for a musician to play at celebrations
that lasted until dawn and then to take part
in rehearsals which began very early.
The disappearance of the silent cinema
marked the beginning of the age of the
recording studio, which mobilized m a n y m u -
sicians in the lucrative service of records and
the radio. But these were the bread-and-
butter aspects of the trade and did not yield
very great artistic satisfaction.
Today, the average musician has more at-
675
tractive possibilities. Official orchestras, sub-
sidized by the state, the municipality or uni-
versity, orchestras for opera and ballet in
the large theatres, not to mention string
quartets or choirs under the auspices of of-
ficial bodies, all recruit the best elements and
set them to work on pieces of a m o r e a m -
bitious nature than those in the light or
popular genre to which musicians used to be
restricted in order to earn some extra money.
A split has occurred between musicians
playing 'serious' music and those specializing
in popular music. T h e musician playing in
the evening at the opera and recording sambas
the following morning in a studio is a figure
from the past. T h e musician specializing in
popular music is also trained,20 but he has
embarked on a fascinating adventure, which
can earn him a considerable amount of money
and which is not necessarily devoid of artistic
value. Performers, and especially arrangers
and conductors, are very generously paid in
this sector of their profession.21
Moreover, the numbers of teaching posts
in conservatories and music departments in
universities have increased and provide e m -
ployment for m a n y musicians, singers, in-
strumentalists and composers. Private music
lessons continue to be one of the musician's
best sources of income, while conferring on
him the prestige that surrounds the teaching
profession.
Musicians in economic
and political spheres
S o m e bold musicians have embarked on
adventures in trade. In the nineteenth century
there were workshops of transcribers, small
enterprises which were kept very busy and
were usually directed by experienced pro-
fessionals w h o were members of orchestras.
There were also music shops which doubled
as music-publishing houses. S o m e of these,
including some of the oldest in Brazil, were
founded and managed in their time by well-
k n o w n musicians, whose names they have
kept: Bevilacqua, Artur Napoleão (with w h o m
676
the composer Leopoldo Miguéz was associ-
ated), Levy, etc.
It was not u n c o m m o n for artists of
considerable renown to engage in commercial
activities of this type. These were sometimes
also motivated by the desire to be seen not
only as an artist, w h o m respectable society
admires but does not acknowledge as be-
longing to its élite, but as an equal, capable of
earning money like other people. The famous
Portuguese pianist, Artur Napoleão, for
example, was held in high esteem in Brazil,
where he lived and married a girl from a
well-to-do family; he recounts in his memoirs
that he decided to found the company that
still bears his n a m e (a publishing house and a
music shop) in order to be in a position to ask
for the hand of the girl he had chosen. Never-
theless, the bride was not led to the altar by
her father, w h o was opposed to the marriage.22
The founding of conservatories, schools
and academies of music revealed another
aspect of this enterprising spirit on the part of
musicians. In more recent times it has been
manifest in such towns as Rio de Janeiro,
Bahia and, especially, São Paulo. Without
attaining the number of music-teaching estab-
lishments that are to be found in Buenos Aires,
another city where the Italian population was
densely concentrated, the town of São Paulo
set up m a n y more establishments of this type
than the other Brazilian towns, which were
more attached to the official type of teaching.
São Paulo's important Music and D r a m a
Conservatory, dating back to 1906, heir to the
great traditions and in possession of a con-
siderable heritage, is the result of private
initiative. So is the Brazilian Conservatory of
Music in Rio de Janeiro, whose organizer and
first director was the composer Oscar Lorenzo
Fernandez (1897-1948), a good musician and
a skilful administrator.
A m o n g musicians there have even been
financial speculators. In an orchestra it is not
unusual tofinda 'financier', w h o lends m o n e y
to his colleagues and charges interest payable
at the time of the loan. Another such, in São
Paulo, a town which lends itself to specu-
lations of this type, used to operate on a more
Luiz Heitor Correa de Azevedo
ambitious scale and enjoyed a high standard
of living and a chauffeur-driven car, but saw
no reason to give up his musical profession
and was surrounded by pupils.
Heitor Alimonda, for example, an excel-
lent contemporary pianist and an artist to his
fingertips, was obliged to take overthe running
of a large family business; he has led a
successful double life as both pianist and
industrialist.
The two cases mentioned above are
remarkable for being piquant and unusual.
But today it is by no means exceptional for a
musician to be qualified in another profession,
although he does not practise it. A degree in
law, medicine, or even economics is an ad-
ditional string to his b o w , a guarantee of
security for the future, which satisfies his
family in thefirstinstance, but which is also a
good means of winning social recognition.
The same was true, in the past, of ordi-
nation. In keeping with Portuguese (and also
Spanish) tradition, the best musicians were
usually priests. In Brazil, where colour was a
barrier to be surmounted, holy orders were a
sure means of opening all doors. As Manuel de
Araújo Porto-Alegre observed, concerning the
mulatto composer, José Maurício Nunes
Garcia: 'the cassock superseded age, birth,
wealth and knowledge'. 23
There have also been musicians w h o have
been attracted by, or have let themselves be
drawn into, politics. For example, the choir-
master André da Silva G o m e s (1752-1844)
was to become a m e m b e r of the provisional
government formed in São Paulo in 1821 by
José Bonifácio de Adrada e Silva at a turning-
point in the history of the Brazilian nation,
culminating the following year in the sun-
dering of the political links that had bound
it to the mother country, Portugal.
Humberto Teixeria, the composer of
popular music w h o created the baião, a tra-
ditional type of music that academic c o m -
posers had never exploited, was elected a
federal representative and was very active in
parliament, of which he was a m e m b e r for
several years. Eleazar de Carvalho, a caboclo
born of an Indian mother, when at the
The musician in Brazilian society, past and present
A music class. Musée de l'Homme, Paris.
summit of his brilliant career as a conductor,
was a candidate in the legislative assembly
elections, but was unsuccessful.
Ideologically, with a few exceptions, the
Brazilian musician has never been strongly
committed to a particular stance. F r o m his
point of view, a good policy was one which
encouraged the development of the arts and
education. H e went no further, nor did he
strike exclusive or intransigent poses. In the
post-war years, however, some groups of
avant-garde composers produced manifestos
and publications as proof of their support for
left-wing radicalism. But this was not facili-
tated by the dilemma of 'freedom of creation'
as opposed to 'art in the service of the people',
which was exacerbated by ideological dog-
matism in the years following the notorious
congress of composers and music critics in
Prague in 1948. S o m e of their most gifted
677
members suffered a great deal from their
contradictions.
In the sphere of popular music, there
was n o lack of protest songs with words
containing direct accusations or veiled al-
lusions. T h e genre was very successful
throughout Latin America, as it w a s in the
United States. With the advent of the military
regime in 1964 a number of composers went
into exile, and certain songs were prohibited
by the censor.
It was not the prerogative of the trained
musician alone to earn his living by making
music for an audience that included both the
working class and the cultivated strata of
'conventional society'24—a society existing
side by side, even in the towns, with one
which continued to live and develop its o w n
beliefs and forms of artistic expression.
In Brazil, the traditional musician can
678 Luiz Heitor Correa de Azevedo

Street musicians in nineteenth-century Rio de Janeiro. Caricature by Angelo Agostini. 'That the police
allow such vagabonds to wander through the streets massacring the music of the masters and offending
the public ear is bad enough. But that people should actually stop to listen to them and even give
them money . . . horrors . . . that's too m u c h ! ! ! Kazys Voslylius.

also.be a professional and earn his living by
practising his art. Generally speaking, the
cantadores belong to this category: they are
popular singers w h o are at the same time
poets and musicians, heirs to the medieval
troubadours and k n o w n as troveiros in some
regions, w h o cultivate elaborate poetical
forms, the verses of which are often impro-
vised. They m a y be booked to sing in one
place or another, give a performance in the
street which attracts an attentive crowd w h o
m a y spend hours listening, and w h o never
refuse to give a coin as each person's vol-
untary contribution. These poet-singers m o v e
constantly from town to town, sometimes
organizing complete tours, during which they
sell their literature or show films in which
they star. T h e most famous of these have
even converged on the capital, advertising
themselves by taking advantage of the media
at the disposal of conventional society in the
big cities in the south, and arranging to be
welcomed by the authorities."
Women musicians
W o m e n cannot be dissociated from the prac-
tice of music, nor could they even at a time
when their position in society was evidently
very different from what it is today. This was
the case despite, on the one hand, the preju-
dice surrounding the theatre and the world
of entertainment in general, and, on the other,
their limited participation in sacred music.
The musician in Brazilian society, past and present
Concert at the Mozart Club in 1870 (from Vida Fluminense, a Rio de Janeiro journal). Kazys Vosylius.
W o m e n ' s voices are needed in most works
written from the seventeenth century on-
wards. So h o w could music be performed
without recourse to w o m e n ? In Portuguese
and Spanish society they were undoubtedly
obliged to show greater reserve than was
customary in other countries. But neither in
Lisbon nor Rio de Janeiro were they for-
bidden to sing, either in the theatre or (later,
admittedly) in church.
W o m e n instrumentalists as professional
musicians emerged at a relatively recent date:
first as teachers or concert soloists, and sub-
sequently as members of the orchestra. A n d
whereas initially they played the violin or the
cello, nowadays they m a y play any instrument
whatsoever.
679
Perusal of the list of thefirstteachers to
work at the Imperial Conservatory of Music
in Rio de Janeiro in 1855 reveals no w o m e n ' s
names. Less than half a century later, when
the National Institute of Music, which super-
seded the old Conservatory, was opened
in 1890, there were already two w o m e n on
the teaching staff. Today they are possibly
more numerous than their male colleagues
at the Music School of the Federal University,
which took over from both above-mentioned
establishments and which has a w o m a n
principal.26
O n e example, symbolic of the occu-
pational independence of w o m e n was the
composer Francisca Edwiges Gonzaga (1847-
1935), w h o outfaced prejudice by making a
680 Luiz Heitor Correa de Azevedo

career in the popular theatre, which was timely death of the young Brazilian composer
considered suspect by society in her day. Glauco Velasquez had been left unfinished.
She was the daughter of afieldmarshal in
the imperial army. Her n a m e is still associated
with the early success of carnival music in Amateur musicians
Rio de Janeiro.
The musician in society is also someone w h o
does not m a k e music his profession, but w h o ,
Foreign musicians thanks to his talents, can give society some-
thing of infinite value for its hours of leisure
A s w e have already observed, from the nine- and reverie: the magic of sound. Music finds
teenth century onwards, m a n y foreign m u - its w a y into every h o m e . There is music in
sicians chose to live in Brazil's major towns all the villages. The piano, the accordion and
and take part in the development of local the guitar are instruments to be found in
artistic activities. French and Germans were people's houses; there are small 'lyre' or
thefirstto settle, followed by m a n y Italians 'euterpe' societies for wind instruments, and
and, more recently, Slavs—not counting the choral societies or ensembles in churches,
Portuguese, of course, and the less numerous schools and factories. All these involve m a n y
Spanish and others. Today a number of people in music-making, under the guidance
excellent musicians, originating from various of a small number of professionals, teachers
Spanish-speaking countries on the American or leaders of instrumental or vocal groups.
continent, have m a d e their homes in Brazil. A few amateurs have achieved distinc-
In the second decade of the nineteenth tion. It can be recalled that the Leal family,
century, the Austrian Sigismund N e u k o m m , in Rio de Janeiro, successfully formed a real
w h o had been a pupil of Joseph H a y d n , moved family orchestra at the beginning of the
to Rio de Janeiro.27 nineteenth century. The head of the family
The Spaniard José A m a t , w h o arrived was one of the best surgeons in the
in 1848, created a national opera in Rio de capital.
Janeiro, where the works of classical masters The present author personally knew
and new works by Brazilian composers were Mario Saraiva, the principal of the Institute
sung in Portuguese. of Chemistry in Rio de Janeiro, w h o was also
Luigi Chiafarelli, an Italian, lent his n a m e an outstanding violinist. In his youth, he gave
to the training of a great m a n y good pianists recitals, both in Brazil and abroad. H e became
in the first half of the twentieth century in a collector (and a great connoisseur) of old
São Paulo. A n d Hans Joachim Koellreutter, musical instruments.
w h o had escaped from Hitler's Germany, In thefieldof composition, names famous
taught most of the best contemporary Brazi- for other reasons have left us works that are
lian composers. by no means lacking in taste or skill.28 Viscount
The names quoted above belong to a list de Taunay, one of the outstandingfiguresin
that contains infinitely more, and does not nineteenth-century Brazilian literature, pub-
mention Portuguese musicians such as the lished a number of musical compositions
pianist Artur Napoleão (1843-1925), or the under the pseudonym of Flávio Elisio. A n d
cellist and theoretician Frederico do Nasci- Aloysio de Castro, a professor in the faculty
mento (1852-1925), for w h o m Brazil was only of medicine and a m e m b e r of the Brazilian
an offshore island of the mother country. Academy of Letters, living in the twentieth
The French composer Darius Milhaud century, has left us musical scores besides
lived in Rio de Janeiro from 1917 to 1918. his poetic works. So, too, has Carlos de
H e took a close interest in the country's C a m p o s , a politician w h o was president of
music, and completed scores which the un- the State of São Paulo and whose operas
The musician in Brazilian society, past and present 681

A bela adormecida (The Sleeping Beauty) and
Un caso singular (A Special Case) were per-
formed in São Paulo and in Rio de Janeiro,
in 1924 and 1926 respectively.
Amateurism is a phenomenon insep-
arable from the art of music and should not
be looked d o w n upon. N o t all music is
composed to be performed by virtuosi and
listened to by a passive audience. There are
forms of music which require active partici-
pation by everyone. A n d the amateur cannot
be deprived of the pleasure of improvising or
even composing music, any more than he can
be prevented from drawing or painting. At
times, even, the distinction between amateur
and professional is somewhat blurred. In
which category, for example, should we place
Borodin, or the Mexican opera composer,
Aniceto Ortega (1823-75), a doctor like his
contemporary Borodin? O r Jaime Ovalle
(1894-1955), the author of the delightful song
'Azulão', which every Brazilian singer has in
his repertoire? Amateurism is a social p h e n o m -
enon, and a particularly important one, be-
cause it involves a considerable number of
individuals from all walks of life w h o nearly
always seek to increase their enjoyment of
music by forming large or small groups,
ranging from small orchestras and choral
societies to chamber-music ensembles.
[Translated from French]

Notes

1. Unique autonomous national escutcheon. Katia 9. Cleofe Person de Mattos,

communities of Christian
Indians run by Jesuit
missionaries.
2. In particular by Afrânio
Peixoto, in the collection
of the Brazilian A c a d e m y
of Letters which bears his n a m e ,
but also by the National
Archives and the National
Library of Rio de Janeiro.
Sefrafim Leite's immense work,
História da Companhia de
Jesus no Brasil (History of the
Society of Jesus in Brazil),
10 volumes, 1938-1950,
sums up the situation and
includes a full bibliography.
3. This is particularly striking
in naval musical groups. T h e
caboclo is a seafarer.
4. It is impossible to give
the exactfigurebecause,
when the Republic was
proclaimed in 1889, the
government ordered all archives
concerning the slave trade
to be destroyed, with the
magnanimous, but disastrous
for historians and
anthropologists, intention
of removing this blot on the
M . de Queiroz Matoso,
in her book Être esclave
au Brésil (Paris, Hachette, 1979),
states that almost 10 million
black people were transported
to the American continent in
its entirety. Brazil was
certainly the country which
received the largest number.
5. Seconde partie du voyage
de François Pyrard, p. 563,
Paris, Samuel Thiboust, 1625.
6. Spix and Martius, Reise
in Brasilien [Travels in Brazil],
Vol. 11, p . 539, Munich, 1828.
7. Ignaz Pleyel (1757-1831),
an Austrian composer,
w h o founded a musical
publishing house and the
famous piano factory in Paris.
8. Francisco Curt Lange,
'Os Irmãos Músicos da
Irmandade de São José
dos homens pardos, de
Vila Rica' |The Musician
Brothers of the St Joseph
Brotherhood for Black M e n
in Vila Rica], Inter-American
Institute for Musical Research
Yearbook, Vol. V , p. 110, N e w
Orleans, Tulane University, 1968.
Catálogo temático das obras
do Padre José Mauricio
Ñunes García, Rio de Janeiro,
Conselho Federal de Cultura,
1970.
10. Louis-Antoine
de Bougainville, Voyage
autour du monde, p. 77, Paris,
Saillant & N y o n , 1771.
11. 'Those w h o study the
making of Brazilian society
in the colonial period,
and even during thefirsthalf
of the nineteenth century,
are struck by the lack of
importance accorded to black
people in the arts of movement,
poetry, song and dance. This
does not m e a n that the black
slaves in Brazil had no folklore
of their o w n . They had a
substantial and well-defined
folklore, but Brazilian society,
until the mid-nineteenth century,
proved impermeable to the
Afro-black influence in the
sphere of music, poetry and
dance, despite its acceptance
of some customs and material
traditions. A s a result, even
Afro-black words designating
682
choreographical or musical
items, samba, urucungo
(musical b o w ) , marimba, etc,
referred exclusively to black
people's property and not that
of Brazilians in general.'
Mário de Andrade, 'Cândido
Inácio da Silva e o Lundu',
Revista Brasileira de Música
(Rio de Janeiro), Vol. X ,
1944, p. 32.
12. In the three volumes of
Músicos Pernambucanos do
passado [Pernambuco Musicians
of the Past] (Recife,
Universidade Federal
de Pernambuco, 1971-79),
Jaime C . Diniz introduces
us to twenty-eight
choirmasters, organists and
other instrumentalists born
in the seventeenth or
eighteenth centuries. Six of
these musicians are mulattos,
three arc listed as white, and
there is no indication of colour
for the others. It is, however,
probable that they were children
of European fathers and
mothers, especially in the case
of those born in the
seventeenth century.
13. Seconde partie du voyage de
François Pyrard, op. cit.
14. Andrade, op. cit.
15. Even today, in Brazilian
universities, where music was
not introduced as a subject
of study until 1931, the student
of music can sit only for the
baccalauréat (which is the
equivalent of a licence
in a French university) or for
a Master's degree. The present
author's music tutor, José
Paulo da Silva, a black, was a
Doctor of law at the Federal
University of Rio de Janeiro.
16. Francisco Curt Lange,
' A Organização Musical
Durante o Período Colonial
Brasileiro', V Coloquio
Internacional de Estudos
Luso-Brasileiros—A etas,
Vol. IV, p. 385, Coimbra, 1966.
17. Nisi Poggi Obino and
Régis Duprat, ' O estanco na
música do Brasil colonial'
[Stagnation in the music
of colonial Brazil],
Inter-American Institute for
Musical Research Yearbook,
op. cit., p. 98.
18. Lange, o p . cit.
19. The interior is the hinterland,
far inland from the coast
on which people and cultures
from Europe and Africa first
disembarked.
20. The expression'trained'
is applied here to musicians
w h o have learned and w h o
practise music according to
established rules, and w h o
have attended an academy
of music or similar institution.
21. The split between 'serious'
and popular music exists only
at the level of the profession,
and results from the high
degree of specialization
required to perform the latter
in front of an audience. A s
far as professional training
is concerned, the two branches
have moved closer to each
other. Apart from drummers,
w h o play by instinct, the
other musicians in a popular
group usually come from the
same mould as those of a
symphony orchestra. Artistically,
too, there has been a
rapprochement. Concerts in
which both types of music
arc played arc not rare, which
proves that musicians do exist
w h o arc capable of playing
one type as effectively as the
other.
22. The memoirs of Arthur
Napoleão were published
in the year of his death (1925)
by the newspaper Correio da
Manhã in Rio de Janeiro.
Their serial publication lasted
until the beginning of the
following year. The pianist's
first marriage took place on
25 April 1871.
Luiz Heitor Correa de Azevedo
23. Manuel de Araújo
Porto-Alegre, 'Apontamentos
sobre a vida e obras do Padre
José Maurício Nunes Garcia',
[An account of the life and
work of Father José
Maurício Nunes Garcia],
Revista do Instituto Histórico
et Geográfico do Brasil
(Rio de Janeiro), Vol. X I X ,
1856, p. 357.
24. B y 'conventional' society—as
opposed to 'traditional'
society—is here meant that
which is nurtured by 'all that
comes from secular or religious
authority, and especially
everything taught at school
or in the catechism', as
P . Saintyves says on page 33 of
his Manual de Folklore (Paris,
Librarie Émile Nourry, 1936).
25. This is the case, for example,
of the blind singer, Aderaldo,
w h o had an interview
in Brasilia with President
Juscelino Kubitschek, and is
reported to have improvised an
irreverent quatrain aimed at him.
26. This school has already
had other w o m e n principals.
Joanídia Sodré, w h o was the
first, held the post between 1946
and 1967 and went on to
become Dean of the
University Council.
27. H e fell ill, and returned to
Europe in 1821 on the advice
of his doctors. H e died in
Paris in 1858. See L . H . Correa
de Azevedo, 'Sigismund
N e u k o m m , an Austrian
Composer in the N e w World',
The Musical Quarterly (New
York), Vol. X L V , 1959, p. 473.
28. Let us not forget that,
in France, besides
Jean-Jacques Rousseau, the
philosopher Gabriel Marcel
left musical scores of which
he was very proud. N o r
should w e overlook the fact
that some very great
composers, such as Borodin
and Charles Ives, were basically
only 'Sunday composers'.
 THE STATUS OF CREATORS
Social security for composers
and free lances

Karl Rössel-Majdan

Cultural specificity pearing in print and accordingly the financial

and legal norms returns, the struggle to hold one's o w n under
the pressure of highly competitive mass-
Music has benefited most from the develop- produced works turned out by the technical
ment of copyright laws and, since the devel- means used in industry, and so forth—but
opment of electronic recording and repro- more specifically in the fact that under the
duction, musicians have received—at least u p laws of most countries freelance creators of
to the present—the greatest share of royalties works of the mind have hardly any oppor-
derived from the utilization of copyrighted tunities for enjoying social-security benefits.
materials by the mass media. Only in the Therefore, composers are driven, even more
era of the mass media, so than authors, painters
namely the twentieth cen- and sculptors, to take ref-
tury, has the importance D r Karl Rössel-Majdan has occupied uge in some other field
of copyright assumed a number of key positions in Austrian of professional activity;
broadcasting, professional, artistic and
such enormous pro- teaching organizations, amongst them
they become teachers or
portions for the creators the Austrian Artist's Union (founder) critics, or even have to
of works of the mind. and the Working Association for Art retreat into a non-musical
Neither the psychological and Science (Secretary-General) with occupation. However,
over 250,000 members. H e has p u b -
nor material aspect of lished Verlogene Demokratie (1948),
n e w trends are emerging,
this problem, that is to Rundfunk und Kulturpolitik (1962), Vom which can n o longer be
say, the relationship be- Wunder der menschlichen Stimme (1975), disregarded by research
tween copyright and the m a n y brochures and articles as well as workers or by political
giving some 3,000 lectures, courses and leaders. T h e purpose of
mass media, has been
broadcasts,
thoroughly investigated this article is to draw at-
by sociological research tention to the great inter-
workers. In the age of the national significance of
affluence-oriented society and the fast-devel- these most recent developments.
oping welfare state, it is a socio-political and The alienation of creative artists from
sociological fact of no little significance that society has been observed in cases other than
there are very few freelance composers. T h e that of composers, and what Bruce A . Watson
reason for this does not lie merely in the says about painters, calling to witness such an
special difficulties of the profession—such as eminent figure as Gian-Carlo Menotti, is
the need to rehearse one's o w n works with an also true of authors and composers:
orchestra and find a means of disseminating
them through publishing houses, thereby in- W h e n the middle classes got the itch to make
money . . . and when their political and economic
creasing the number of musical scores ap-
power had become secure, they felt the need to
684 Karl Rössel-Majdan

win a social status comparable to that of the cultural relationships, coupled with a k n o w -
aristocracy. Their philistinism, the relentless pur-ledge of the relevant legal terminology and
suit of material well-being and the full commit- of the organization of the activities of the
ment to economic life left little room for an media, will alone help to solve such problems
inspired interest in painting. Art-values became in the future. T h e Russian concept of the
distinguished from the values of the economic
world and, henceforth, painters were relegated 'kult rabotnik' can perhaps be taken over
to the fringe of the predominant system of values. quite straightforwardly in French (travailleur
It is to the Italo-American composer, Gian- culturel) or English (cultural worker). In the
Carlo Menotti, that w e o w e one of the most case of the G e r m a n translation, however, the
startling attestations to the existence of this harm which can be done to composers,
mentality in so far as our own time is concerned. authors and other copyright owners by classi-
H e believes that creative artists (as opposed to fying them as 'Kulturarbeiter'' becomes quite
performers), at least in the United States, are clear w h e n w e consider the labour laws under
accorded no esteem whatever, and are usually
which they then fall. In a contract of e m -
regarded as the most superfluous members of
society and, what is more, as unmanly, unreliable ployment, the ownership of the product of
and unbusinesslike.1 the work done is considered to be transferred
to the employer. This would m e a n that an
Further evidence of social isolation, the causes artist would lose the copyright on his work
of which lie not only in society but also in entirely. T h e expression 'national culture' is
the artist himself, is afforded by the fact that equally insidious, particularly w h e n combined
the artist, and especially the free lance, has with the words, 'responsibility towards the
dropped out of the affluent society. L o n g society in which he is living'. Is the term
before this theme had been taken u p at the 'national culture' applicable to the culture of
level of international politics, it had attracted the Muslim peoples of, say, Siberia and the
the attention of specialists in the sociology neighbouring states, to the social order of
of art and music. 2 the Masai people dwelling in K e n y a and also
T h e present author had the occasion to in the United Republic of Tanzania, to what-
lead an Austrian delegation of experts at the ever culture it m a y exist in Kashmir, in South
meeting on the status of the artist which was Tyrol, in Karelia, a m o n g the Kurds, and so
convened by Unesco in M a r c h 1980. Later, on? The fact that 'to nationalize', in the sense
in the a u t u m n of the same year, the General of transferring to state ownership, is not the
Conference adopted its recommendation o n same as 'to socialize', in the sense of forming
this subject.3 Social security and freedom of associations, becomes particularly evident and
creation often appear to be incompatible. important w h e n viewed in this context and
T h e task of reconciling them was m a d e par- with cultural relationships in mind.
ticularly difficult by the drafting of definitions In Musik, Rundfunk und Hörer,* Silber-
and their translations against the background m a n n showed h o w m u c h harm can be done
of divergent political interests. N o r m a y the precisely to cultural policy and the mass
fight for social-security protection be w o n at media by overlapping concepts such as those
the cost of freedom. T h e mobility of freelance referred to above, which tend to neutralize
collaborators on a project is not only a necess- each other. This induced the present writer
ity for the mass media, for musical festivals to devote m a n y years to research which led
and for the theatrical world, but also an him to see cultural statistics relating in par-
advantage for the artist himself. T h e greatest ticular to the media from an entirely n e w
security is offered by an appointment to an angle for practical political purposes.
official service subject to state regulations,
but this puts an end to all possibilities of It is difficult for us to start because in the general
professional diversification. A general so- political vocabulary of Europe the words 'cultural
policy' ought really to be written very small.
ciological or socio-political survey of socio-
Thisfieldis dominated by party and state politics
Social security for composers and free lances 685

Above: representation of instruments from the

treatise De Institutione Musica by Anicius Manlius
Severinus Boéthius (c. 475-524), the R o m a n
scholar, philosopher and statesman, also author of
De Consolatione Philosophiae (written in prison
awaiting execution for conspiracy). T h e treatise,
adapting and elaborating Nicomachus of
Geresa's Greek handbooks, was the last theoretical
work of Antiquity and the principal source of
medieval musical theory. Staatsbibliothek, Munich. D . R .

Right: the medieval tonal system in doseian

notation from the treatise Musica Encheiriadis
(tenth century) by Hucbald, probably Count Otger
of Laon, lay abbot of Saint-Amand in France,
k n o w n as 'Pseudo Hucbald', to distinguish him from
the better-known scholar and humanist of the
same n a m e , also the author of a musical treatise.
Nationalbibliothek, Vienna. D . R .
686
and when w e open the daily newspapers w e read
about the escalating competition between the-
great powers which are applying a state-managed
economic policy of intercontinental proportions
in the race for control of underdeveloped nations,
but w e read nothing about cultural policy. Cul-
tural attachés seem to be a typical luxury of
larger embassies. Yet the greatest mistakes in
the colonial management of the so-called econ-
omically underdeveloped, but by no means cul-
turally underdeveloped, Asian and African peoples
were m a d e because purely Western economic and
political thinking took no account of cultural
needs. Even a political genius like Churchill saw
in Gandhi only a beggar, one of the have-nots in
economic terms, and failed to appreciate the power
of his mind. In thefieldof foreign affairs, culture
lacks direction in so far as it is a matter of taking
a systematic approach to the attainment of col-
lective social goals, which is precisely what politics
is about. In h o m e affairs, on the other hand, cul-
tural policy is so inadequately developed because
the cultural institutions themselves usually pro-
duce or disseminate culture in a quite haphazard
w a y and fail to steer a methodical cultural policy
towards the attainment of their goals. Cultural
policy is still widely confused with foreign policy
in cultural matters, being conducted in some
respects at the expense of culture or even in such
a w a y as to defeat its ends. 6
Cultural policy can be conducted in a m e a n -
ingful w a y only as part of overall social
policy. This is believed in the case of economic
policy and social legislation policy. Yet, even
then, nothing is k n o w n about the interactions
with culture. T h e consequences of this ig-
norance are seen in a lack of creativity, a low
standard of conduct in economic activities, a
failure to understand h u m a n nature a n d , in
general, an inability to develop a w a y of life
worthy of humanity. Other effects are evident
in a self-seeking mentality which drives u p
all prices, destroys nature and causes the u n -
aesthetic transformation of the environment.
U n d e r the title 'Plea for an Independent
Cultural Policy', Robert Reichardt, c o m -
menting o n the g r o u n d w o r k for negotiations
with the Austrian G o v e r n m e n t which was car-
ried out by the cultural associations formed in
defence of c o m m o n interests, writes, amongst
other things:
Karl Rõssel-Majdan
At this point some readers m a y ask: W h y this
sophistical, hypersensitive postulate of clear-cut
dividing lines between the spheres of action of
economics, politics and culture? Are not all these
fieldsfirmlyjoined together? D o not knowledge
and value judgements carry weight in economics
and politics, just as culture has m a d e demands
on the latter?
Of this there is no doubt; but knowledge and
value judgements are precisely what culture has
contributed to economics and politics. Market
forces operating in obedience to economic lwas
care nothing for values and knowledge nor for
the creative individual, or, at best, turn them to
their o w n advantage. The same goes for politics,
which is concerned with power-sharing and ac-
cordingly with people's demands for equality. It
was quite natural for Napoleon to poke fun at
intellectuals and dismiss them as 'ideologists'.
W h e n artists and scientists find themselves in a
situation where their intellectual achievements are
harnessed to political interests, this affords evi-
dence simply of the effects of political dynamics
and not of the amorality of politicians. Artists
and scientists should in fact also be 'political
people' but as intellectuals they should still have
a stronghold beyond the reach of the state and
the economic system. This points directly to the
assumption that cultural institutions should be
self-governing. The fear that artists and scientists
would mismanage the finances entrusted them,
or even cease to perform their functions as soon
as they were rid of the clutches of bureaucracy,
betrays a hidebound mentality and a total inability
to appreciate to what a high degree the spirit of
initiative and personal commitment can be de-
veloped in individuals by entrusting them with
important tasks.
W e must n o w m a k e it quite clear that econ-
omics, the political system and culture each obeys
its o w n built-in laws. They would warp each
other's structures if they allowed these regulating
mechanisms to intrude upon each other or to
intermingle. The major aspects of society—which
we have just identified as economics, the political
system and culture—are interlinked in another
way, namely through every individual's partici-
pation in all three types of activity. W h e n artists
and scientists were mentioned above, it was only
with reference to professional groups whose ac-
tivity lies mainly in thefieldof culture. But here
we must emphasize that everybody participates
in culture, even people w h o are apparently 'only'
consumers. 6
Social security for composers and free lances 687

In politics as in labour legislation, a distinc- disadvantage of being taxed at a high rate on

tion is usually drawn between self-employed fluctuating earnings which m a y amount to a
and employed workers. T h e employed cat- largefigureonce in a while, with long intervals
egory comprises, the bulk of industrial and offinancialuncertainty.
office workers, including public servants stand- N o r is the composer an official or a
ing in a contractual relationship to an e m - salaried employee covered by social-security
ployer, and the self-employed category is provisions, with fixed working hours, a reg-
usually understood to comprise every type of ular income and sickness and retirement in-
entrepreneur. A m o n g the self-employed are surance benefits. His primary activity falls
included lawyers, doctors, trustees and the neither into the economic and profit-making
like. Generally speaking, they are in a comfort- category, nor into the state-commissioned
able financial position and have some access category, which is democratically regulated
to capital and equipment, although this is by by conditions laid d o w n in a fixed employ-
no means true of all of them. It is open to ment contract. T h e philosophical emphasis
doubt, from the sociological point of view, tends, in Western capitalist systems, to be
whether they therefore belong to the economic placed on the individual's aspiration towards
sphere or should be regarded as belonging to material gain and, in the East-European sys-
the cultural one at least on the grounds that tems, on his political function. Nevertheless,
this would be consistent with the main pur- culture is governed by its o w n inherent laws
pose of their activity. In state capitalism the and must be judged morally and juridically
public authorities m a y be viewed as another according to the principles they imply. This
kind of entrepreneur. This classification is is of crucial importance, especially in a period
usually based on the crude political idea of of rapid social development which is charac-
capitalism as being in opposition to the 'work- terized today, on the one hand, by the undue
ing m a n ' . Vague notions in politics lead, h o w - emphasis placed on political power and, on
ever, to vague legislation. Let us start by the other, by the invasion of culture by a
considering the meanings of the words 'self- technocratically efficient economic system.
employed' and 'employed'. W h a t is the pos- Shortly after the end of the Second World
ition of the composer in this context? W a r , Alphons Silbermann was already able
The composer works independently, yet to report that his research had yielded im-
is at the same time economically dependent. portant results which showed very clearly h o w
H e has n o capital or, rather, he only has his h u m a n and cultural realities can be bypassed
intellectual capital. T h e word 'only' is used by politicized and over-organized systems:
here to indicate that, from an economic point
of view, his capital is useless, because none of for cultural-sociological planning is undertaken
on a long-term basis. It is bound by neither place
it can be carried to his credit, because it
nor time, since it must continuously adapt itself
cannot be lent and because, in short, it con- to the socio-cultural changes brought about by
fers none of the advantages that capital offers new social processes.7
to a self-employed entrepreneur. Therefore,
whenever composers and authors are included Silbermann also underlines the significance of
in the category of self-employed workers, culture as follows: 'that in order to endure
they run the risk of having to put up with the and satisfy its instinct for survival society has
disadvantages of being an entrepreneur, with- to rely for the most part on the preservation
out enjoying any of the compensating advan- of its culture, its cultural spheres and its
tages: for example freelance artists have to culturalfieldsof influence'.8
pay trade taxes and often, in the case of
painters and sculptors, transportation taxes
if they m o v e their works themselves in their
o w n vans or cars. They have the further
688 Karl Rõssel-Majdan

_ r-d1

^^ll
«¡i; iií

J
ZZZZZZWÍÜCÜ4!| j^fantu vr3<(ff [lavnf<lfan>n
Ífitr;

T w o examples of the work of Ottaviano di Petrucci (1466-1539), of Fossombrone near Urbino,

inventor of the printing of music by means of metal characters, which he patented in Venice Left: tenor

The new supports
T h e process that began with the invention of
the printing press in thefifteenthcentury has
attained an entirely n e w dimension five cen-
turies later, especially since the Second World
W a r . T h e techniques of the cinema, radio,
tape-recording, television, etc., which began
to be developed as a result of the progress of
electrical engineering around the turn of the
century, have n o w , at the dawn of the elec-
tronic age, proved to be capable of seizing
every expression of an idea or an emotion,
recording it, and then converting it into a
marketable product. While politicians con-
tinue, for want of mature insights into this
social process, to m a k e one mistake after
another, the creators of cultural works have
barely begun to understand what is happening
to them, to say nothing of the disseminators
of cultural works. F o r example, w h e n people
talk about pluralism and the concentration of
power, they are usually thinking only about
newspapers:
The press is by nature the major outlet for
opinions on matters concerning concentration.
Not only do newspaper publishers and editors
express their views in the press; spokesmen for
other institutions also like to use this forum, so
that the opinions and arguments appearing in the
press give an all but complete picture of the
prevailing state of affairs.9
But the monopolistic position occupied by the
electronic media has recently become far more
important, not so m u c h in relation to the
consumer and his allegedly restricted choice
as in relation to the creative artist, w h o is n o w
becoming dependent, for his very livelihood,
upon a single user of his copyright-protected
works. There is nothing reprehensible about
economic interests in themselves, but if in-
tellectual w o r k becomes subordinated to,
and absolutely dependent u p o n , these interests
and the controlling powers behind them,
this will perforce inhibit its freedom of devel-
opment.
Cultural activity has already been partly
subordinated to economic purposes as a result
Social security for composers and free lances
Wiii^a
part for thefirstB o o k of Masses by Josquin des Prés. Right: soprano part for a Mass by Alexander Agrícola.
D.R.
of the operations of the mass media. T h e
state and the economic system are waging a
new kind of cultural struggle to gain the
ascendancy over public opinion. Sociological
guidance becomes particularly important in
this situation. M a n y years ago, the present
author explored a possible way of promoting
the self-awareness and intelligent self-restraint
of broadcasting services, starting out from
an investigation of the technical processes.10
O n e of the most acute topical problems facing
the educational world today is h o w to prevent
people from losing the power to distinguish
between an original work and its reproduction.
Unfortunately, in art and music no really
thorough research has been carried out on the
reasons for the widespread tendency a m o n g
the Austrian people to lose their natural ear
for music and the active artistic abilities with
which they were originally endowed. It is only
through his o w n mental and musical activity
that the individual will develop a capacity for
making comparisons and find the antidote to
relentless 'doping' by the mass media. R e -
689
¿Ásete/
search work commissioned and financed by
industry will enlighten us no further on this
matter; but h o w m u c h independent academic
research is being done?
The fear of the loss of cultural integrity
and of cultural autonomy runs like a red
thread through all North-South discussions
held within the Unesco framework, as, for
example, w h e n two members of the MacBride
Commission, Gabriel Garcia M a r q u e z and
Juan Somavia, reserved the right, in the gen-
eral comments, to point out that political
influences on the one hand and commercial
influences on the other have m a d e the mass
media extremely dangerous for the culture of
developing countries. They also drew atten-
tion to the fact that the importance of research
into cultural policy was still insufficiently
acknowledged. 11 Specific popular cultures are
to developing countries what the cultural
integrity and freedom of the individual are
to industrialized ones. The present writer has
therefore attempted, by means of research
into cultural statistics and public opinion, to
690
provide cultural policy with methods that
would enable the individual and the group to
resist the tendency to surrender their distinc-
tive identity under the growing pressure of
majorities. H e has also pointed to the need
for a European cultural policy. The scope of
the necessary cultural policy must n o w be
extended at the international level, as is in
fact happening in some branches through the
action of Unesco. In this connection, political
or economic claims to power should not, of
course, be the only decisive factors. T h e
widespread idea that cultural policy would be
limited to establishing a development budget
is quite irrelevant to the search for a solution
to such an urgent problem. 12
T h e situation in Austria
O n the basis of the findings of research into
the social function of living culture, cultural-
political measures expected to have very far-
reaching effects have been adopted in Austria
over the last few years. Thefirststeps taken
under the auspices of the major umbrella
organizations and the collective movement of
scientific, artistic and educational associations
formed in defence of c o m m o n interests and,
at the international level, by the recognized
professional secretariats for art and enter-
tainment established within the International
Confederation of Free Trade Unions and the
European Confederation of Trade Unions.
W e wish to draw attention here to a vitally
important aspect of the w a y in which the
conclusions of these socio-cultural inquiries
and reflections are applied in Austria. In
Austria, as elsewhere, a great deal is written
about mass communication problems" and,
just as in other countries, the public auth-
orities spend large amounts of m o n e y on the
promotion of the arts. A s is everywhere the
case, these sums are far too small and have
often proved to be the almost exclusive
financial incentive for intellectual and artistic
work. 1 4 However, a n e w departure was m a d e
possible by the especially important role
played in shaping a specific social policy by
Karl Rõssel-Majdan
the Austrian Federation of Trade Unions,
which bears no resemblance, apart from its
title, to trade-union movements in other
countries.15
'Social partnership' is the n a m e given
to the negotiating relationship between e m -
ployers and employees, both sides being fully
organized into interest groups when labour
legislation questions and wage and social-
welfare problems are under discussion. B y
itself, this would be nothing but a tussle for
power, and although it might prevent or post-
pone a chaotic and unruly strike movement
and the employers' militant counter-measures,
it would be powerless to solve economic
problems, which are, of course, linked u p
with social problems. These negotiating bodies
therefore perform a second function, through
the relationship k n o w n as 'economic partner-
ship'. T h e negotiating parties then act as pro-
ducers and consumers and accordingly defend
their interests o n fronts which run right
through the trade-union bloc and the c o m -
merce-and-industry bloc. The introduction of
this system enabled development to proceed
smoothly and peacefully and m a d e political
interference and radical disturbances quite
pointless. The problem of the cultural domain
proper remained unsolved until there finally
emerged a grouping of the art and culture
organizations, associations formed to de-
fend the interests of composers, authors,
painters, sculptors and performers, exploi-
tation companies and trade-union sections.
Furthermore, these formed an alliance with
teachers and scientists, thereby creating a basis
for negotiations for a cultural partnership.16
These democratic associations and coalitions
are not separate pressure groups but are fun-
damentally representative of the whole of so-
ciety viewed from its economic, social or cul-
tural aspects. For a long time, Unesco, the
Council of Europe and other international
bodies have repeatedly called for, welcomed
and encouraged the formation of self-rep-
resenting associations and groupings of this
kind, especially for the highly individualistic
branches of cultural activity, where the de-
mands of intellectual freedom could not often
Social security for composers and free lances 691

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i w L ^ Af/k/ypfûh "\prffi-^£ njlcf ñ($r~¡ &4- Vt '/

' *\h>>Q-')?tPiyUhlf*+i¿trVdrtfaw « W * # > ^j/h^fft^yU' rufe-íri-^i, 4

The oldest known transcription of the hymn Ein feste Burg ist unser Gott (A Mighty Fortress is
our G o d ) written by Martin Luther around 1524. Receipt of the manuscript is acknowledged by Luther
in his o w n handwriting: ' A gift from m y good friend, Herr Johann Walther, composer of music at Torgaw,
the Year of O u r Lord 1530'. Protestant hymns (chorales) were intended for congregational singing,
thus breaking with the earlier practice of their use in liturgy. Edlmages/Palix.
 692 Karl Rössel-Majdan

be distinguished from the legal necessities of an nature must be safeguarded and preserved
autonomous organization of a generally rep- through the protection of the environment.
resentative character. In his sociology of the W e still have to realize that the protection
mass media, Silbermann indicates that their of inner life, in the sense of the protection of
effects can be understood only in terms of the the individual's personality, must be assumed
nexus of relevant ideas and experience." W h a t as the counterpart to the protection of nature.
he says in this work about apathy and il- This also explains w h y individual freedom is
literacy caused by the audio-visual media is of particular importance as the source of
universally valid. There is nothing more culture. According to this conception, the
dangerous than the situation which arises intermediary institutions, such as theatres,
w h e n creative artists cut themselves off from concert halls and art-galleries and the tech-
society. T h e researcher's reference to social nical media belong to culture. A n e w c o m -
relationships is not sufficiently enlightening.18 munication order, such as the M e m b e r States
N o r is it enough for Silbermann and myself of Unesco are seeking to establish, finds its
to have drawn attention in our writings to support and justification within this frame-
the fact that it is as necessary in cultural work, in so far as the freedom of the media is
matters as it is in the economic system to respected both inside and outside the oper-
obtain a general picture of the production, ational field of the media. 'Democratization
distribution and consumption patterns.19 Poli- of the media' should not be understood to
tics takes no great notice of true scientific mean, as is usually the case in the cultural
insights into social relationships. Spectacular world, glorifying the tastes of the majority
efforts at co-operation between scientists and and imposing limitations on the scope of
politicians, as in the case of the Club of R o m e , intellectual work, but rather providing sup-
have not yet set in motion a process of social port and protection within the framework of
renewal starting from the grass roots and a democratic legal system.20
moving upwards. That is w h y it w a s con-
It is important for composers and
sidered so important that people w h o are
authors, in a social blueprint of this kind,
engaged in cultural activities should organize
that a n e w function with fundamental and far-
themselves, but also take great pains to pro-
reaching implications be assigned to copy-
vide information. A comparatively simple
right as a special legal means of protecting
diagram was used as the foundation for an
the individual. A few explanations are called
autonomous cultural policy (see Fig. 1).
for on this point.
This shows in simple graphic form, for the The revised 1886 Berne Convention for
purposes of discussions and negotiations, that the Protection of Literary and Artistic W o r k s
there are realms outside society, within which and the 1952 Universal Copyright Convention
and with which society has to live. It obtains established with the aid of Unesco, which
its economic foundation from nature but, on represents, for those states that have not
the other hand, in order to do this, it needs ratified the Berne Covenant, a substitute for
to receive the impulses of living culture from the latter, although providing a more limited
the individual's realm of ideas. W e have at degree of protection, define as authors and
last realized that, if society is not to perish, protected works a n u m b e r of persons and

Nature Individual
(material) Economy Law Culture (ideas)

Production Legislation Creation

Turnover Administration Media
Consumption Jurisprudence Education

FIG. 1.
Social security for composers and free lances 693

productions which are specifically listed. collaboration of the exploitation c o m p a n i e s

T h e 1961 Convention for the Protection of with each other a n d with trade u n i o n s a n d
Performers, Producers of Phonograms and other associations formed to defend c o m m o n
Broadcasting Organizations provides that pro- interests should serve as a counterweight to
tection similar to copyright shall be extended multinational users, if creative individuals are
to reproductions and their use. Owing to not to be exposed, at the present time w h e n
the importance of the whole field of cultural their works can so easily be used b y electri-
activities, the most diverse state organiz- cally and electronically controlled techniques,
ations have repeatedly and earnestly rec- to the risk of losing their greatest right a n d
o m m e n d e d that convention for further rati- with it, the economic bases which are essential
fication. T h e 1936 Austrian Federal Act to their creative activity.
concerning copyright protection for works of T h e Copyright Charter contains the
literature and art and related property rights following description of its international
(copyright law) formulates the very apt con- character:
cept of 'personal works of the mind'. In its
first article it defines works of literature and A n intellectual work, the fruit of personal, cre-
ative endeavour, possesses a universal character,
art as follows: ' W o r k s as defined in this Act
even if it incorporates essential elements taken
are personal works of the mind in the field from a particular country's language and customs,
of literature, music, the fine arts and the and the totality of intellectual works m a k e s u p
cinematic art.'21 This unmistakably personal the c o m m o n cultural heritage of all m a n k i n d .
quality justifies the protection of the individ- Moreover, an intellectual work is not tied to the
ual's personality. Intellectual property, by its possession of property in a particular country;
very nature, is non-transferable and irretriev- it crosses borders easily. It is therefore very
ably attached to the person of the creator. important, in national legislation, to include
Nevertheless, the most diverse uses can be special provisions for the protection of foreign
allowed, or are, in certain circumstances, works and to arrange as well for international
authorized by law even against the author's protection to be given to copyright with the aid
of international conventions and treaties.
will. A n d this is the point that lies at the root
Above all, observance of the principle that
of the great social struggle of our time, (to
foreign and national works should be treated
which little attention has so far been paid. identically must be guaranteed in national laws
At the present time, m o r e and more interest and international conventions, as well as in
is being shown by the users of technologically mutual assistance agreements concluded between
advanced means of communication in copy- the authors' associations of different countries.
right, its alienation and transfer to the user, This principle corresponds to a m o r e advanced
as well as in the influence of legislation con- stage at which consideration will be given to
cerning the acquisition of the right to the free broader issues than that of the defence of mutual
use of works. In former times, this w a s a material interests. All discriminatory measures
prerogative belonging to the Church and against foreign works, such as thefixingof quotas,
conferred o n the state by the grace of G o d . must be dropped; foreign works must be assured
of unconditional protection without having to
Authors are n o w organized, of their o w n free
comply with any formalities. The right of trans-
will and in accordance with the law, into lation, which is especially important in the inter-
exploitation companies which they formally national context, must be an exclusive right of
invest with full power to look after their the author of the original work. Only in this w a y
interests. In this w a y it is possible, on the one is it possible to ensure accurate translations a n d
hand, to operate a system of collective pro- guard against the dangers attendant u p o n a state
tection and, on the other, to negotiate col- of anarchy in the dissemination of cultural assets.
lective agreements in regard to the easing of The multilateral international agreements,
restrictions o n the use of works, especially which are open for accession by any country in
for the mass media. It is important that the the world, such as the Berne Union's Convention
for the Protection of Literary and Artistic W o r k s
694 Karl Rõssel-Majdan

and the Universal Copyright Convention, are the put a stop to the 'pirate' cutting of gramo-
most effective means of securing international phone records. Copyright also protects the
protection of copyright. Authors are expecting user from further illegal uses. A n e w right, at
the afore-mentioned agreements to be further present in process of negotiation, is the fee for
developed in such a way as to promote even facsimile reproductions. Copying of material
closer collaboration in the task of establishing a covered by copyright is intellectual theft.
m o r e homogeneous and even more comprehen-
Technical advances which facilitate copying
sive system of protection. Authors will never
forget the decisive pioneering role which the Berne of any kind jeopardize copyright and. can
Union for the Protection of Literary and Artistic only be brought under control through out-
W o r k s has played since it brought into being the right agreements or l u m p - s u m fees. Cable
Convention of 9 September 1886, which rep- television represents a n e w use, as does the
resents one of the most important international cassette. T h e satellite also falls into this cat-
achievements of the last century. egory. Library lending and the hire of audio
If the arrangements for the international and video cassettes endanger the occupations
legal protection of copyright are to be effective, of artists, composers and others. A n e w sys-
national and international measures must be tem of protection for folklore is being de-
taken to facilitate the unrestricted distribution of manded by concerned countries in South
works throughout all countries in the world and America and elsewhere. Exploited cultures,
the establishment of an international payments and especially folk-music, are losing substan-
system so designed as to guarantee that authors
are promptly credited with the amounts due to tial earnings. Folklore, however, has n o
them for the use of their works in the various k n o w n composers. Nevertheless, the perform-
countries. In order to attain these objectives of ing artists are k n o w n . It should be of help
effectively securing international protection of to these people if the states were to decide to
authors' rights and facilitating the broadest pos- allow exploitation companies of performing
sible distribution of works of the mind, it is also artists and also of authors, to which an ap-
necessary to conclude multilateral international propriate fee could then accrue for, a m o n g
agreements on the avoidance of the double tax- others, the u n k n o w n author. F r o m the social-
ation of copyright royalties remitted from the policy standpoint, a totally n e w significance
country where the work is utilized to the country attaches to earnings of this kind.
where the author is domiciled.22
Originally the predominant principle
was that of individual claims. Exploitation
Copyright protection companies are non-profit-making. They ad-
and social security minister incoming revenue, are under state
control and share out the net receipts a m o n g
N e w uses and technical developments for that their m e m b e r s according to a points system.
purpose also m a k e it necessary to develop Since the conclusion of collective agreements
copyright further. If, in the future, states d o on the mass production of radio programmes,
not wish to bear the ever-increasing burden this distribution has had to be computerized.
of a cultural proletariat, they must ensure a However, in the case of revenue from the n e w ,
freer circulation of intellectual property for comprehensive uses, which for the most part
the use of the public by laying d o w n appro- cannot be checked in detail, there is n o w a y
priate provisions o n protection and use in to substantiate individual claims to the pay-
favour of creative and adaptive people. They ment of sums of a certain size. This produces
should not allow might to prevail over right funds which can be distributed according to
through expropriation. N e w uses and rights other criteria. S o m e of these funds are used
are, for example, the transcriptions of radio by the exploitation companies themselves to
broadcasts on tape or of television pro- provide social assistance. However, it is far
g r a m m e s on video cassettes. Efforts are being beyond the statutory function of an exploi-
m a d e , through international agreements, to tation c o m p a n y to set up an old-age pension
Social security for composers and free lances 695

Manuscript score of the prelude to the second act of Wagner's Die Walküre, composed between
January 1854 and March 1856. Wittelsbach Archives, Munich. Edimedia.
696 Karl Rössel-Majdan

or sickness-insurance scheme. The Federation the public authorities in the special situation
of Cultural Interest Associations in Austria23 and problem of the creators of cultural works.
therefore decided to sponsor a social insurance Little research has been done into the social
act of its o w n for the creators of cultural function of intellectual, intangible factors like
works, and has lobbied the government and intuition, talent and m a n y another which are
political parties with this d e m a n d on countless hard to equate with financial and legal con-
occasions. It was necessary to hold an inten- siderations. There is no doubt that it would
sive campaign of information and expla- betoken a backward political outlook in the
nation within the associations and their pro- age of the mass media if people still wanted
fessional groupings. At the time of this article to believe that culture was merely the court
going to press, intensive negotiations are in jester of the sovereign, of the people in a
progress with several competent ministries democracy or of whoever happened to be the
under the leadership of the Ministry of Social current ruler. The interactions and interre-
Welfare on individual provisions of a draft lationships between culture and the economy,
act. T h e special feature is that, because c o m - between culture and the state, await investi-
posers and free lances have no contract of gation and recognition of their importance
employment, they can at best find the e m - and their consequences for social policy. In
ployee's contribution to a fund, and not that Austria, in keeping with the personal nature
of the employer. Subsidies have been of some of copyright, the idea was also mooted of
help for this purpose, but are at risk in this either giving the actual proprietors (com-
period of economic recession. A fund is to be posers for example) a specific legal personality
established to take care of the employer's in the parent organizations shared with their
contribution. This fund is guaranteed by the users (the publishers) or of reserving primary
state, but will also receive moneys out of n e w exploitation companies exclusively for the
collective revenues from copyright and re- actual individual creators of cultural works,
lated rights. In this w a y it will also be possible and bringing the users' associations and users'
to give artists a hand with their contributions exploitation companies, which have been
in periods of low earnings. Professional ques- formed more frequently in recent years, into
tions should be assigned to an autonomous a relationship with them which is appropriate
committee of experts which is to be set u p to copyright and consistent with its spirit.
at the Federal Ministry of Education and the
In this w a y an effort is being m a d e to
Arts. This promising draft act cannot be
promote, as the ruling principle, help towards
discussed in further detail here. M a n y ques-
self-help, and to give culture, in the form of
tions of sociological importance bound u p
the creators of cultural works, as m u c h control
with the distinctive character of the freelance
as possible over their o w n affairs.24 T h e
and artistic professions will be given consider-
measures described here are part of this de-
ation. O n e of the special features is that m a n y
velopment.
an author or composer, having attained rec-
ognition only late in life even though his Fundamental sociological insight on the
works were created at an earlier date, has been part of the national and international pro-
compelled by the requirements of national fessional associations is consistent with the
insurance regulations to remain in retirement, demand that in the technocratic age, along-
unable to continue his work. A converse side political and economic influences, the
special case is that of a ballet-dancer w h o , for socio-psychological and socio-cultural expec-
physical reasons, becomes unable in middle tations of the beneficiaries of culture and
life to continue the practice of her profession. education must not be forgotten, but neither
Studies under way in the Federal R e p u b - must those entertained at the source of in-
lic of G e r m a n y and just started in Austria tellectual creation is cultural policy, and the
m a r k a beginning in arousing the interest of whole of social policy along with it, are not
to suffer severe damage in the long run. 25
Social security for composers and free lances 697

In the m u s e u m of the Arthea Group in Grasse, France. This group practises 'sound management',
consisting of instantaneous work with sounds not based on any written text or preconceived
improvisational schema, to allow access to more subconscious and organic levels of listening and sonic
production. Research has concentrated on modes, as used in Asian music and that of Ancient Greece,
a system based on 'precise psycho-physiological data and knowledge of the semantic content of sounds',
as opposed to the abstract theories and notation adopted in the West since Pythagoras. Marie Paule Nègre/Rush.

The Unesco Declaration on the Mass Media 26
and the functions intended for professional
organizations of agents of the mass media of
influencing the mass media on the lines of
the decisions of nations had not been pon-
dered or sufficiently thought out." A n e w
information and communication order28 will
need to understand the role of the media as
intermediaries in the whole structure and the
great social function of culture. It is possible
to adopt individual measures, but only by
fitting them into a comprehensive panorama
of social functions. T h e influence of groups
must certainly be taken into consideration
here, but not as executing agencies of politi-
cal, industrial or commercial power. State
and economy cannot survive without each
other, but they must respect each other's
peculiarities. In the future, however, both will
have to grasp the fact that h u m a n beings
revolt intellectually against one-sided politi-
cizing, just as they d o against one-sided c o m -
mercializing. Culture will have to be rec-
ognized and accepted as a partner, with
independent status, of social development.
Instead of a s u m m a r y of the basic social
thinking behind the n e w moves to create a
social-security scheme for composers and free
lances (the creation of such security without
restriction of freedom is also a postulate of
Unesco in the Recommendation concerning
the Status of the Artist and wholly consistent
with the initiative taken by the European
Trade Union Committee for Art and Enter-
698
tainment calling for 'action in the cultural
field' by the European trade unions), w e m a y
quote an extract from the position paper of
the Arbeitsgemeinschaft für Kunst und Wis-
senschaft (Working Association for Art and
Science), the parent organization of c o m m o n
interest, for negotiations with the Minister of
Social Welfare in Austria. This paper forms
the starting-point for the legislative process
n o w under way.
Position of culture in society
The cultural policy of the associations is based on
a certain conception of social policy. It arises from
the facts and from the need, amid the reshaping
of our society that is taking place in this age of
technology, to integrate culture functionally into
the reforms and democratic development in prog-
ress. Society obtains its material goods through
the economy, which is founded upon the natural
resources exploited with the aid of labour. It
obtains its intellectual goods and amenities
through culture, which is founded upon the
creativity of individuals; this in its turn, with the
help of intellectual and artistic work, is restored
to society in the form of knowledge and ability.
Austria has all the prerequisites for ensuring that
culture has its place in society. The social part-
nership between employers' and employees' or-
ganizations serves the interests of society not only
in the economy but also in culture. The economic
partnership brings these interests into harmony
with economic policy and with the interests of
producers and consumers. In this process, cultural
interests as such are not taken into consideration.
T h e large cultural associations therefore demand
to be acknowledged by state and economy as
interlocutors for cultural policy and its social and
economic consequences. The same considerations
prompt the demand for a say whenever the
interests of culture are at stake. The same applies
to the need, alongside social and economic stat-
istics, for cultural statistics covering intellectual
creation, intellectual mediation and mass c o m -
munication, and intellectual consumption or edu-
cation. A compilation of the laws on culture is
also needed.
Social security in the cultural field
W h e r e permanent appointment to the public
service or establishment in s o m e other post is
Karl Rôssel-Majdan
not feasible or desirable, it is necessary, especially
for those free lances w h o cannot be classified
with the economically self-supporting, to m a k e
social security available while maintaining free-
d o m and mobility in the artistic or creative pro-
fessions. A s examples of security schemes inde-
pendent of or external to enterprises, mention
m a y be m a d e of the Building Workers' Holiday
Fund and. the Pharmacists' Fund. In order to
safeguard unhampered mobility for programming
enterprises and free lances, an independent old-
age insurance fund should be established to
which contributions would be m a d e out of the
proceeds of commissions, contracts of employ-
ment, short-term royalty agreements, contracts
of service and contracts for manufacture. Further-
more the Exploitation Companies Act should be
adapted so that, where individual rights cannot
be determined, money derived from the collective
use of intellectual property m a y by democratic
decision accrue to the exploitation companies. In
addition there remains the possibility of contri-
butions out of public funds; there is also the
question of integration of the Artists' Aid Fund
or of contributions out of the Library Subsidy if
there are advantages and greater security to be
gained for the groups concerned. In intellectually
creative and adaptive professions (not identical
with purely intellectual work), the pension and
retirement provisions should be suited to the
individual profession. Dancers and artistes are
professionally exposed to an exceptional strain
on the body in youth and have a lower pro-
fessional age-limit than other workers, but in
most cases begin their careers in childhood.
Various authors often attain intellectual maturity
late in life.29
Sociological developments coincide with the
practice of professional policy. T h efirststrong
impetus o n the part of the creators c a m e from
the composers, and its continuation today,
which augurs well for the future, m a y be seen
in self-management and the development of
copyright, a n d a n increasing social function,
that can never be lost even in the age of the
media, is assigned to the actual cultural in-
stitutions, as w e have already pointed out at
the International Vienna Conference of the
Musical Theatre Committee. 3 0
[Translated from German]
Social security for composers and free lances
Notes
1. Bruce A . Watson, Kunst,
Künstler und soziale Kontrolle,
p. 50, Cologne/Opladen,
Westdeutscher Verlag.
2. René König and Alphons
Silbermann, Der unversorgte
selbständige Künstler,
Cologne/Berlin, 1964.
3. Recommendation concerning
the Status of the Artist adopted
at the General Conference held
in Belgrade. For the acquisition
of rights through the employer,
see also: Robert Dittrich,
Arbeitnehmer und
Urheberrecht, p. 59, Vienna,
Manzsche Verlagsund
Universitätsbuchhandlung, 1978.
4. Alphons Silbermann,
Musik, Rundfunk und Hörer,
Cologne/Opladen,
Westdeutscher Verlag, 1959.
5. Karl Rössel-Majdan,
Rundfunk und Kulturpolitik,
p. 11, Cologne/Opladen,
Westdeutscher Verlag, 1962.
6. Robert Reichardt, 'Plädoyer
für eine eigenständige
Kulturpolitik', in Kultur
als dritte Kraft, pp. 21 et seq.
Guidelines to cultural policy
(published in Gewerkschaft
Kunst, Medien, freie Berufe,
on behalf of the Joint
Association for Art and
Science, Vienna, 1978).
7. Alphons Silbermann,
Musik j Rundfunk und Hörer,
p. 184, Cologne/Opladen,
Westdeutscher Verlag, 1959.
8. Ibid., p. 166.
9. Alphons Silbermann and
Ernest Zahn, Die Konzentration
der Massenmedien, p. 232,
Düsseldorf/Vienna, Econ Verlag,
1970.
10. Karl Rössel-Majdan,
Der Rundfunk, Vorgeschichte
und Wesen, Vienna,
Wühlern Braumüller
Universitäts-
Verlagsbuchhandlung, 1953.
11. Sean MacBride et ai.,
Many Voices, One World
(report by the International
Commission for the Study of
Communication Problems
established under the
presidency of Sean MacBride
at Unesco), p. 281,
L o n d o n / N e w York/Paris,
Kogan Page/Unipub/Unesco,
1980.
12. Rössel-Majdan, op. cit.
13. Bibliographie der
österreichischen Literatur zur
Massenkommunikation 1945-75
Salzburg, Verlag Wolfgang
Neugebauer, 1978.
14. Eisler-Secky-Sterk-Wagner,
Die unbekannte Sammlung
(material for the state's
organization of the promotion
of the arts in Austria), Vienna,
Federal Ministry for Education
and the Arts, 1979.
15. Fritz Kienner, Hundert
Jahre österreichische
Gewerkschaftsbewegung,
Vienna Verlag des österreichische
Gewerkschaftsbundes,
1981.
699
16. Karl Rössel-Majdan,
'Ausbruch aus d e m
elfenbeinernen T u r m ' ,
in Otto Staininger (ed.),
Kulturlandschaft Österreich,
Europaverlag.
17. Alphons Silbermann
and U d o Michael Krüger,
Soziologie der
Massenkommunikation, p . 81,
Stuttgart/Berlin/Cologne/Mainz,
Urban Taschenbücher/
Kohlhammer, 1973.
18. Ibid., p. 70.
19. Ibid., p. 25.
20. MacBride et al.; op. cit.,
p. 262.
21. Urheber- und Verlagsrecht
(with the international
convention and the
Austrian and Swiss laws),
p. 240, Munich/Berlin,
Becksche
Verlags-Buchhandlung, 1966.
22. Kultur als dritte Kraft,
op. cit., pp. 234 et seq.
23. Ibid., pp. 104 et seq.
24. Ibid.
25. Silbermann and Krüger,
op. cit.
26. MacBride et al., op. cit.,
p. 274.
27. Ibid., p. 261.
28. Ibid., p. 274.
29. Kultur als dritte Kraft,
op. cit., pp. 104 et seq.
30. Proceedings of the Vienna
Conference of the Musical
Theatre Committee, Vienna, 1972.
 THE STATUS OF CREATORS
The status of the
traditional musician in Asia

Tran Van Khê

Thirty years ago, it was difficult to discover he 'worked in television', when they were
traditional musicians in any Asian country, introduced.
except for Japan and India, w h o were able to In Asian countries, professional m u -
make a living merely from music-making or sicians and dancers generally enjoyed a mar-
w h o would even admit to being professional ginal social status on the lowest rung of the
musicians. social ladder. However m u c h as they were
In most countries in South-East Asia, a sought after or liked, they were almost in-
traditional musician had to have another pro- variably despised.
fession, such as craftsman or farmer. O n the Those w h o enjoyed any princely favours
occasion of a marriage feast or a funeral or were respected and admired by the aris-
service, he could play in tocracy were few.
an instrumental ensemble Kings and princes,
brought together and di- Tran Van K h ê is Director of Research noblemen and scholars
at the French Centre National de la
rected by a 'non-pro- Recherche Scientifique. H e has pub- did not scorn music.
fessional' or 'semi-pro- lished widely, especially on Vietnamese M a n y of them were tal-
fessional' musician, an music. His address is: 44 rue Clément ented musicians, but w h o
ensemble which would Perrot, 94400 Vitry-sur-Seine, France. only played for their o w n
hire out its services for a pleasure. They were liked
moderate charge. Never- and respected as 'non-
theless, as soon as such professionals'. H o w strik-
ceremonies were over, he ing the difference be-
would return to his main tween a professional and
occupation as a crafts- an 'amateur' musician!
m a n or farmer. The socially inferior
Even if music pro- status of the traditional
vided him with his main musician w a s accentu-
source of income, a traditional musician pre- ated still further in the twentieth century with
ferred to advertise a profession which was the advent of Asian musicians trained in the
considered to be more 'respectable' than that European musical tradition.
of musician. The present author had an illus- Fortunately, over the past ten years,
tration of this in Iran, somefifteenyears ago, traditional musicians in several Asian
where he met an uncontested master of tra- countries have c o m e out of their 'ghetto',
ditional singing under the 'professional guise' some of them with the esteem of their fellow-
of a minor police official responsible for minor countrymen. O n the international scene, once
offences and an accomplished performer of they have c o m e into the limelight of the
the zarb or Indian drum, w h o told him that concert halls of the Western world, they have
702 Tran Van Khê

felt themselves enveloped in a n e w aura, they sang and danced at court banquets, to
bearing the mark of success, which m a y , in the accompaniment of the musicians of the
the near future, change the course of their palace. The kings of the Koryo dynasty often
lives and remove their inferiority complex chose their concubines from a m o n g the ki-
with regard to Western musicians. saengi and could ennoble them. This privilege
was brought to an end, however, by King
Taejing (1401-18), under the Yi dynasty at
Musicians and singers the beginning of the fifteenth century. The
at the bottom kisaeng were selected at the age of 15 from
of the social scale among the ch'onmin w h o belonged to a lower
caste. Their tasks were music-making and
Professional female singers have always been serving drinks at court banquets, but their
6
considered as courtesans or slaves. In the status was little better than that of slaves.
ancient Viêt civilization, as early as the L y At the beginning of the century, they were
dynasty (eleventh century A . D . ) , court singers, treated in the same way as the ip'ae or w o m e n
referred to as xuong nhi or ca nu, were re- of questionable morality or the samp'ae w h o
cruited from a m o n g the c o m m o n people. were prostitutes.
There were more than 100 singers in the In Japan, the geishas, players of the
service of Queen Thiên C a m , the spouse of shamisen, a three-stringed lute, dancers or
King L y Thai Tông (1035).1 A m o n g the people, hostesses w h o served sake, a rice wine, were
singers called a dào were organized into as- not prostitutes. They were brought up with
sociations referred to as giao phuong. In m u c h refinement and some were very cul-
contests, they were judged not only for their tured. In society, however, they were often
singing but also for their behaviour.2 In Viêt mistaken for courtesans.6 At the court, in the
history, a number of these singers played a eighteenth century, the status of singers 'was
part, in one w a y or another, in the fight identical to that of the w o m e n employed in
against invaders,3 and yet they were not held the Royal Wardrobe'. 7
in high esteem. U n d e r Article 40 of the In China, in early times, the jiniu were
Marriage Laws established during the H o n g courtesans w h o knew h o w to sing and play
D u e period (1470-97), court dignitaries w h o music.8 Wall paintings and early pictures show
took professional singers as spouses or con- h o w female musicians belonged to the in-
cubines were sentenced to corporal punish- strumental ensembles of the court. During
ment of seventy strokes of the cane or even the Ming dynasty in the fifteenth century,
deportation. The children of singers, actors, there was even an orchestra entirely c o m -
actresses or rebels, children w h o were guilty posed of female musicians, the jiao fang si niu
of ingratitude towards their parents and per- yue. There were some 116 of them in the
sons accused of incest were not allowed to service of the Empress and their presence was
take part in the triennial contests leading to observed at the sacrifice offered by the E m -
the appointing of doctors of letters, future press to the patroness of sericulture.9
dignitaries of the court.4 At the beginning of
In Taiwan, at the beginning of this cen-
the present century, a number of a dào singers,
tury, young girls from poor families were
formerly modest peasant girls, settled in the
adopted by brothel-keepers. Between the
red-light districts of the cities, where they
ages of 12 and 16, they learnt to sing and play
were k n o w n as cô dâu. The singers, although
musical instruments such as the pipa, a pyri-
different from the cô dâu ruou w h o offered
form four-stringed lute, and the sanxian, a
rice wine to their clients, were considered to
three-stringed lute. They subsequently began
be courtesans and viewed with disdain.
their career by serving drinks to customers
In Korea, the kisaeng met with a similar and by singing and playing music. In Taiwan,
fate. During the Koryo dynasty (918-1392), they are referred to as geh dang. Without
 The status of the traditional musician in Asia
Traditional Korean court orchestra giving a broadcast performance. Musée de l'Homme, Paris.
actually being prostitutes like the jiniu, they
were nevertheless considered as such and
numbered some 400 in Taipei in 1936.10
In India, the tawà'if, hired singers and
dancers, were, in general, prostitutes.11
In the Arab countries, the qaina, the
'singing serving-girls', 'singing slaves' and
'courtesan musicians' w h o offered their ser-
vices in the hana or licensed brothels, were ill-
considered by the general public, even though
some of them left their mark on posterity
through their talent.12 Those w h o were slaves
in the homes of rich or noble families were
regarded with greater tolerance. Under the
rule of the orthodox Caliphs (632-61), music
was considered to be a 'forbidden pleasure'
and two qaina, Thãbja-al-Hadramiyya and
Hind bint Y ä m i n , had their hands cut off
and their teeth pulled out.13
Professional musicians enjoyed à mar-
ginal social status. They were either slaves or
beggars or belonged to the lowest caste in
society.
In the early Viêt civilization, they were
subjected to the same treatment as were
children w h o displayed ingratitude to their
parents, rebels, trouble-makers, persons ac-
cused of incest and all those w h o were
generally considered to be 'immoral'.
In 1592, D à o duy T u was refused ad-
mittance to the recruitment centre because his
father, D à o ta H a n , had been a musician
703
during the reign of Lê A n h T o n (1556-73).14
At the beginning of the twentieth century,
under the Nguyen dynasty, Court musicians
were 'considered more as servants than e m -
ployees of the palace'; they were given 'tasks
which had nothing to do with their normal
duties. . . . They always had the most lowly
position.' W h e n they played, they were ex-
pected to remain seated on the floor, 'as they
could hardly claim to have the same status as
the audience, which was largely composed of
mandarins w h o took their ease in commodius
Chinese armchairs'.15
. In China, before the Tang dynasty (618-
905), musicians were selected from a m o n g the
children of the c o m m o n people, belonging to
the lowest classes of society: sons of slaves,
criminals under sentence of death, murderers,
prisoners of war or political prisoners. Under
the Tang dynasty, a m o n g the four categories
of official slaves were to be found the tai
chang yin sheng ren (literally 'the m e n w h o
k n o w about sounds') and the gong yue (mu-
sicians), w h o were all professional musicians.
They were also recruited from a m o n g the
families of court dignitaries in disgrace, re-
bellious officers and prisoners of war. They
were condemned to playing music at the
court for the whole of their lives and were
allowed to marry only a m o n g themselves.
They were to be succeeded by their children
as their charge as professional musicians was
704 Tran Van Khê

hereditary and compulsory. The role of court They would wander along the roads of central
musician amounted to a life sentence of music- Nepal, begging as they went, and occasionally
making as slaves, not merely for one but for roamed as far as India and B u r m a . Their
several generations. They could only be re- children, however, could not 'escape from
lieved of th.ir duties as court musicians if their hereditary status of mendicant m u -
they received a pardon from the king or the sicians'.21 They belonged to the untouchables,
government, had reached the age of 60 or a caste on the lowest rung of the social ladder.
had become disabled, had discharged their A number of the gaine have had the oppor-
duties in a satisfactory manner or had done tunity to perform on Nepalese Radio, but the
deeds of exceptional personal merit.18 term, gaine, always brings to mind those
Slaves to the court, professional m u - mendicant musicians to be found in Nepalese
sicians were beggars a m o n g the c o m m o n villages and sometimes on the outskirts of
people. In Viet N a m , the xâm yoan or xâm airports.
cho in the northern and central areas, were In India, the bauls or 'wild m e n of G o d '
itinerant musicians, most of w h o m were blind,have a special status of 'mendicant monks'.
w h o played the dàn nhi, a two-stringed viol, They are popularly referred to as mendicant
and more especially the single-stringed dàn monks, but in actual fact, they are neither
bâu. A blind m a n had only to pause in a Hindu nor Muslim, nor Buddhist. S o m e of
market-place and begin to sing, accompany- them beg for a bowl of rice by going from
ing himself with the dàn bâu, for a crowd to door to door and singing.22 They are ascetics,
gather around him. T h e bystanders were all leading the life of nomads. Musicians do not
agog, spellbound by the 'troubadour', burst- belong to any particular caste, but most of
ing into peals of laughter at every witty the people w h o earn their living through
remark in the amusing or bawdy songs. Tales, singing or playing music belong to the lowest
epic poems, poetry recitations followed each castes. Professional musicians differ consider-
other. Then coins would be tossed into the ably from each other; there are the ascetics,
basket. They travelled alone or in small the mendicant m o n k s like the baul in Bengal,
bands, moving from village to village and singers such as the kauval in the Punjab, the
living on public charity.17 bards of Rajasthan, and the drummers and
In Taiwan, the singing beggars were the singers such as the hijra2 3or homosexual
zou chang (literally 'run and sing'), roaming couples disguised as w o m e n . In the opinion
singers w h o sang to the accompaniment of of the Brahmin, actors, singers and musicians
their drum, the kijia diao (literally 'the beg- constitute 'impure, contemptible 24
castes. They
gars' tune'), the songs related to mendicity. are merely hired entertainers'. Fortunately,
S o m e of these singers had a repertoire that not all traditional musicians were merely
was varied enough to enable them to sing the slaves and beggars.
songs requested by the listeners.18
In Nepal, mendicant singers and m u -
sicians were k n o w n as the gaine. According Privileged professional
to the writings of Hodgson, dated 1834, musicians and singers
quoted by Mireille Helffer, the gaine are
described as 'members of a caste w h o went In spite of prejudice and even religious laws,
from house to house, singing and playing talented musicians, undisputed masters of
their instruments in order to beg for food'.1' their art, were, by their exceptional skills,
They accompanied their singing with a four- protected, respected and rewarded by kings
stringed viol, the sarangi, but the instrument and adored and honoured by their disciples.
of the gaine is different from the Indian in- In ancient Persia, the kings held singers
strument of the same n a m e . The gaine still in high esteem. King Shosroes II Parwiz
numbered 2,000, some twelve years ago. 20 had two singers in his court w h o m he liked
 The status of the traditional musician in Asia
Musicians in C a o Bang, in the extreme north of Viet N a m . Musée de l'Homme, Paris.
greatly: Serguech (Sergins) and Barbad. 25
Other monarchs, such as Shah Abbas and
Nasereddin Shah enabled a number of fine
exponents of traditional music to develop
their talents at their Court.28
During the reign of the Umayyids (661-
750), musicians and singers were the favourites
of the kings. N o t only were they granted
honours, but also received substantial gratu-
ities.27 Whenever musicians or singers faced
the audience while performing, they were
entitled to share the Caliph's couch.28 At the
Court of Al-Walid II (743-44), musicians were
welcomed with open arms, from wherever
they came. The mulatto musician, M a ' b a d ,
was greeted with great esteem at the court of
Caliph Al-Walid Ibn Yazid (707-15), w h o
did not shrink from rewarding him with
12,000 pieces of gold for his artistic skills.29
O n his death, the caliph 'was deeply saddened
705
and led the funeral procession in person'. 30
Under the rule of the Abbassids, in
Baghdad (750-847), particularly during the
reign of Harun al Rashid (786-809), pro-
fessional musicians were entitled to 'their o w n
retinue composed of several instrumentalists,
singers and dancers, varying in n u m b e r from
thirty tofiftypersons, but sometimes reach-
ing as m a n y as a hundred or more!' 3 1 T h e
caliph spent millions of gold pieces o n reward-
ing his musicians. The generosity of the
caliphs extended to extravagant proportions:
150,000 gold coins in a single gift from Caliph
Al Hadi to the famous musician, Ibrahim
al-Mawsili, 100,000 gold pieces from Caliph
Harun al Rashid to the musician, Mukhariq,
600,000 pieces of silver in two gifts from the
Caliphs Harun and Ibrahim Ibn al M a h d i to
the musician, H a k a m al-Wadi. 32 A t the court
of Caliph al-Hadi (785-86), H a k a m al-Walid
706 Tran Van Khê

w o n 300,000 pieces of silver in a singing gration of the Mogul Empire and the expan-
contest, in the face of competition from such sion of British domination in the eighteenth
reputed musicians as Ibrahim al-Mawsili and century, there occurred a steady decline in
Ibn Jami. O n his father's death, Ishaq al- classical music in northern India. In the
Mawsili (767-850) became principal musician south, however, the musical tradition reached
to the court of Caliph Harun al Rashid. H e its peak with three musicians, Tyãgarãja
w a s allowed to wear the black robes of the (1767-1847), Muthuswami Dikshitar (1775-
m e n of law and to join in the Friday prayers 1853) and S h y a m a Shastri (1762-1827).
in the caliph's gallery.33 It should be recalled In Japan, court musicians were subject
that Ibrahim descended from a family of to the laws and decrees issued by the imperial
Persian nobles and that Ishaq al-Mawsili or shogun government. The leading instru-
w a s not only a musician but also a poet, m a n mentalists of the kabuki or opera and the
of letters, philologist and legal scholar. Under bunraku or puppet theatre were granted 'the
the rule of the Abbassids, several other m u - status of samurai and were entitled to carry the
sicians, apart from those already mentioned, two sabres'.38
left their mark on contemporary civilization, During the dynasties of Nara (538-794)
such as Zalzal, the brother-in-law and disciple and Heian (794-1185), court musicians de-
of Ibrahim al-Mawsili, w h o invented the pended on the ministry charged with questions
'perfect lute' and the neutral third, Zyriab, of lineage, estates and mourning, the theatre,
a disciple of Ishaw al-Mawsili and founder of music and hospitality to foreign visitors, the
the Andalusian school, Al Kindi, the 'Phil- Jibusho, of which the director or utano kami
osopher of the Arabs', etc. All m a d e an was an official belonging to thefifthcategory,
honest living and possessed a vast culture. third grade (each category comprised four
During this period, professional musicians, grades), assisted by a deputy or suke (sixth
even those without any particular notoriety, category, second grade) and four other of-
could earn handsome sums of money through ficials. The four masters of music and singing
the practice of their art.34 (uta shi), the two masters of theflute(fue shi),
In India in the Middle Ages, after the the four masters of dancing (mai shi), the
Muslim invasions, music was banned from the twelve masters of Chinese music (togaku shi)
temples. Monarchs did, however, grant their and the four masters of Korean music of
protection to thefinestmusicians, w h o conse- Paekche (kudarragaku shi), etc., together with
quently enjoyed a secure livelihood and at- the 50 male singers, 100 female singers,
tracted disciples. A s generous patrons of the 100 dancers and the numerous instrumental-
arts, the kings and princes enabled musicians ists, were part of the subordinate
37
staff (eighth
to pass on their skills to others and encour- category, fourth grade).
aged the creation of centres of traditional Apart from the chief musician w h o en-
music in such cities as Gwalior, R a m p u r , joyed a comparatively enviable position, m u -
Indore and Baroda. T h e reign of Emperor sicians had a modest social status, but ben-
A k b a r , in the sixteenth century, was marked efited from some security. They were only
by some of the finest exponents of Indian permitted to pass on their skills to their
music, such as Baiju Bawra, Swami Haridas children, and thus veritable dynasties of in-
and his disciple, Tansen. 35 Jahangir and Shah strumentalists were formed. They were for-
Jahan, a m o n g the successors of Akbar, con- bidden from playing popular music and from
tinued to keep musicians under their pro- teaching court music to the c o m m o n people.
tection. But one of Shah Jahan's sons, A u - The status of musicians at the Japanese court,
rangzeb, w h o no longer cared for the courtly, in spite of these restrictions, was considerably
sentimental themes in the improvisations of better than that of musicians at the Chinese
the court musicians, began to persecute them court.
w h e n he came to power. With the disinte-
 The status of the traditional musician in Asia 707

Chinese instrumentalists (eighteenth century). Giraudon.

Traditional musicians today cess, but they are no longer viewed with
disdain.
Today, traditional music is viewed more In the Republic of Korea, musicians and
favourably in several countries. In the Social- dancers, formerly k n o w n as kisaeng, have
ist Republic of Viet N a m , for example, the come to be considered as 'performing artists'
finest exponents of the dàn nhi, the two- over the past twenty years.38 T h e National
stringed viol, receivs the same remuneration Institute of Classical Music brings together
as violinists in the symphony orchestra. T h e the finest musicians w h o perform and teach
leading masters of traditional music earn as classical music as it was played in former times
m u c h as university professors. S o m e , as in the at court or in the temples. These young artists
case of B a D u , have been elected to the earn a decent living through passing on the
National Assembly. The Vietnamese Institute exceptional skills to young musicians, by per-
of Musicology organized a series of receptions forming on radio and television or by taking
in 1978 to m a r k the seventieth birthday of part in international festivals abroad.
such famous artists as Phung H a , an actress In Japan, since the time of the Toku-
in Viet N a m for fifty years, and B u u Lôc, gawa (1603-1868), professional musicians are
master of dàn trank, a sixteen-stringed zither. brought together in various schools, the foun-
Several leading traditional musicians were der of each school being the iemoto (founder
invited to give lessons to students in the ex- of the institution), invested with authority
perimental class for the teaching of traditional concerning all moral, social and financial
music at university level. Naturally, not all questions. H e awards diplomas to his students,
traditional musicians have enjoyed such suc- w h o are expected to abide scrupulously by his
708
teaching, without being able to innovate m u -
sically or lend any originality to their music
until they have obtained his consent. T h e
disciples o w e their master a kind of 'copy-
right' and they are expected, by tradition, to
give him a part of their earnings or the rewards
they derive from teaching. This represents an
authentic spirit of solidarity between the m u -
sicians of the same school. Since 1950, the
Commission for the Conservation of the Cul-
tural Heritage has recorded the repertoire of
leading musicians, of w h o m the most rep-
resentative in eachfieldare awarded the title
of Living National Heritage, entailing merely
a small life pension, but providing those w h o
are honoured in this w a y a full measure of
esteem.39
In India, musicians in the classical tra-
dition m a k e a handsome living and enjoy
considerable public popularity. The major
concerts, referred to as 'music conferences',
are listened to every evening by thousands of
listeners. Even the bandits or daku are tra-
ditionally wary of stealing a musician's be-
longings, as illustrated by a story related by
Vilayat K h a n and quoted by Mireille Ballero.40
Vilayat K h a n had been forced to spend the
night in a derelict farm as he had taken the
wrong road on his way from B o m b a y to Delhi.
The daku came upon him there, asleep and
surrounded by several items of luggage. They
were about to share out their booty when their
leader noticed the sitar, the seven-stringed lute
to be found in northern India. H e then asked
the musician to play to him. After the im-
promptu recital given by Vilayat K h a n at the
bandit's camp, the leader of the bandits or-
dered his m e n to give back to the musician all
that they had taken from him. Over the last
fifteen years, leading artists such as the Dagar
brothers, Ravi Shankar, Ali Akbar K h a n ,
Vilayat K h a n , Imrat K h a n , R a m Narayan,
the late Chatur Lai and Sharan Rani, etc., to
mention but a few, have conveyed the message
of Indian music throughout thefivecontinents
and have been well received on radio and tele-
vision, in concert halls and in the universities.
T o all those musicians w h o have devoted
m u c h of their lives in the service of tra-
Tran Van Khê
ditional music, the Indian Government has
conferred the honorary title of Padma Shri.
In Iran, the late lamented artist, N u r
Ali Borumand, was appointed professor of
traditional music in the music department of
the Faculty of Fine Arts in Tehran be-
tween 1972 and 1976, without having to
provide evidence of any university qualifi-
cations or doctorate as usually required by
the University of Tehran. His prodigious
memory, his profound knowledge of the tra-
ditional repertoire and the skill with which
he played lute instruments, such as the setar
and the tar, and santur or zither with plucked
strings, were ample justification for his ap-
pointment as university professor. Another
artist w h o is regrettably no longer with us was
Abol Hasan Saba. H e was the disciple of
Mirzâ Abdullah and Darvish K h a n for the
setar, a four-stringed lute on which the strings
are plucked with the index finger, was in-
spired by Hosein K h a n for the kemänche, a
four-stringed viol, by Ali Akbar Shâhi for
the santür, a zither with seventy-two struck
cords, and by Hâdji K h a n for the zarb drum.
H e played several instruments with complete
mastery, including the European violin for
which he used a technique that was appro-
priate for expressing all the shades of subtle
embellishment.41. After he died in 1975, his
house was transformed into a m u s e u m in
order to enable disciples and admirers to
come there to meditate or to learn a tra-
ditional art taught by the leading exponents
among the present-day generation, m a n y of
w h o m were his students.
In Iraq, Munir Bashir, the famous 'Ud
(a five- or six-stringed lute) player, holds
positions of considerable responsibility in his
country and in international organizations.
As chairman of the Iraqi National C o m -
mittee for Music, he is an eminent adviser to
the Ministry for Cultural Affairs, secretary-
general of the Arab Academy of Music,
member of the Executive Board of the Inter-
national Society for Music Education, vice-
chairman of the International Music
Council, etc.
Courtesan on the kokyü, one of the rare Japanese instruments played with a bow. Giraudon.
710 Tran Van Khê

Traditional musicians Records such as these, together with the

and the international Asian Music Rostrums organized every two
organizations years by the International Music Council,
contribute to fostering a wider appreciation
Numerous record collections produced in of music of different kinds and also of tra-
Europe and the United States, particularly ditional musicians. In 1973, the Selection
the Unesco Collection, have contributed to Committee of the Asian Music Rostrum chose
making traditional musicians in Asia better the performance given by a fine exponent of
k n o w n throughout the world. In 1979, on the South Indian vina, E m a n a Sastri. H e was
the occasion of the issuing of the 100th record subsequently invited by Unesco to play in
in the Unesco Collection, devoted to the Paris at an international concert for the benefit
work-songs of pearl-divers in Bahrain, the of the International Fund for the Promotion
singers were invited to perform at Unesco of Culture, in which such eminent musicians
Headquarters in Paris and subsequently took as Yehudi Menuhin and Mstislav Rostro-
part in the Festival of Music of the countries povitch took part.
of the Indian Ocean, held in Perth (Australia). Since 1975, the I M C has awarded, every
They are n o w well k n o w n throughout the two years, on the occasion of International
world. Music D a y and the general assembly of
Several international organizations, the I M C , a music prize, with which Unesco
schools and institutes have played a part in has been associated since 1979, in order to
making the traditional music of Asian lend greater publicity to the event. This prize
countries more widely known throughout is n o w called the Unesco-IMC Music Prize.
the world. Their efforts have also brought In addition to leadingfiguresfrom the world
this music out of the field of folk-music, of Western music, musicians, conductors,
which was still viewed with curiosity and a soloists and musicologists such as Yehudi
degree of condescension by Western m u - Menuhin, Benny G o o d m a n and Leonard
sicians and musicologists at the beginning of Bernstein from the United States, Dmitri
the century, and increased the prestige of the Shostakovich, Khrennikov and Sviatoslav
traditional musicians of Asia, both in the Richter from the Soviet Union, and Nadia
West and in their countries of origin. Mention Boulanger and Alain Daniélou from France,
should also be made of the International there are a number of traditional musicians
Folk Music Council ( I F M C ) , which, since from Asia and Africa w h o have shared these
its last general assembly held in Seoul, has honours with their Western colleagues: Ravi
become the International Council for Tra- Shankar (India) in 1975, A w u (Ghana) and
ditional Music ( I C T M ) , the International Riad Sounbati (Egypt) in 1977, M o h a m m e d
Society for Music Education and, more es- Kobanjo (Iraq) in 1979, and Tarik Abdul
pecially, the International Music Council Hakim (Saudi Arabia), Kwabena Nketia
( I M C ) of Unesco, whose overriding concern (Ghana) and the author of these lines, a tra-
has been to put all music on an equal footing, ditional musician before becoming a Viet-
to organize seminars, conferences and festivals namese musicologist, in October 1981.
in which representatives of all the major m u - The honours conferred on Asian m u -
sical traditions could play an active part and sicians have contributed to enhancing their
to encourage the production of records in the reputation both throughout the world and,
Unesco Collection with the artistic and tech- more particularly, in their o w n countries, in
nical co-operation of the International In- Asia where the professional musician has
stitute for Comparative Music Studies and always been despised, even though music was
Documentation, under the management of considered to be a major art from.
Alain Daniélou, a leading defender of musical
traditions throughout the world.
The status of the traditional musician in Asia 711

M o n g o l musicians at a harvest festival. Emil Scholters/Black star/Rapho.

Amateur musicians In order of importance, a child of a good

family had to learn the rules of good conduct,
The word 'amateur' is used here in the posi- music, archery, riding, literature and math-
tive sense of the term. A n amateur musician ematics. Music was grantedfirstplace a m o n g
in Asia undertook a lengthy apprenticeship the favourite edifying pastimes of educated
which gave him a degree of technical skill people: music, chess, poetry and calligraphy
comparable with that of professional m u - or painting. A connoisseur of music was
sicians. T h e difference, however, lies in the considered to be a wise m a n , a superior being.
fact that he did not m a k e use of his m u - According to the Treatise on Music:
sicianship in order to earn a living and did
not play for money. H e was therefore admired Those w h o are familiar with sounds, but know
nothing of melody are like persons devoid of
as an educated and refined person.42
reason. Those w h o know melodies, but are
In China, music was part of the edu- ignorant of music are vulgar beings. Only a wise
cation received by honest people. m a n can have a sure appreciation of music.44
It 'encouraged' m e n to imitate good examples . . .
and could make worthy m e n of the c o m m o n folk. Music in India, where it was considered to be
It produced strong impressions, changed customs a m e d i u m of communication with the gods,
and transformed traditional modes of conduct. was intimately connected with social and
The teaching of music was encouraged by our religious life. In Indian mythology, the G o d ,
forebears.43 Krishna, is always portrayed with his favourite
712 Tran Van Khê

instrument, the transverse flute, while the A noble of the Abe clan, Ote n o Kiyogami, a
Goddess of Knowledge, Saraswati, is shown contemporary of the Emperor N i m m y o (833-
with a vina. Buddha is reputed to have been 50), was the finest player of the Chinese
initiated, as a young prince, to the art of transverse flute.60
playing the vina.45 Under the Gupta dynasty In Korea, in the seventh century, King
(fourth andfifthcenturies), music was part Kasil invented the kayageum, a Korean twelve-
of the education given to the young daughters stringed zither. King Sejong (1418-50) im-
of noble families. Samudra Gupta, the second plemented several musical reforms and in-
king of the dynasty, had coins minted bearing vented a new system of notation.51
his effigy as monarch, playing a vina.™ In the ancient Viêt kingdom, King L y
Thanh Tong (1054-72) and King Ly N h a n
Tong (1073-1127) composed melodies for the
Musicianship among kings, court orchestra. Ly Cao Tong composed the
princes and educated men C h a m p a melody in 1203.52 Leading court
dignitaries such as Tran Nhat Duat in the
In several Asian countries, kings and princes fourteenth century and Nguyen Trai in the
were accomplished musicians. They were fifteenth were connoisseurs of music.53 This
admired because they cultivated their m u - tradition was maintained until the twentieth
sicianship as an art rather than as a means of century by suchfiguresas Prince N a m Sach,
livelihood. Confucius could play several in- an excellent player of the tranh, a sixteen-
struments and js reputed to have composed stringed Vietnamese zither, and Prince T u y
several pieces for ein, a Chinese seven-stringed A n , a veryfineexponent of the ty ba, a four-
zither.47 Emperor Ming H u a n g of the Tang stringed pyriform lute.64
dynasty composed orchestral pieces and
taught music to the young m e n of the families
of official musicians.48 The Treatise on Music 'Musician-monks'
reminds us that music lessons were given
There was another category of musicians for
to the heir apparent and to the other sons of the w h o m music-making was a daily task, but for
Emperor, to the heirs apparent of all the feudal
w h o m music was rather more an offering to
princes and the eldest sons born to the ministers
of state, prefects and high-ranking officers by the deities than a means of livelihood: the
their chief wives and to young men of talent and ,musician-monks' or those w h o took them-
49 selves to be such, in South-East Asia. They
high standing from the various principalities.
enjoyed a certain degree of esteem, being
In Japan, several princes of the Imperial neither particularly liked nor adulated as
family and even the emperors were ac- performers, nor scorned as entertainers.
complished musicians. The reign of Emperor In Tibet, music was played not only as
N i m m y o Tenno (833-50) was considered to accompaniment to religious ceremonies in
be the golden age of court music. The places of worship, but also for summoning the
Emperor himself composed music for the monks to prayer and for inviting them to
court orchestra, thegagaku. Sadatoshi Shinno, meditate or to make offerings. T o be ordained,
second son of Seiwa Tenno, was an exponent monks had to undergo examinations in music.
of the biwa, a four-stringed pyriform lute. In practice, all of them knew h o w to play at
Sadayasu Shinno, fourth son of Seiwa Tenno, least one instrument, but certain monks were
was the author of a book on musical notation not a m o n g those called 'scholar-monks', but
for the flute. Minamoto n o M a k o (810-69), became, either by choice or through their
seventh son of Saga Tenno, was an ac- musical aptitudes, musician-monks w h o some-
complished exponent of the flute, the biwa times played in private homes on the occasion
and the koto, a thirteen-stringed table zither. of births, weddings or funerals or in pro-
 %;íAÍ

**>• í^S^'-

•'%*

^HL%
*»**

Asian music moves west: a gamelan orchestra class at the California Institute of Arts. Gerg Gerster/Rapho.
 714 Tran Van Khê

cessions.55 Through their musical training and, play works or adopt a style which the 'ar-
, m o r e particularly, their daily activities within tistic directors' of the record companies
or outside the temples, the musician-monks consider to be more suitable for the general
m a d e music their principal occupation. They public, rather than the works or styles which
enjoyed an unusual status. They could not be the musicians themselves prefer. All too often,
classified as professional musicians and were music has ceased to be an art-form which is
respected because they were m o n k s rather served by the performer and has become a
than musicians. commercial product which is sold to the
In Japan, under the rule of T o k u g a w a public. S o m e geishas in Kyoto w h o sing and
(1549-1867), the komuso, semi-religious itin- dance for the entertainment of tourists with
erant musicians, wore a large basket-shaped 'Kyoto by night' tickets are expected to be
hat, which hid their face, and played the able to m i m e a game of baseball in their
shakuhachi or flute to beg for alms. T h e dance routines. The courtesan-singers, like
'beggar-monks'—and also 'spy-monks'—pro- the 'beggar-musicians', are becoming increas-
vided the government with confidential infor- ingly rare in several Asian countries.
mation. Blind m o n k s also used a pyriform Transistor radios, records and, more
lute, the moso-biwa, for accompanying reci- recently, tape-cassettes which have gradually
tations of sacred texts, the Sutras.™ inundated Asian markets are eliminating little
Although not m o n k s , K h m e r musicians by little the groups of roaming musicians
w h o played during Buddhistic ceremonies, w h o are forced to seek other employment in
were required to observe a rigid discipline: agriculture or the craft industries. For livening
invocation, offerings and even fasting on feast up village fêtes, engagement receptions or
days, as the music they played served as an wedding feasts, a record-player and a loud-
offering, just like a stick of incense. In the speaker are cheaper than a group of pro-
words of a K h m e r musician speaking to fessional musicians. Even for funerals, the
Jacques Brunei: 'Music is only beautiful if simplification of burial rites and customs does
it is pure and the musician is the instrument away with several funerary instrumental
for expressing music; could one imagine ensembles.
presenting offerings on a tray that was not N o w a d a y s , professional traditional m u -
clean?57 Musicians, as non-professionals, as sicians only perform in theatres, recording
they usually worked as farmers, acquired a studios or radio and television studios, cab-
status of sanctity w h e n they played in the arets, research institutions and museums. They
temples. are faced with intense competition from m u -
sicians trained in the West, w h o are better
paid and more widely respected, and especially
Future prospects by musicians of the younger generation, with
for traditional musicians their pop music which makes the crowds
quiver with excitement, or their new style of
Political upheavals and social change have led music, a compromise between their ancestral
to the disappearance of 'slave-musicians' in tradition and Western music, which is more
Asia. T h e only remaining court musicians, suited to the public taste.
in Japan and Thailand, have the status of civil A number of traditional musicians earn
servants. Royal patronage has been replaced a handsome living and have had m a n y honours
by radio and television networks, record bestowed on them, as stated above. They are,
companies and festival organizers. The devel- however, few in number and constitute a
o p m e n t of the mass media, however, has privileged minority. The majority, on the other
given birth to a n e w category of traditional hand, continue to live in poverty and have a
musicians: the 'stars' w h o , in accordance with social status that is distinctly inferior to that
certain economic criteria, are often forced to of musicians performing Western music. T h e
The status of the traditional musician in Asia 715

Street musician in Haiphong. Lenormand/Roger Viollet.

latter are trained in specialized schools and bicycle. The classrooms where European m u -
academies or return from studying abroad sic was taught were spacious, well lit and well
with qualifications which confer considerable ventilated, while those reserved for traditional
respectability on them. Traditional musicians music were small, cramped and badly located.
learn their art in their spare time or under the In broadcasting, a performer of the n e w music
guidance of masters w h o possess their art in earned twice as m u c h as a traditional m u -
all its authenticity but w h o have no official sician, while an exponent ot European music
qualifications. S o m efifteenyears ago, at the earned still more. This situation has prevailed
School of Music in Saigon, students w h o in m a n y other Asian countries and young
obtained good marks in musical theory in the people w h o are preparing to launch into a
entrance examination were allowed to attend musical career, are attracted by the prospect
classes in piano or violin tuition. Those w h o of a good income and perhaps fascinated by
were weak in musical theory were oriented the novelty of the musical language and the
towards classes in traditional music. Lecturers sophisticated instruments of European music.
in European music came to work by car, while Consequently, they often choose the classes
those w h o taught traditional music used a in European music with the approval of the
716 Tran Van Khê

directors of the music schools or academies,
w h o themselves are all graduates of Western
academies of music. Traditional musicians
have an inferiority complex with regard to
performers of European music. Not only the
younger generation, but the majority of the
general public, those in charge of the media
and even the political and cultural leaders of
m a n y Asian countries, do not judge tra-
ditional musicians at their true value. These
performers have achieved a high standard of
musical technique through considerable work,
but their limited general education prevents
t h e m from imposing themselves on young
students in the universities or intellectuels.
T h e y are referred to as 'folk artists', whose
talents are admired but w h o are not respected
like the winner of the Premier Prix at the
Paris Conservatoire, for example.
W h a t can be done to remedy this state of
affairs? A mental revolution would have to
take place. Traditional musicians ought to rid
themselves of their inferiority complex with
regard to performers of European music and
cultural leaders in Asian countries should
consider them, not as fossils without a future,
but as the custodians of great musical tra-
ditions and the best of them as 'national
treasure', asserting the cultural identity of
their people. Radio and television networks
and record companies should no longer dis-
criminate between traditional musicians and
performers of European music with regard to
fees and the scheduling of programmes. M u -
sical education in primary and secondary,
schools should reserve a special place for tra-
ditional music, alongside popular and serious
music.
If this were so, traditional musicians
could enjoy the esteem they deserve and m u -
sical traditions would, thanks to them, be
preserved and developed for the good not only
of the country concerned but for that of the
whole of mankind.
[Translated from French]

Notes

1. D o Bang D o a n and D o Entertainers (Kisaeng), Vol. II, p. 116, Paris, O R T F ,

Trong Hué, Viêt-Nam ca trù
bien khao [Study on the
' B a m b o o Songs' in Viet N a m ] ,
p. 31.
2. Ibid., p. 109.
3. Ibid., pp. 143-64.
4. Ibid., p. 57.
5. Lee Byong W o n , 'Evolution
of the Role and Status of
Korean Professional Female
The World of Music, pp. 75-8.
6. Ongakujiten [Musical
Encyclopedia], Vol. II, p. 898.
7. P. Landy, Musique du Japon,
p. 286, Paris, Buchet/Chastel,
1970.
8. J. Pimpaneau, 'Culture
populaire, culture des lettrés
en Chine', in T . Nikiprowetzky
(ed.), La musique dans la vie,
1969.
9. M . Courant, « Essai
historique de la musique
classique des Chinois », in
A . Lavignac (ed.),
Encyclopédie de la Musique,
Vol. I, p. 203, Paris,
Delagrave, 1913.
10. WuYingTao,
Taiwan ming ahu [Taiwanese
Customs], pp. 336-8, Taipeh,
Chung W e n Library, 1977.
The status of the traditional musician in Asia
U . M . Ballero, 'Musique
et société dans l'Inde du Nord',
in T . Nikipro Wetzky (ed.),
La musique dans la vie,
Vol. II, p. 76.
12. H . H . Tourna (ed.),
La musique arabe,
pp. 13-14, Paris,
Buchet/Chastel, 1977;
J. C . Chabrier, 'Music in the
Fertile Crescent: Lebanon,
Syria, Iraq', Cultures
(Paris, Unesco/La Baconnière),
Vol. I, N o . 3, 1974, p. 46.
13. H . G . Farmer, A History
of Arabian Music
(to the XHIth Century), p. 41,
London, Luzac, 1973.
14. Tran V a n K h ê , 'Place de
la musique dans les classes
populaires au Viêt-Nam',
Bulletin de la Société
des Études Indochinoises
(Saigon), Vol. X X X I V
(new series), N o . 4, 1959,
p. 361.
15. G . Knosp, 'Histoire
de la musique indochinoise',
in Lavignac, op. cit., Vol. V ,
p. 3125.
16. Shigeo Kishibe, Tang tai
yin yue de yan chiu
[A Study on the history
of music during the
Tang Dynasty], p. 17, •
Taipeh, Chung, H w a Book
C o m p a n y , 1973. 2 vols.
(In Japanese, translated into
Chinese by Liang Tsai-Ping
and Huang Chi Chong.)
17. Farmer, op. cit., p. 45;
J. Rouanet, 'La musique
arabe', in Lavignac, op. cit.,
Vol. V , p. 2687, notei.
18. W u , op. cit., pp. 329-37.
19. M . Hellfer, ' U n e caste
de chanteurs-musiciens,
les Gaines du Népal',
L'Ethnographe (new series)
(Paris, Gabalda), N o . 73, 1977,
pp. 55-8; T . Bech, 'Nepal:
the Gaine caste of
Beggar-Musicians', in The
World of Music, N o . 1, 1975,
Mainz, B . Schott's Söhne, 1975,
pp. 28-35.
20. Hellfer, op. cit., p. 51.
21. Ibid., p. 72.
22. Prithuwanda Mukherjee,
Bauls. Les fous de Dieu, pp. 1-3,
Paris, Radio France, 1981;
Ballero, op. cit., p. 90.
23. Ibid., p. 93.
24. J. Grosset, 'Inde. Histoire
de la musique depuis l'origine
jusqu'à nos jours', in Lavignac,
op. cit., Vol. I, p. 265.
25. M . C . Huart, 'La musique
persane', in Lavignac, op. cit.,
Vol. V , p. 3065; N . Caron
and D . Safvate, Iran. Les
traditions musicales, p. 213,
Paris, Buchet/Chastel, 1966.
26. Caron and Safvate, op. cit.,
p. 237.
27. M . Guettât, La musique
classique du Maghreb, pp. 55-6,
Paris, Sindbad, 1980; Farmer,
op. cit., pp. 60^9.
28. Ibid., p. 68.
29. Ibid., pp. 81-2.
30. Guettât, op. cit., p. 56.
31. Ibid., p. 61.
32. Farmer, op. cit., p. 100.
33. Ibid., pp. 124-5.
34. Ibid., p. 100.
35. Ballero, op. cit., pp. 74-6.
36. Landy, op. cit., p. 269.
37. Ibid., pp. 285-7.
38. Lee, op. cit., p. 81.
39. Landy, op. cit., pp. 267-8.
40. Ballero, op. cit., pp. 86-7.
41. Caron and Safvate, op. cit.,
p. 229.
in
42. Cheng Shui-Cheng, 'The
Role of the Traditional
Musician in China', The World
of Music (Wilhelmshaven,
Heinrichshofer), N o . 2, 1979,
p. 85; J. Baily, 'Professional
and Amateur Musicians in
Afghanistan', in ibid., p. 47.
43. Père S. Couvreur,
Li Ki. Mémoires sur les
bienséances, pp. 70-1, H o
Kien Fou, 1899. (Chinese text
with French and Latin
translations.)
44. Ibid., p. 49.
46. Grosset, op. cit., p. 265.
46. Ballero, op. cit., p. 74.
47. Tran V a n K h ê , 'Confucius,
musicien et théoricien
de la musique', France-Asie ¡Asia
(Paris), N o . 185,1966, pp. 313-24.
48. Courant, op. cit., p. 199.
49. Couvreur, op. cit., p . 300.
50. E . Harich-Schneider,
A history of Japanese Music,
pp. 100-2, London, Oxford
University Press, 1973.
51. H a h n M a n Young,
'Notational Systems', Survey
of Korean Arts. Traditional
Music, pp. 88-9, Seoul,
National Academy of Arts, 1973.
52. D o Bang D o a n and D o
Trong H u é , op. cit., p. 25.
53. Ibid., pp. 26-7.
54. Tran V a n K h ê , La musique
vietnamienne traditionnelle,
p. 107, Paris, Presses
Universitaires de France, 1962.
55. I. Vandor, Bouddhisme
tibétain, pp. 21-8, Paris,
Buchet/Chastel, 1976.
56. Harich-Schneider, o p . cit.,
pp. 511-13.
57. J. Brunet, ' L a musique
dans la société cambodgienne',
in Nikiprowetzky, op. cit.,
p. 168.
718
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F A R M E R , H . G . A History of
Arabian Music (to the
XHIth Century). London,
Luzac, 1973. 264 pp.
G R O S S E T , J. Inde, histoire
de la musique depuis l'origine
jusqu'à nos jours. In :
A . Lavignac, Encyclopédie
de la musique et dictionnaire
du conservatoire, Vol. I,
pp. 257-326, Paris, Delagrave,
1913.
G U E T T Â T , M a h m o u d . La musique
classique du Maghreb. Paris,
Sindbad, 1980. 398 pp.
H A H N M a n Young. Notational
Systems. Survey of Korean Arts.
Traditional Music, pp. 77-90,
Seoul, National Academy of
Arts, 1973.
HARICH-SCHNEIDER, E .
A history of Japanese Music.
London, Oxford University
Press, 1973. 720 pp.
H E L F F E R , M . U n e caste
de chanteurs-musiciens. Les
Gaine d u Népal. L'Ethnographe
(Paris, Gabalda). N o . 73,
1977, pp. 45-75. (New series.)
. Castes de musiciens du
Népal (Disque L D 2 0 (30/33)).
Paris, Musée de l ' H o m m e .
(Commentary in French,
62 pp.; in English, 39 pp.)
Tran Van Khê
H U A R T , M . C . La musique
persane. In: A . Lavignac (ed.),
Encyclopédie de la musique
et dictionnaire du conservatoire,
Vol. V , pp. 3065-83. Paris,
Delagrave.
KISHIBE Shigeo (in Japanese,
translated into Chinese by
Liang Tsai Ping and Huang Chi
Chong). Tang tai yin yue de
van chiu [A Study of the History
of Music during the Tang
Dynasty], in 2 vol. Vol. I,
pp. 1-362; Vol. II, pp. 363-738.
Taipei, Chong H u a Company,
1973.
K N O S P , G . Histoire de la
musique indochinoise. In:
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la Musique et Dictionnaire du
Conservatoire, Vol. V ,
pp. 3100-46. Paris, Delagrave,
1922.
L A N D Y , Pierre. Musique du Japon.
Paris, Buchet/Chastel, 1970.
327 pp.
L E E Byong W o n . Evolution of
the Role and Status of Korean
Professional Female
Entertainers (Kisaeng). The
World of Music (Wilhelmshaven,
Heinrichshofen), N o . 2, 1979,
pp. 75-81. (Abstract in G e r m a n ,
pp. 81-2; abstract in French,
pp. 83-4.)
M U K H E R J E E , Prithwindra.
Bauls. Les fous de Dieu. Paris,
Radio France, 1981. 6 pp.
Ongaku jiten (Musical
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1949.
P I M P A N E A U , J. Culture populaire,
culture des lettrés en Chine.
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La musique dans la vie, Vol. II,
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de la musique d'hier et
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Vol. I, Paris, O R T F , 1967.
T O U M A Habib Hassan. La
musique arabe, Paris, Buchet/
Chastel, 1977, 165 pp.
T R A N V a n K h ê . Place de la
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(Saigon), Vol. X X X I V , N o . 4,
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N o . 185, 1966, pp. 313-24.
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719
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Over the pastfiveyears, ten national surveys
of primary socio-economic data structures
have appeared in this Journal. These began
with the one on Australia (Vol. X X I X , N o . 4 ,
1977) continued with those on Tunisia
(Vol. X X X , N o . 1,1978), Norway (Vol. X X X ,
N o . 3, 1978), Ivory Coast (Vol. X X X I , N o . 1,
1979), Greece (Vol. XXXII, N o . 3, 1980),
Sri Lanka (Vol. XXXII, N o . 3, 1980), Peru
(Vol. XXII, N o . 4, 1980), Hungary
(Vol. XXXIII, N o . 1, 1981), Barbados, Trini-
dad and Tobago, and Jamaica (Vol. XXXIII,
N o . 2, 1981) and concluded with the one on
Israel (Vol. XXXIII, N o . 4, 1981).
The main purpose of these surveys was
to describe and analyse the principal time-
series of primary socio-economic statistics in
the countries concerned, their coverage,
storage and diffusion through different pub-
lications and access to them, if computerized.
In some cases, authors went further, to
consider, for example, important gaps and
shortcomings (Sri Lanka, Greece) or the
responsiveness of the statistical apparatus to
evolving policy and planning needs (Hungary).
The surveys together represent a significant
sampling of the situations to be found in the
world, whether in federal countries like A u s -
tralia, small island states, socialist countries
like Hungary, or countries which have built
upon the data structures inherited from col-
onial administrations (Sri Lanka, Tunisia,
Ivory Coast, Israel).
A feature which emerged clearly in the
preparation of the surveys was that the
necessary information was not by any means
conveniently to hand. Even in small developed
countries with excellent centralized services,
such as N o r w a y , m u c h effort was required to
pull all the elements together. T h e conclusion
to be drawn is that, despite national and
international efforts at consolidation and
rationalization of the major socio-economic
statistical series, and the progressive intro-
duction of computerization, m u c h remains to
be done everywhere in order to m a k e even
basic data readily accessible to users, not to
mention the even more complicated problems
raised by access to the mass of irregular but
nevertheless often very important bodies of
primary data derived from sample surveys,
opinions polls, academic research, market
studies and the like. There is, in this domain,
a glaring failure to evolve mechanisms similar
to those which alert specialists to the existence
of books and articles through general or
focused bibliographies, abstracting services,
reviews or other devices. Even if the existence
of a particular statistical series is widely
k n o w n , n o publicity is given to changes in its
form or quality, nor is attention systematically
attracted to n e w series or the discontinuation
of old ones. Consequently, as m a n y inquiries
have confirmed, social scientists as a whole d o
not resort to or manipulate primary data with
anything like the diligence and skill they show
in the use of secondary (literary) sources. In
this connection, readers are referred to articles
especially in Vol. X X V I I I , N o . 3, 1976, 'The
Economics of Information and Information
722
for Economists', and Vol. X X X I I I , N o . 1,
1981, 'Socio-economic Information: Systems,
Uses and Needs'.
Taking matters a step further, the article
below examines the existing information
sources for social and economic statistics in
the United K i n g d o m and concludes that a
current monitoring might advantageously be
established. The research for this article was
undertaken within the framework of a Unesco
project seeking to establish an awareness
service for significant changes in national
socio-economic statistical series, based on an
international reporting network. Further pro-
gress towards this as yet distant goal will be
reported in these pages from time to time.
Social and economic statistics
in the United Kingdom:
a review of
information sources
î$
Eric Tanenbaum and Alfonso Nunez

Background current awareness service for the production

of statistical information. By looking at the
In 1980 the Prime Minister commissioned a success or failure of specific media in the
review of the Government Statistical Services, past w e can obtain a sense of h o w that m e -
the main source of social and economic stat- dium might work in the future. Consideration
istics in the United K i n g d o m . The detailed of the past performance of the different media
implications of the review conducted by Sir used to date also offers a background for
Derek Rayner ( C m n d . 8236) cannot be speci- the third concern of this report, the resource
fied even n o w , but there can be no hesitation requirements of a successful monitoring ser-
in predicting that the complexion of statistical vice. Each m e d i u m has its particular require-
information in the United ments and its ability to
K i n g d o m of 1985 will be work as designed is de-
markedly different from Eric Tanenbaum and Alfonso Nunez pendent on its resource
that which it had in 1975. are members of the Social Science R e - requirements being avail-
search Council, Data Archive, Univer-
Given the expectation of sity of Essex, Colchester, Essex, United able. A s any current
an imminent dramatic Kingdom. awareness service must
shift in the supply of stat- operate in a real world
istical information, the in which resources are
present would seem a scarce, its design has to
good time to consider the maintain a continuing re-
creation of a new system gard for the resource de-
to facilitate the use of the mands that will be made
statistical sources that by the system when im-
will result. plemented.
Three aspects of the
situation are dealt with
here. First, there is an assessment of the A focus on the problem
current (January 1982) state of social and
economic statistics in the United K i n g d o m . O u r initial focus called for the creation of a
Particular attention is paid to the media current awareness system for statistics on the
employed to communicate knowledge about social and economic affairs of the United
the availability and contents of sets of stat- K i n g d o m . N o t too long after the beginning
istics. Various formats have been used and of what seemed a fairly straightforward task,
each m a y be considered as a 'case-study' of it became evident that the problem put in this
a particular application. This clearly relates way disguised a host of ambiguities. T h e first
to the second theme which is the design of a stage of the study then became a thorough
724 Eric Tanenbaum and Alfonso Nuñez

statement of the exact confines within which describe society and its economic affairs.
the final system would operate. A s will be Moreover, as Béteille (1977) notes, the prob-
seen below, this statement also provided a set lem of language becomes severe if one works
of criteria against which systems of this kind in a multinational or comparative framework.
might be evaluated. In this respect, at least, It has to be recognized that the location
the analysis takes on a wider significance; of the boundaries that describe the domain
indeed the explicit references to the United of the social sciences (taken singly and as a
K i n g d o m m a y be considered incidental, as group) poses a problem that affects the
almost all of the points raised could refer to conclusion, but which is beyond the scope of
any developed country with a complex stat- this article. Consequently w e shall simply
istical service. stipulate the broad topic areas which w e
consider appropriate for the provision of a
test base for our scheme. Table 1 includes the
Subject matter
list of topics. It is derived from that used by
The first definitional problem and, conse- Vigil (1980) in his review of Peruvian socio-
quently, thefirstdecision to be m a d e was the economic data but it is extended by the
extent of the statistics to be included. Cattell addition of several categories suggested by
(1978), a m o n g others, calls attention to the Lorentzen and R o k k a n (1976) and used by
data cube, a geometric scheme in which all one of the present authors elsewhere (Tanen-
data m a y be located. T h e cube's three faces b a u m and Taylor, 1980).
pertain to the attribute (subject), the unit of In conclusion, it should be noted that
observation and the time of observation. It the list of topics chosen to represent the
will be seen that in their o w n right, each availability of social and economic data is
dimension is multifaceted. contaminated by the current interests of
A rigorous definition of social and econ- social scientists. Although this point is de-
omic statistics would restrict us to those veloped below, it can be said here that any
series that refer directly to the social inter- system that requires selection is prey to po-
actions of h u m a n s and to their economic tentially short-term interests (for example a
activities. That is, these statistics would refer list devised in 1982 would pay less attention
to the dynamic state of h u m a n activity (for to geo-political data than one drawn u p
example, to oil production rather than oil in 1930). Hence, any system has built in
reserves). However, this distinction could not factors that cause structural weaknesses, a
easily be maintained, if only because it would problem that appears to be endemic in social
exclude information that referred to poten- science information systems (see, for example,
tial, which is surely a crucial component in Brittain, 1979), for which w e have a solution.
h u m a n affairs. Consequently, a fairly broad
approach was adopted, which included all
Unit of observations
references to h u m a n affairs within the limits
described below. The second face of the data cube, the unit of
Having m a d e that decision, attention had observation, also raises a set of difficulties
to be paid to Vinogradov and his colleagues' that can only be resolved by stipulating a
(1981) caution about 'the linguistic problems series of operating procedures concerning the
specific to socio-economic data banks, such geographical base of the statistics and the
as a language of socio-economic indicators'. degree of aggregation of the data (i.e. the 'level
These authors are less sanguine than Foskett of analysis' supported by the information).
(1971) about the prospect of a neutral list of F r o m a statistical point of view, at least,
descriptors that relate to socio-economic data the United K i n g d o m is a federation of separate
for they (correctly) note the ideological c o m - geographical or national entities. Statistics are
ponent inherent in data that purport to produced on the social and economic affairs
Social and economic statistics in the United Kingdom: a review of information sources 725

T A B L E 1. Draft social and economic statistics classification scheme

A . Demographic, social, labour and social security C . Economic statistics by activity

1. Demographic statistics 1. Agriculture, hunting, forestry, fishing

1. Population census statistics 2. Mining and quarrying
2. Population statistics 3. Manufacturing
3. Vital statistics 4. Electricity, gas and water
4. Migration statistics 5. Construction
6. Wholesale/retail trade, restaurants, hotels
2. Social statistics 7. Transport, communication
1. Housing statistics 8. Finance and insurance
2. Education, science and technology 9. 1. Tourism
3. Culture, recreation and mass 2. Community, social and personal services
communication
4. Health D . Political
5. Security and public order
6. Social services 1. Elections
1. Results
3. Labour and social-security statistics 2. Turnout
1. Employment statistics 3. Expenses
2. Social-security statistics
2. Constituency
B . Aggregate economic series 1. Characteristics

1. National accounts
2. Government statistics
3. External sector
4. Price aggregates
Household budgets

of Northern Ireland, Wales, England and
Scotland, either individually or in varied c o m -
binations. While the information produced is
often compatible a m o n g the four units, it
frequently is not. A s w e show elsewhere
(Tanenbaum and Nunez, 1982a) there are
occasions in which data appear for only some
of the units, or in which data appear for all
but in slightly different modes. Consequently,
the would-be user of these data interested in
the United K i n g d o m in its entirety is often
faced with uncertainty about the actual con-
tent of a particular series, and is also
confronted with the need to obtain data
from as m a n y as four different offices before
a 'national' picture can be composed.
Nonetheless, the predominant role of the
Central Statistical Office and the Government
Statistical Services in the provision of stat-
istical data has to be stressed. So far as the
end user is concerned, the Central Statistical
Office is the source of the overwhelming
majority of material relating to social and
economic affairs in the United K i n g d o m ,
particularly w h e n presented about Great
Britain (i.e. England, Scotland and Wales
combined) or about the entire United King-
d o m of Great Britain and Northern Ireland.
There are bases of data aggregation other
than geographical boundaries. T h e increasing
access to large computer systems by British
social researchers has been accompanied by a
widening availability of 'micro-data', that is,
of data that describe individuals. T o date
most of these data have been generated b y
sample surveys which are usually of a quite
limited substantive scope. However, as the
problems imposed by the need to retain the
726 Eric Tanenbaum and Alfonso Nuñez

anonymity of individuals are resolved, and as doubt that a general monitoring service which
the technical capacity to store and manipulate purports to survey the. availability of data
vast amounts of data are enhanced, it can be from m a n yfieldsmust restrict itself to chrono-
expected that large bodies of micro-data logical time (as measured by a standard linear
derived from routine governmental admin- calendar) rather than functional time, but
istrative processes will be available to the that still leaves unanswered the question
social researcher. Individual-level data, be whether only data that are collected at regular
they produced by sample survey or admin- points in that time should be included as
istrative process, pose a different set of re- opposed to data that occur as the result of a
quirements for a monitoring service than do collection at a single point.
series of data that describe the overall (or A good argument on methodological
average) situation in a country. For example, grounds could be m a d e for including only
the inclusion of micro-data would also entail data that have been generated at several time
the inclusion of information about the sample points. This would involve an extension of the
frame of the data-collection effort (if the data case m a d e by Przeworski and Teune (1970)
are from a survey) or about the m o d e of data for doing comparative research on spatially
encryption used to guarantee individual anon- defined units to minimize the risk of reporting
ymity (if the data are from an administrative as social fact, geographical or cultural arte-
process). Also, micro-data tend to be of facts. However, just as their admonition is
interest to a researcher only because they can accepted by most researchers in theory but
be combined in the analysis. This means that ignored in practice by those same researchers
an information service would have to incor- because of resource considerations, m u c h
porate information about the context of each social research is done on data bases that are
individual item, this, however, not being a generated at a particular point in time, largely,
problem when data that describe a k n o w n it seems, because data captured at regular
geographical entity are available. Finally, time intervals do not exist about the phenom-
with regard to sample-survey data, the sub- enon of interest.
stantive coverage offered by surveys tends However, putting the methodological
to be m u c h more irregular than that offered argument to one side, there are quite strong
by other forms of data on social and econ- practical reasons for not including ad hoc data
omic affairs. in a monitoring service's scope. T h e most
For the m o m e n t , these three points m a k e telling of these reasons is that the inclusion of
individual-level data sufficiently different to such data would magnify the task of main-
persuade us to exclude them from the design taining a comprehensive service to an un-
of a final system. Nevertheless, they are acceptable extent. Therefore w e decided to
becoming available and they do cover an restrict the monitoring service to series of
expanding range of topics in a way that is not data that appear at regular intervals. T h e
otherwise dealt with by nation-level statistics. effect of this exclusion is to permit a service
Consequently, although these data are not to disregard the material produced by a large
considered in the design of a monitoring number of agencies (most notably academic
service, the main sources in the United researchers, royal commissions and c o m m e r -
K i n g d o m of these data are reviewed below cial market research firms) which do not
w h e n current data information services are regularly cover specific phenomena, mini-
discussed. mizing personnel requirements.
Most social and economic phenomena
Time change through time, or, more accurately, are
observed to change through time. These
T h e third, andfinal,face of the data cube to changes m a y be maturational or they m a y be
be considered refers to time. There is n o cyclical through the seasons (where season
Social and economic statistics in the United Kingdom: a review of information sources 727

m a y be given different functional meanings). material from one m e d i u m to another. This

In addition, one must note that most of these would include both a technical assessment of
phenomena are related by their passage the feasibility of its transfer as well as a
through ' c o m m o n ' time. A s a result m a n y statement of the legal constraints, like copy-
series of data observed at different time periods right, which might operate against such a
are distributed only after they have been transfer.
adjusted to take account of factors that are
time-related without being related to the sub-
Source credibility
stance of the series. These adjustments, where
present, have to be indicated when describing W h e n one talks about the credibility of data,
the availability of data. there is a danger of invoking a rehearsal of
the n o w well-known critique of quantitative
Data media
statistics, which has its roots in certain epis-
temological tendencies in sociology. This goes
Only data that are genuinely available to end beyond the scope of this article (see the
users will be referenced in the system. Simply collection of papers edited by Irvine et al.
knowing that a data series exists is an insuf- (1979) for a thorough review of the issue).
ficient reason for its inclusion—it has to beHere, w e concentrate on three other aspects
thought likely that the potential analyst will of data credibility, namely the credibility of
(in general) be permitted to obtain a copy for the source of the data, the reliability with
use. This restriction of coverage follows the which the p h e n o m e n o n being described is
practice adopted by the extensive Royal Stat- measured and the validity of the measurement.
istical Society/Social Science Research C o u n - Researchers w h o are expert in specific
cil sponsored Reviews of United Kingdom fields develop a critical ability to discount cer-
Statistical Sources (edited by W . F . Maunder) tain information sources while valuing data
which will be assessed below. However, as the offered by others. However this 'sixth sense'
editor notes in his introduction to most vol- is not available to those drawing upon data
umes in that series, the reference to a particular sources infieldsother than their o w n .
data set is not a guarantee that the data will A general monitoring series has to apply
in fact be m a d e available. A similar caveat a set of standards about definitional adequacy
would have to be entered in any new current to data sources regardless of substantive area.
monitoring service. (The recent controversy in British psychology
The increasing availability of cheap but (Willmott, 1977) and its implications for
powerful computing equipment tempted us fields outside psychology suggests w h y this is
to include only data that could be obtained essential.) However, although w e recognize
immediately in computer-readable form. the necessity for such a source-certification
However, although large amounts of social scheme, it has to be admitted that w e failed
and economic data are being released as to devise a system that might prove effective
machine-readable files, the time has still not and fall within the confines of the United
arrived when electronically stored data can Kingdom's libel and defamation laws.
be considered to the exclusion of those o n The reliability of data series is taken here
other media like paper and microfiche images. to refer to the consistency with which the data
Nonetheless, the proliferation of media, and are measured. It will by n o w be apparent that
the exclusive appearance of large bodies of almost all the data that it is proposed to include
data o n a single m e d i u m , means that the in the scope of a monitoring service will be
contemporary data monitoring service must series taken at different points in time. A s the
include reference to the m e d i u m . Moreover, series grow longer the possibility of changes
a reference to a data series should include an in the w a y they are observed increases. O c -
indication of the ease of transcription of casionally the changes will be necessitated by
728
changing circumstances; it would have been
unusual to include the cost of television
licences in an index of leisure expenditure
in 1930, for example. T h e researcher using
these data has to m a k e a judgement about the
equivalence of data produced by differing (if
almost similar) measurement procedures.
Given the breadth envisioned for the moni-
toring service, it would be unrealistic to
attempt to incorporate that kind of expert
assessment in the description offered by the
scheme. But the system can undertake an
indication of where and w h e n changes have
occurred and this would be a feature of its
design.
Evaluating the validity of data (i.e. saying
that data really measure what they are claimed
to measure) is more difficult than assessing
reliability. Only an expert in the field can
justifiably claim that a particular set of data
truly represents a specific phenomenon. H o w -
ever, a data-monitoring service can offer an
assessment of the technical quality of the
definitions provided by the data supplier,
for there are technical criteria for presenting
this information that can be applied across
subject areas.
Sector
T h e fourth, and last, of the non-data cube
points to be considered refers to the sector
in which the data producer works. Resource
considerations force us to disregard all but
those data that are produced by organizations
working at the national level and which are
aggregated to at least one of the four 'prov-
inces' that comprise the United K i n g d o m of
Great Britain and Northern Ireland. In effect,
this means that subjects that normally fall
into smaller units (e.g. transportation traffic,
retail distribution) will be less well served
than are those that are nationally oriented.
Resource considerations also led us to
exclude all data series produced about the
United K i n g d o m by agencies located outside
the country. This restricts the coverage of
comparative data series.
Eric Tanenbaum and Alfonso Nuñez
Summary
So far w e have developed a set of conditions
that should be included in a working data-
monitoring service. T o summarize, data series
will only be included if: (a) they are aggre-
gated to the level of one of the constituents
of the United K i n g d o m of Great Britain and
Northern Ireland; (b) they refer to h u m a n
affairs in a limited n u m b e r of pre-defined
categories; (c) they offer observations at sev-
eral points in time; and (d) they are available
to users generally.
These four criteria determine whether a
data series will be included. Those that meet
all four conditions will also have the following
attributes noted about them: (a) reliability of
measurement; (b) availability of operational
detail about the measurement procedures
(validity); (c) adjustment for time component;
and (d) storage m e d i u m .
Finally, while desirable, resource limi-
tations inhibit the inclusion of descriptions
pertaining to: (a) ease of transcription of
data; (b) ad hoc data series; (c) micro-data;
(d) source credibility; (e) criteria for validity;
(f) subnational data; and (g) data produced
by agencies located outside the United
Kingdom.
Methodology
O f the two present authors one (Nunez) is an
economic historian whose most recent re-
search interest has been on the process of
capital formation in Latin America. The other
(Tanenbaum) is a political scientist with re-
search interests in political psychology, data
utilization and the application of computer
techniques in social research. Both are affili-
ated to the Social Science Research Council's
Data Archive which is the United Kingdom's
largest non-government national repository
for computer retrievable social science data.
T h e authors brought different perspec-
tives to the project but it must be recognized
that a different design might have been
suggested had people of different disciplinary
Social and economic statistics in the United Kingdom: a review of information sources
backgrounds worked o n it or had the strat-
egy, reported by Roberts and Brittain (1981),
where subject specialists reviewed the need
for, and the use of, social science information
in their respectivefields,been adopted.
Using available library resources the
authors were able to identify six different
approaches to the provision of social statistics
in the United K i n g d o m . Each offered a base
from which a particular approach's potential
could be evaluated. These are examined in
the section that follows. A t the least, they
offer a good approximation to what might
have resulted had w e been able to converse
individually with proponents of different
schemes. In fact, they are conceivably of m o r e
value in that they are the products of the
application of particular approaches.
User needs were assessed with resources
m a d e available by the S S R C Data Archive.
In the United K i n g d o m , the Data Archive
is regarded as a major source of quantitative
data about social p h e n o m e n a , and so it is in
regular contact with researchers w h o use such
data in their work. Its correspondence file
offered a largely untapped vein of information
about the kind of materials that quantitatively
oriented researchers want. Thisfilewas sup-
plemented by a postal inquiry to each of the
Data Archive's 450 official representatives in
social science departments of British univer-
sities and polytechnics. This questionnaire
was designed to elicit further information
about the kind of statistical series that are
used in these centres.
Review of available sources
of social and economic data
The United K i n g d o m has a rich bibliographic
store of information about the range of stat-
istical material available to people interested
in its social and economic affairs. In this
review five of these are considered. They
were chosen either because they are particu-
larly thoroughly done and so represent the
best that the genre could offer, or because,
though not very thorough, technical devel-
729
opments in their area m a k e it certain that they
will be of expanding influence in the future
and could thus replace one of the older for-
mats. T h e five areas covered are: (a) the
SSRC/RSS Reviews of United Kingdom Stat-
istical Sources (edited by W . F . Maunder);
(b) the Central Statistical Office's Guide to
Official Statistics; (c) various serial publi-
cations; (d) the Social Science Research
Council Data Archive; and (e) commercial
computer bureaux.
In addition to a brief description of the
history and coverage of each, an assessment
will be m a d e of h o w well they fulfil the re-
quirements outlined in the first section of
this article.
The 'Maunder 'series
In the early 1970s, W . F . M a u n d e r , Professor
of Economic and Social Statistics in the Uni-
versity of Exeter, undertook to edit a revision
of a postwar series called The Sources and
Nature of the Statistics of the United Kingdom
which itself was edited by Maurice Kendall
(Mitchell a n d M o o r e , 1974). T h e series,
sponsored jointly by the Royal Statistical
Society a n d the Social Science Research
Council, comprisedfifteenprinted, hardbound
volumes b y the end of 1981. Each volume
contains one or more essays dedicated to a
single social topic (e.g. crime, land use and
town-and-country planning) written by an
expert in thefieldcovered. A list of volumes
issued to date appears in Table 2.
In his Introduction to the volume o n
crime statistics (Walker, 1981, p p . ix-x),
M a u n d e r writes that
the primary aim of this volume, as of all others
in the series, is to act as a work of reference to
the sources of statistical material of all kinds both
official and unofficial. It seeks to enable the user to
discover what data are available on the subject
in which he is interested, from where they m a y be
obtained, and what the limitations are to their
use. . . . The intention is that the sources for
each topic should be reviewed in detail, and the
brief supplied to authors has called for compre-
hensive coverage at the level of 'national interest'.
 730 Eric Tanenbaum and Alfonso Nuñez

T A B L E 2. Statistical topics included in reviews of United Kingdom statistical sources

Publication
Topic Author Volume Date

Personal social services Davies I 1973

Voluntary organizations in the personal
social service field Murray I 1973
Central government routine health
statistics Aiderson II 1974
Social-security statistics Whitehead II 1974
Housing in Great Britain Farthing III 1974
Housing in Northern Ireland Fleming III 1974
Leisure Lewes/Parker IV 1975
Tourism Lickorish IV 1975
General sources of statistics Lock V 1976
Wealth Atkinson/Harrison VI 1977
Personal incomes Stark VI 1977
R o a d passenger transport Munby VII 1978
R o a d goods transport Watson VII 1978
Land use Coppock VIII 1978
Town-and-country planning Gebbett VIII 1978
Health surveys and related studies Alderson/Dowie IX 1979
Ports and inland waterways Baxter X 1979
Civil aviation Phillips X 1979
Coal Harris XI 1980
Gas Nabb XI 1980
Electricity Nuttall XI 1980
Construction and the related professions Fleming XII 1980
Wages and earnings Dean XIII 1980
Rail transport Aldcroft XIV 1981
Sea transport Mort XIV 1981
Crime Walker XV 1981

In other words, M a u n d e r has designed a data
information service that attempts to meet
goals similar to those discussed above. D o e s
the series succeed?
T h e twenty-five essays presented in the
volumes published to date are, as might be
expected from a multi-authored work, varied
in their usefulness. T h e general format fol-
lowed by each offers a textual introduction
to the area in which the broad scope of
statistics in thefieldis described. There then
follows a n u m b e r of detailed chapters which
seem to be organized in a manner that best
meets the needs of the particular subject,
given that the main sources of that field's
statistics have to be identified. In these chap-
ters data definitions and details of the oper-
ations used to collect statistical information
are given. Each essay has a 'Quick Reference
List' ( Q R L ) to the statistical series mentioned
in the text. This list, which is presented in
tabular form, contains most, if not all, of the
following information: type of statistics,
breakdown/details of analysis, (geographical)
areas, frequency of series, publication key,
text reference (to essay) and remarks. T h e
'Quick Reference List K e y to Publications'
provides most or all of the following organ-
ization/author responsible, title, publisher,
frequency of publication, date of publication,
price and remarks. T h e essays also include
bibliographies of other reviews in the area and
copies of specimen forms selected to illustrate
major data-gathering ventures in the field.
Social and economic statistics in the United Kingdom: a review of information sources 731

The average length of the essays is about edited by Kendall of which the Reviews are
fifty pages, excluding appendices. Although it the successor). They are also expensive to
would be foolish to claim the expertise to purchase and so force a centralization of the
evaluate the adequacy of each essay's cover- information function. The most recent v o l u m e
age of its topic, a lay reading leaves the {Construction) costs £50, and although excep-
impression of a competent treatment. H o w - tional for the series (which seems to have a
ever, it also leaves a feeling of disquiet which current average price of about £12) it does
makes one question whether this series, or indicate that it is unlikely that a single re-
indeed any like it, can actually meet the searcher could reasonably expect to hold a
design goals described by Maunder and personal compendium of statistical sources.
ourselves. Such costs are intrinsic to the m e d i u m . A n y
The most obvious weakness of the Re- similar venture in the future would have to
views is the currency of the essays. Aside from consider the cheaper and more flexible option
the normal lag between completion of a text offered by 'computer output microform'.
and publication, which can be as long as Finally, and to end on a m o r e positive
three years, one must be troubled by the time note, the Reviews provide a good treatment
discrepancy a m o n g the volumes themselves, of the questions of reliability and validity of
with publication dates ranging between 1974 statistical indicators. Measurement operations
and 1981. Consequently, the user cannot are clearly described and possible improve-
assume that he has obtained up-to-date ref- ments noted. T h e amount of detail offered is
erences. This is particularly serious for the m a d e possible by the general format of the
earlier volumes: their essayists did not k n o w series and any current monitoring service
about the statistical series n o w generated by which hoped to offer a similar level of treat-
the British Government because of its m e m - ment would have to consider whether it w a s
bership in the European Community (which possible to do so using a different approach.
has regulations that relate to the production
of statistics). While this is an obvious example,
Guide to Official Statistics
it might be thought extreme, for structural
changes of this magnitude do not happen very The Guide to Official Statistics is compiled by
often. However, more subtle changes do; the the Central Statistical Office (1980) and is
longevity of government ministries, or at least published biennially. It is readily available
of their names, is short and so reference to from Her Majesty's Stationery Office, the most
them as the source of particular statistical recent edition (1980) costing £18.
series is bound to lead to frustration. According to the Foreword to the 1980
The reports in the Reviews also suffer edition, the Guide is 'meant to cover all official
because, understandably, they pay little at- and significant non-official sources published
tention to the variations in media used by data during the last 10 years'. W e m a d e extensive
suppliers. Although it is possible to obtain a use of it in our review of available statistical
cumulative computerized list of the Q R L s that series and can attest to its value as a research
have appeared in all the volumes, the authors resource.
of the individual reports did not usually foresee Information in the Guide is classified
the increase in the proportion of statistical under sixteen major subject headings (see
data that were soon to be available in Table 3). Most of these are further subdivided
computer-manageable form. into more specific topic categories. T h e user
T w o points, however obvious, must be is further aided by a keyword index that
made about the medium of the Reviews them- facilitates a search for data sources.
selves. Hardback printed volumes are difficult The coverage of each source is discursive
to update without carrying out a complete rather than exact. T h e intention of the c o m -
revision (as indeed was the case of the series pilers appears to be to provide a sense of what
732 Eric Tar.enbaum and Alfonso Nuñez

T A B L E 3. Guide to official statistics: coverage offered by the data series. T h e

subject headings occasional category also includes information
about ad hoc studies.
1. General In general, the Guide to Official Statistics
2. Area, climate, environment offers a valuable starting point for the creation
3. Population, vital statistics of a current awareness facility. Its biennial
4. Social statistics publishing schedule is adequate to capture
5. Labour
most major changes in the supply of statistical
6. Agriculture
data, and the material is presented clearly
7. Production industries
8. Transport enough to alert the user to any changes that
9. Distribution and other services might have occurred. However, the descrip-
10. Public services tions are quite broad and presume that the user
11. Prices has access to the original sources so that they
12. T h e economy: national income and expen- might be checked to ascertain whether they
diture in fact d o contain the data series of interest.
13. General and Public Finance
14. Financial and business institutions
Statistical serials
15. Overseas transactions
16. Isle of M a n and the Channel Islands The Government Statistical Services are re-
sponsible for a number of regular statistical
periodicals which, in the context of our review
a particular data source offers rather than a
of sources, were most valuable because of the
complete description. Nevertheless, there is
information they contained about changes to
usually enough information in any description
statistical series. O f the six reviewed {Statistical
to offer the user guidance whether a particular
News, Economic Trends, Population Trends,
data series is likely to be found in the source
Social Trends, Annual Abstract of Statistics
being described.
and Regional Statistics), Statistical News of-
T h e emphasis in the Guide is o n the
fered the most pertinent detail about devel-
printed source, which undoubtedly reflects the
opments in the creation and maintenance of
continued dominance of that m e d i u m as a
ongoing data series. The three Trends appar-
vehicle for statistical data. Even so, there is
ently are directed at a general readership and
reference to other media usually accompanied
they offer résumés of findings in each of the
by a brief description of h o w such data might
three subject areas featured in the titles,
be obtained. There are also quite extensive
although there is a degree of overlap in cover-
referrals to sources of unpublished material
age. Both the Annual Abstract of Statistics
which might still be available to inquirers.
and Regional Statistics have only tables of
T h e Guide does not generally contain
data while the three Trends feature both data
explicit details about data reliability or val-
and commentaries. Even so, none offers a
idity. Rather it includes bibliographic infor-
comprehensive source of statistical materials.
mation directing those interested in these
In general it can be said that these serial publi-
'methodological' points to the appropriate
cations do not offer a great deal that is directly
source.
relevant to the maintenance of a data-
M o r e detail is accorded the time dimen-
monitoring service.
sion. Where appropriate substantive sections
are divided between those series that appear
regularly and those that are occasional. Within T h e Social Science R e s e a r c h
Council D a t a Archive
the regular group, series are described ac-
cording to the kind of adjustments that have Over the last fifteen years, the Social Science
been applied, while within the occasional Research Council's Data Archive (formerly
group there is usually reference to the time k n o w n as the S S R C Survey Archive) has de-
Social and economic statistics in the United Kingdom: a review of information sources
veloped an extensive collection of computer-
readable social data. For most of this time,
the archive concentrated o n micro-data gen-
erated by- the sample survey technique. A s a
result a majority of its holdings are from
ad hoc studies. Recently, however, it has
begun to expand its collection of data which
stem from recurrent social surveys (most
notably the Family Expenditure Survey and
the General Household Survey) as well as
data not derived from surveys. These offer
social indicators that are observed at regular
time periods.
There are three main sources of infor-
mation about the data held by the archive.
The biennial Data Catalogue (1980) is the
basic reference document. It contains details
about the substantive coverage of studies,
which are classified according to the scheme
presented in Table 4, as well as about the
technical operations employed in the gen-
eration of the data. Data are characterized
by the time period covered and by the geo-
graphical location of the study.
The Data Catalogue's role as an infor-
mation source is supplemented by the thrice-
yearly Data Archive Bulletin which serves as
an approach to a current awareness service
for computer-readable microdata. However,
as with any printed document, there is a
physical limit to h o w m u c h information can
be included in a given issue. T h e Bulletin's
monitoring function is thus complemented by
a postal inquiry service. This gains in im-
portance as the Data Archive's potential as
an information resource becomes recognized
by the user community. In time it is expected
that this feature of the archive's service will
be enhanced by the implementation of a
computer-based information-retrieval system
which might be accessible directly by users.
This will enable rapid dissemination of u p -
to-date information.
Commercial computer bureaux
Commercial computer bureaux are the last of
the five sources of social and economic data
to be discussed. They differ from the other
733
T A B L E 4. S S R C Data Archive:
subject headings
I. Large-scale continuous and
longitudinal surveys
II. Agriculture and rural life
III. Child development and child rearing
IV. Computer programs, teaching packages
and reference sources
V . Economic behaviour
VI. Education
VII. Elites and leadership
VIII. Ethnic minorities, race relations and
immigration
IX. Government structures and national
characteristics, policies and capabilities
X . Health services and medical care
XI. Housing, environment and town planning
XII. Industrial relations
XIII. International systems, linkages,
relationships and events
XIV. Law, crime and justice
X V . Legislative and deliberative bodies
X V I . Leisure, recreation and tourism
XVII. Management and organization studies
XVIII. Mass-media studies
X I X . Mass political behaviour and attitudes
X X . Population studies and censuses
X X I . Religion
XXII. Social structure and social stratification
XXIII. Social welfare: the use and provision of
social services
sources of statistics reviewed here as they
offer a combination of data and computer
programs to manipulate these data. These
commercial information agencies are a rela-
tively recent innovation in the United
K i n g d o m and still only service a limited
clientele. However, it is likely that their cur-
rent importance is greater than might be
suggested by the number of users that they
have because they tend to concentrate on par-
ticular sectors of research (e.g. transportation
modelling, econometric research). Conse-
quently they appeal to subject specialists
rather than to a broad spectrum of users. T h e
data they offer are almost invariably derived
from central government and are available
elsewhere, albeit without the tie to the specific
software components that ease their use.
734 Eric Tanenbaum and Alfonso Nuñez

T h e services offered by these information the difficulties inherent in creating a useful

agencies are designed for researchers w h o classification scheme). Indeed, the scope of
want to manipulate the data rather than data described in the Guide suggests that the
simply refer to them as they are stored. T h e volume is directed more toward generalists
agency's users will access a c o m m o n computer than to specialist researchers. While it could
system for their work; this makes c o m m u n i - be argued that subject specialists d o not
cation with the user community about changes require centrally provided sources of infor-
in the data base relatively simple (compared mation, they do need accurate information
with the other sources reviewed). D o c u m e n - about data that might be used in comparative
tation can be maintained on-line and can be work. A more comprehensive classification
interrogated by the user at will. Indeed, the scheme, perhaps based o n an established
system can be automated to ensure that any thesaurus, applied to data resources is necess-
changes to the data base are communicated to ary to meet research (as opposed to reference)
the user as soon as any data affected by a needs.
change have been accessed. A system like The Guide has a biennial publication
this offers the mostflexibleapproach to data schedule. Although adequate for most pur-
documentation and its use obviates m a n y of poses, it is easy to imagine circumstances
the technical difficulties associated with a when it would not be. Moreover, even a gap
current-awareness system. Given the poten- of two years between issues means that the
tial of such documentary systems for social information presented about some data
science data it is unfortunate that they have sources will be considerably more recent than
only been implemented in a limited sphere. that presented about others. Maintaining a
file of some 30,000 references based on
thousands of primary sources restricts a
Conclusion: a current compiler's ability to act on all the material
monitoring service? simultaneously.
This might be eased if the Guide used a
The Central Statistical Office's Guide to Of- moreflexiblem e d i u m than its current printed-
ficial Statistics offers the closest approxi-book format. T h e printed m e d i u m makes
mation to a viable current information service material difficult to revise and causes other-
a m o n g the statistical sources w e surveyed. wise unnecessary delays between actual re-
W h a t w e shall consider here, by w a y of vision and publication. It is also expensive.
conclusion, is whether it suffices as a current- A monitoring service of the kind en-
awareness facility. Here w e shall list only the visioned cannot operate successfully if it has
criteria that such a service should meet. to rely on printed material to communicate
A data-awareness service should have the with its users. At the least a computer-output
following attributes: (a) a data-classification microform system should be adopted as the
scheme; (b) a clearly defined market for ser- main vehicle for a monitoring system's out-
vice; (c) aflexiblem e d i u m ; (d) established put. However while this would improve the
rules for temporal coverage; (e) determinate work situation of the compiler, the microform
areal coverage; and (f) procedures for adapting solution restricts the user's ability to manipu-
to major change. T h e Guide can be faulted late the information offered (e.g. cross ref-
on the first four of these points. Its data- erencing, combination of sources). Indeed w e
classification scheme is too broad to allow a expect that the use of microform as a m e d i u m
researcher to locate a comprehensive selection for this kind of information will only be a
of data in any particular area. This vagueness short-lived stage between the present conven-
of subject definition m a y reflect the compilers' tional bound volume and direct-access infor-
intent to service a community with wide mation banks on central computer facilities.
interests (or, just as plausibly, it m a y reflect A s w e indicate elsewhere (Tanenbaum and
Social and economic statistics in the United Kingdom: a review of information sources 735

Nunez, 19826), w e would hope that the new,
but stable, facilities in computing would be
adopted by anyone w h o wanted to implement
a data-monitoring service.
It is also worth considering whether a
single product like the Guide offers a suf-
ficiently secure base for such an important
resource. It is published by the Central Stat-
istical Office which, as mentioned above, has
c o m e under a budget-based view of its func-
tions. A n underlying theme ofthat perspective
is that government-produced statistical ser-
vices' activities are only justified if they are
dedicated to the improvement of governing.
Other tasks, like publishing guides to stat-
istics or popularized reviews of statistical
findings are, it has been suggested, possibly
better undertaken by a commercial firm.
If this orientation is realized, the impact
on government statistical services will res-
onate in all statistics-using sectors. However
the most severe repercussions will arise if
broad services like the Guide are limited, for
whatever their weaknesses, they facilitate the
use of that material which is available. The
problem with regard to the Guide is par-
ticularly acute because there is n o replacement
for it. This might well be a good time for
social researchers to consider creating an
alternative if only for self-protection.

References

B E T E I L L E , A . 1977. The I R V I N E , J.; M I L E S , I.; E V A N S , J. Office, Central Statistical

Language of Social Sciences.
International Social Science
Journal, Vol. X X I X , N o . 3,
1977, pp. 531-2.
B R I T T A I N , J. 1979. Information
Services and the Structure
of Knowledge in the Social
Sciences. International Social
Science Journal, Vol. X X X I ,
N o . 4 , pp. 711-28.
C A T T E L L , R . B . 1978. The
Scientific Use of Factor Analysis
in Behavioral and Life Sciences.
London, Plenum Press.
xxii+618 pp., illus., tables,
bibliog.
F L E M I N G , M . 1980. Construction
and the Related Professions.
London, Pergamon Press
Ltd., xi+650 pp., tables,
bibliog. (Reviews of United
Kingdom Statistical Sources, 12.)
F O S K E T T , D . 1971. Problems of
Indexing and Classification in
the Social Sciences. International
Social Science Journal,
Vol. XXIII, N o . 2,
pp. 244-55.
(eds.). 1979. Demystifying
Social Statistics. London,
Plutó Press, x+390 pp.,
bibliog.
L O R E N T Z E N , J.; R O K K A N , S.
1976. A Multi-Level Data
Bank for Computer Mapping
of Regional Variations in
Western Europe. European
Political Data Newsletter
(Bergen, Norwegian Data
Service), N o . 19, pp. 1-22.
MITCHELL, J.; M O O R E , P. 1974.
Foreword. In: Maunder, W . F.
(ed.). Reviews of United
Kingdom Statistical Sources,
p. v. London, Pergamon Press.
xiv+257 pp., tables, bibliog.
(Reviews of United Kingdom
Statistical Series, 2.)
PRZEWORSKI, A.; TEUNE, H .
The Logic of Comparative
Inquiry, N e w York, John Wiley,
1970.
R A Y N E R , D . Report on the
Central Statistical Office, 1980. Colchester, University of Essex,
London, Press and Information
Office. 54 p p . , tables, bibliog.
(Review of Government
Statistical Services.)
R O B E R T S , S.; B R I T T A I N , J.
D e m a n d and Supply Patterns
for Documents and Data in the
United Kingdom. International
Social Science Journal,
Vol. XXXIII, N o . 1, 1981,
pp. 50-71.
SOCIAL SCIENCE R E S E A R C H
COUNCIL. 1980. Data Archive.
Data Catalogue. Colchester,
University of Essex, 320 p p . ,
bibliog.
TANENBAUM, E.; N U N E Z , A .
1982a. A Sketch of Socio-economic
Statistical Sources
in the United Kingdom.
Colchester, University of Essex,
S S R C Data Archive.
. 19826. A Proposal for a
Current Awareness Facility
for Social and Economic data.
S S R C Data Archive.
736
T A N E N B A U M , E.; T A Y L O R , M .
1980. The United Kingdom.
Proceedings of a Symposium
on the Development of Joint
Data Bases for Regional
Analysis and Computer
Cartography. Turin, CSI,
Piemonte.
T H O M P S O N , E . 1978. 'Social
Trends': T h e Development
of an Annual Report for the
United Kingdom. International
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Vol. X X X , N o . 3, pp. 652-9.
UNITED K I N G D O M OF G R E A T
BRITAIN A N D N O R T H E R N
I R E L A N D . C E N T R A L STATISTICAL
OFFICE. 1980. Guide to
Official Statistics. London,
Her Majesty's Stationery
Office, vi+493 pp., bibliog.
. L O R D PRESIDENT O F T H E
COUNCIL. 1981. Government
Statistical Services. London,
Her Majesty's Stationery
Office, April. 18 pp.
(Cmnd. 8236.)
VIGIL, F . G . 1980. National
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Eric Tanenbaum and Alfonso Nuñez
V I N O G R A D O V , V . , and others.
1981. Towards an International
Information System.
International Social Science
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pp. 10-49.
W A L K E R , M . 1981. Crime.
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(Reviews of United Kingdom
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Documentation
and the democratization
of information M
José Antonio Viera-Gallo

Until not so very long ago, documentation was ponential expansion of information gets out
regarded as a minor technique, a necessary but of hand, and beyond the broadcast images
ancillary task. Documents had always been and sounds, the data and the messages,
kept, so w h y give documentation a priority it stretches mass poverty. A s the 'world village'
did not appear to deserve? Nevertheless, docu- posited by Marshall M c L u h a n takes shape, ,.
mentation is taking on ever more vital im- electronic barriers2 are closing in within a
portance in thefieldof communications, hence context of superimposed and overlapping
in the very organization of society. The 'third' civilizations where an agrarian past rubs
industrial revolution—progress in micro- shoulders with the telematics of the future.
electronics and telecommunications—has The word 'crisis' is inadequate to convey
been decisive in convert- the full significance of the
ing documentation into a period in which w e are
key factor. José Antonio Viera-Gallo is Deputy living. The fabric of so-
Secretary-General of the International ciety is disintegrating and
Communications are Documentation and Communication
changing the world. In Center (IDOC), 23 Via S. Maria its processes getting out
post-industrial society dell'Anima, 00186, R o m e , Italy. of control; problems per-
the information sector is sist unsolved, a n d mili-
coming to the fore. The tary regimes are taking
somewhat Utopian image over in a blind a n d inef-
of the 'noosphere' is on fectual response to them.
the w a y to becoming a A whole world order is
reality.1 The world is be- changing at a speed which
coming increasingly uni- is gathering m o m e n t u m .
fied, differences being It is against this
levelled out, frontiers background that w e shall
opening up, images and address ourselves to the
information circulating, distances dwindling, new sphere covered by documentation, and
and changes taking place in the parameters of to the positive contribution it can m a k e to
time and space which form the stage of h u m a n developing and establishing the n e w values
life. But the obverse of the coin is that direct n o w emerging.
interpersonal relationships are being lost, and
the intermediate role of the machine is emerg-
ing as a fundamental problem. H u m a n beings Data and information
are isolated in an increasingly technology-
based environment, their forms of language W e live in a world of data. T h e growing
and customs become stereotyped, the ex- complexity of society, the intensification of
738
communications and the progress of science
and technology have brought about a virtual
'data explosion'; data have become essential
for the normal functioning of a modern
e c o n o m y and for scientific research. N o w -
adays the collecting, processing and analysis,
classification, storage and subsequent distri-
bution decisively affect the life of society.
O n e might even speak of data 'pollution',
or overproduction, as harming the cultural
environment. Pollution is due to the mismatch
between the quantity of data available and a
society's processing (or documentation) capa-
bility to convert data into information of use
in decision-making. T h e shortfall m a y be
general throughout a society, if the social
system is taken as a whole, or partial, if
processing capability is concentrated in cer-
tain leading sectors, with a resulting imbal-
ance. Whatever the circumstances, there is
today an objective need for documentation,
understood as the scientific processing of in-
formation . in order to m a k e it of use to
society. The discussion on the N e w Inter-
national Order of Information and C o m -
munication showed clearly that there is also
an international imbalance in the production
and transmission of data, a problem which
is becoming increasingly more important.
The very concept of a 'datum' deserves
looking at closely. It comes from scientific
theory, and has a positivistic connotation
derived from the idea that there are pure
data of reality which can confirm scientific
hypotheses. T h e concept has influenced the
development of information science, although
there are n o w trends to m o v e away from the
empiricism of recourse to language. A datum
is not coincidental with the object as such, nor
is it a mere synthesis of thought. It constitutes
the crystallization of a continuing and complex
process of approximation to reality, always of
a problematic nature; it is an abstract element
in a situational and culturally conditioned pro-
cess, both defining and changing the context
in which it appears and acquires meaning. A
d a t u m is always dependent on theoretical or
conventional parameters.
Since documentation deals with data, it
José Antonio Viera-Gallo
runs the risk of being unscientific, hence of
being used for individual purposes. It is there-
fore important to define the type of raw
material with which w e are concerned.
In some respects, documentation precedes
information. It consists of components which
can subsequently be arranged to produce in-
formation. Stafford Beer warned against the
danger of remaining at the level of raw data,
hypnotized as it were by their quantity, their
appearance of objectivity, their power, without
putting them to useful purpose and organizing
them in the light of criteria geared to decision-
making in a society.8 However, there is also
the opposite danger; that of remaining solely
on the surface of the communication process,
at the level of news, ignoring the factors
determining content, the technology of the
medium of communication and the historical
m e m o r y of the society within which the infor-
mation is produced. Data are the raw material
of information which, as the syllable 'form'
indicates, gives cultural form or shape to cer-
tain basic elements. Information leads directly
to control over social processes, to power;
information produces order out of disorder,
and increases awareness.
The relation between information and
decision-making is the key to the information
systems which are basic to documentation
work. Scientific data processing means con-
verting data into information or forecasts
which will be of significance for economic,
social or cultural development. Information
systems have been devised to m a k e appro-
priate use of data and thereby achieve some
control over the real world. W . Ross Ashby
maintains that there should be a balanced
ratio between the variety of reality, reflected
in data, and the complexity of the infor-
mation system.
The democratization and dissemination
of power, and consequently all matters con-
cerning freedom, justice and participation,
progress in science and technology, and access
to culture, as well as the organization of the
process of communication at the regional,
national and international levels, are bound
up with documentation. T h e w a y documents
Documentation and the democratization of information 739

are organized in a society has a decisive a pyramid of divisions and subdivisions fol-
influence on all these matters. lowing a conception of knowledge influenced
by the ideas of Bacon. A qualitative change
took place with the system devised by the
Documentation L o n d o n Classification Research G r o u p di-
and information systems rected by S. R . Ranganathan (1932), which
suggested as a basis for the decimal system the
A s already noted, documentation requires an 'research viewpoint', using key words to link
information system. It proceeds analytically, the main concepts in a document. This change,
breaking d o w n the image offered by reality, in conjunction with Shannon's mathematical
which constitutes the preliminary synthesis theory of information and N . Wiener's cy-
built u p by the transmitting agent. The docu- bernetic studies, paved the w a y for modern
mentalist sorts out the component parts in informatics, making possible the rapid pro-
accordance with set logical principles and cessing of a great mass of data. T h e use of
enters them as an input into the information key words or concepts as a classification
system. Data are subsequently re-assembled criterion means that documents can be ana-
by means of cross-references to obtain fresh lysed without reference to a hard-and-fast
information, not contained in any of the pre-established pattern, with co-ordination
documents analysed individually. taking place at a later stage: processing m a y
Documentation centres, and documen- be either manual or electronic. In this way
tation work in general, must be organized to classification moved from a one-dimensional
4
cater for users' needs, bearing in mind the to a flexible multidimensional system de-
fact that users are not always sure what they signed to establish all the possible information
are looking for. A s documents are consulted, links in each document, depending on the
the view of the problem m a y change. All infor- depth of the filing.
mation systems should be capable of'recalling' There has been rapid progress in the
and 'forgetting'. Forgetting information does various generations of computer equipment,
not m e a n eliminating it, but rather having the which has evolved from machines using large
selective capability to choose and indicate valves with high energy consumption through
what is relevant for the user at a given time. transistors and microcircuits to modern micro-
A n information system should be de- electronics. The new machines n o w available
signed to take account of the socio-cultural are capable of processing a great quantity of
context in which it is to operate as part of a data at an ever lower cost, with countless uses
two-way communication process. This is one for society. O n e of the applications of this new
of the most delicate aspects.6 technology is documentation work.
The classification methods adopted by The advantages and drawbacks of using
information systems underwent an initial manual as against electronic classification
major change with Gabriel N a u d e in the methods are n o w being discussed. A t present
seventeenth century, when classification by both systems use the same logic. It is for each
content became permanently established. documentation centre to decide, depending
In 1905, the decimal system was introduced on its o w n requirements, the cultural en-
called the Universal Decimal Classification vironment in which it functions, and its users'
( U D C ) , anticipated by Melvin Dewey in the needs. Manual systems have the advantage of
United States in 1876. This system classifies being less expensive, but the amount of labour
documents by areas of knowledge, based on required is a definite stumbling-block. S o m e
the assumption that all h u m a n knowledge idea m a y be gained of the discussion from the
can be divided up in accordance with a number Final Report and Declaration of the ' D o c u -
of general criteria. Each science and discipline mentation for Change' meeting held in Lisbon
has an index number, and is broken d o w n into in January 1982.« There is n o doubt that the
740 José Antonio Viera-Gallo

dissemination of new technologies is becoming Data banks are transforming the con-
increasingly dynamic, even in the Third World. ditions governing documentation work. They
T h e problem is h o w to acquire technology in provide society with a virtually unlimited
a creative way, without falling a prey to capacity for storing information, and can
cultural domination and blind economic operate on a worldwide scale thanks to tele-
forces. T h e reader is referred on this point to
matics. They influence financial, economic,
the I D O C study on the O A S I S feasibility commercial and scientific activities, as well
study.7 T h e conclusion is that it is possible to
as communications and politics.8
use microcomputers for documentation pur- At present there are between 400 and
poses through a combination of different 500 public data banks in the world. S o m e
programs for entering information into the 250 bibliographical banks deal with about
system and subsequently retrieving it. Devel- 10 million references a year, 50 per cent of
opment of this type of technology m a y prove them on scientific and technical matters; the
a means of potentializing the activities of remainder—some 150—deal chiefly with in-
m e d i u m and small documentation centres by formation concerning economics, manage-
helping to improve documentation capa- ment and chemistry. The United States pro-
bilities, hence power and information, vides 31 per cent of bibliographical references
throughout a society. and 47 per cent of specially processed data.
The other major producing countries are the
United K i n g d o m , France, the Federal R e -
Data banks—a new challenge public of G e r m a n y and Japan. The United
States was also thefirstcountry to convert
Since the 1950s centres for the collection and the activity of data banks into a commercial
classification of data, or data banks, have undertaking, though this could not have been
been set u p and are operating on a worldwide done without substantial support. In Western
scale. Most of them are located in the indus- Europe, on the other hand, the majority of
trialized countries, notably in the United data banks and telecommunications networks
States. Telecommunications provide remote are state controlled, following the tradition
access to the documentation held by data of state monopoly of postal services and
banks. telecommunications.
There are two separate types of data Transnational corporations play a sig-
banks: those containing bibliographical data nificant role in the establishment and func-
and those providing specially processed infor- tioning of data banks. T h e two largest are
mation. A n example of the former is the Lockheed and the System Development Cor-
New York Times data bank (Infobank), which poration ( S D C ) , which together control 75 per
deals with 200,000 newspaper articles a year; cent of the European market and 60 per cent
to date 1.5 million abstracts of articles have of the North American market. In 1977
been fed into the computer. Another example Lockheed owned 100 of the 400 public data
is the Chemical Abstracts Service ( C A S ) banks in the world. Transnational corpor-
which deals with publications on chemistry ations also control access facilities to data
and biochemistry and their applications in banks (carriers) at both the national and the
agriculture. C A S virtually holds the world international level. The two chief carriers in
monopoly for bibliographical information on the United States are Lockheed Dialog and
chemistry, with 60 per cent of its users outside SCD-Orbit." B y contrast, the European
the United States. T h e second type of data E U R O N E T project links the scientific, social
bank, which deals with specially processed and legal data banks in its network through
data, provides the basic facilities for financial the co-operation of the postal and tele-
information networks or, for example, inter- communications services. Transnational cor-
national airline reservations systems. porations also dominate the market for the
Documentation and the democratization of information
information technologies used by data banks.
The position held by I B M in this respect is
well k n o w n . 1 0
The role played by transnational corpor-
ations in the management of data banks and
telecommunications networks forms part of
what some authors call the information or
communication industry, or generally speak-
ing, the 'cultural' industry^The transnational
industrial complex operates primarily in ac-
cordance with an economy without any
counterbalancing action by national or inter-
national public authorities, thus producing a
distortion in the communication process.
Data represent a marketable value of the
first order. Possession of data and the tech-
nological capacity to marshal them consti-
tutes an instrument of power. T h e North-
South imbalance is aggravated by the location
of the data banks in the industrialized hemi-
sphere. In the same way as in thefirstindus-
trial revolution, when far-off countries sent
their raw materials to be processed in devel-
oped countries, which proceeded to sell them
at a far higher price than their added value,
poor countries n o w export data for process-
ing in rich countries, and have to pay data
banks in order to gain access to the data
they themselves have supplied, with the great
difference that data exports bring no econ-
omic return to the country of origin.
With the introduction of remote sensing
by satellite, data on the natural wealth of
developing countries end u p in the hands of
the countries possessing advanced technology.
It is accurate to speak of 'data poor' and 'data
rich' countries; this is simply a new form of
dependence. S o m e countries are obliged to
look abroad to obtain the information they
need for their o w n economies, so as to take
decisions vital for their development. For
instance, 90 per cent of the information on
Canada is processed outside Canada. T h e
present trend is for the developing countries
to prefer to have access to data banks abroad
rather than set u p banks of their o w n . T h e
information is conditioned by the type of
data entered into information systems and by
the degree of freedom of access thereto.
741
A s regards types of data, information of
a worldwide nature predominates. Little ac-
count is taken of local sources of phenomena,
processes or conflicts. T h e fact that macro-
economic statistics have supremacy over first-
hand data from the actual scene of economic
activity can seriously distort the picture. This
is not to say that macro-economic statistics
are meaningless, but that they offer only a
partial reflection of reality. It is essential to
compare them constantly with data from local
sources. A s intermediate sources of infor-
mation and global figures become more and
more important, the existing divorce be-
tween the official image of certain problems,
countries or areas in the world and the real
lives of the m e n and w o m e n involved in the
processes reported can only be accentuated.
The challenge set by the data banks is no
minor one. T h e great majority of the popu-
lation remain on the fringe—both nationally
and internationally—of existing d o c u m e n -
tation capability, retaining structures which
are still pyramidal and still function vertically.
Present-day scientific and technological prog-
ress is employed in a w a y that underscores
these characteristics. This represents a par-
ticular challenge for the peoples and govern-
ments of the Third World.
The flow of data
Data flow is studded with decision-making
and activities affecting the social system. So-
ciety m a y be thought of as a constant process
of communication. Data form a substantial
part of that process within each group, dis-
trict, area, country and region, and through-
out the world. A s noted above, telematics
makes possible remote access to data banks
through communication networks that use
submarine cables or satellites. T h e telephone,
with 420 million subscribers throughout the
world, is still the means of communication in
most c o m m o n use, in a great m a n y cases
forming part of the terminal of an electronic
network. Here again there is imbalance, since
there are only 38 million telephones for the
742
whole of Asia, Africa and Latin America.
D a t a flow operates mainly in a North-North
direction, and only to a lesser extent North-
South.
The Intelsat and Intersputnik satellite
systems promote data flow. Ten per cent of the
satellites in orbit are communication satel-
lites. In 1979 the Intelsat system consisted of
12 satellites and 203 transmission stations in
97 countries, which offered a variety of fa-
cilities such as telephone communications,
telegraph, telex, data transmission and fac-
similes. T h e network covered 130 countries
and also provided internal services for some
developing countries: Algeria, Brazil, Chile,
Colombia, Malawi, Nigeria, O m a n , Peru,
Saudi Arabia, Sudan, U g a n d a and Zaire, and
also France, Spain and Norway. 1 2 T h e Inter-
sputnik network, set u p in 1971, linking
twelve socialist countries, provides similar
services. The systems are intercommunicating
and a country can use both networks. There
are also networks of regional satellites, mainly
controlled by the industrialized countries, in
particular N A S A . 1 3
The non-aligned countries have asked
for international regulations to govern the
use of the space in which communication
satellites orbit, and the equitable use of satel-
lites irrespective of ownership. A n inter-
national conference will be held in 1984 on
this subject.
The use of' telecommunications has
caused an annual increase of some 20 to 40 per
cent in worldwide data flow, which simply
serves to aggravate the above-mentioned dis-
parities.
O n e of the subjects frequently raised in
international meetings is the international
regulation of the flow of data.14 A t present
there is a shortage of institutions in a position
to operate regulating machinery to cope with
the new situation. The legal norms applicable
vary considerably depending on the nature of
information, its supporting medium and those
to w h o m it is addressed. T h e principles of
freedom of expression and confidential nature
of correspondence must also be taken into
account, depending on whether the data in-
José Antonio Viera-Gallo
volved are public or private. Regulations will
also vary depending on the type of infor-
mation carrier involved.
As a rule transnational companies are
opposed to all forms of international control,
and even press to obtain waivers of regu-
lations from states on grounds of the principle
of the free flow of information. This is one
of the most controversial points in the dis-
cussions concerning the N e w International
Order of Information and Communication.
At the Fourth Intergovernmental Meeting
of the Co-ordinating Council of the N o n -
Aligned Countries for Information (Baghdad,
M a y 1980), a number of criteria were deter-
mined in this respect.
Recognition of the basic principles of inter-
national law (self-determination of peoples,
equal sovereignty of states, non-inter-
vention).
The right of each nation to develop its o w n
independent information system and to
protect its sovereignty and cultural identity.
The right of peoples and individuals to have
an objective image of reality.
The right of each nation to use its means of
communication to m a k e universally k n o w n
its interests, aspirations and values.
The right of all nations to participate, at
governmental and non-governmental levels,
in the international exchange of infor-
mation on an equal footing.
The responsibility of those involved in infor-
mation processes as regards accuracy and
objectivity.
The observance of such criteria will be pos-
sible only if far-reaching changes are brought
about in the present 'free flow of information'
through the enforcement of standards to regu-
late the activities of transnational companies.
The industrialized countries have put u p
strong resistance to these ideas, which have
been endorsed by Unesco. T h e MacBride
Report, Many Voices, One World, draws a
basic distinction between freedom of access
and participation in the communication pro-
cess and freedom to invest one's capital in
communication media. T h e report employs
the compromise formula 'free and balanced
Documentation and the democratization of information 743

flow of information'. T h e N e w Information nation restricting access to information use-

Order is regarded more as a result of the ful to developing countries should be avoided.
informatics revolution than as a project for The representatives of the industrialized
re-organizing information structures at the countries are more favourably disposed
national and international levels. towards bilateral agreements than to free
A s regards data banks, there is a grow- access to data banks. Sometimes they get
ing awareness of the need to safeguard the round the problem by saying that their govern-
national sovereignty of states. This was one ments cannot influence the conduct of private
of the basic conclusions of the Nora-Mine enterprises. T h e non-aligned countries are n o w
Report. In Canada, in 1979, a governmental tending to join forces to set u p their o w n
report stated that if Canadian identity and data banks in specific fields.
independence were to be preserved it was This problem directly affects the use of
necessary to ensure adequate control of data the network information services (NIS) link-
banks, transnational data flows and the con- ing users' terminals with the central computer
tent of the information services located of the data supplier. In future w e shall witness
in Canada. 1 5 M a n y Third World delegates rapid development of this type of network
adopted a similar position on transnational but, as noted above, the system favours North-
data flows at the Torremolinos (1978) and North or North-South relations at the ex-
R o m e (1980) Conferences organized by IBI. pense of South-South or South-North re-
Governments of different political ideologies lations. Alongside these electronic networks
such as Brazil, Cuba, Algeria and the Ivory linking data banks throughout the world with
Coast were unanimous on the urgent need to each other and with their customers, there are
regulate data flow. Last year (1981), in Abid- the networks of the m e d i u m and small docu-
jan, a group of African countries agreed on mentation centres which deal with the prob-
the following. lems and aspirations of social movements.
Scientific and technological information These centres regard their work as closely
should circulate freely. bound u p with an alternative development
16
The flow of economic data should be regu- strategy. Their great advantage is that they
lated by bilateral or multilateral agree- have access to first-hand documents e m a -
ments. nating directly from the agents of social
The collection, use and dissemination of data movements, which are largely overlooked by
concerning individuals and corporate bodies major information systems. There is little
should be governed by international agree- likelihood for the time being that c o m m u n i -
ments. cation between these centres will be able to
Each country should have preferential access benefit from progress in telematics, other than
to the information available in other possibly the use of an existing telex network.
countries on its national position and ac- The latest information technology is still a
tivities. distant prospect for this type of institution.
The dissemination of information by trans- A step in the right direction for such centres
national companies should be regulated at as are computerized might be the exchange of
the national and international levels. magnetic discs containing intermediate docu-
Cultural information should befilteredto ments or abstracts, but this system naturally
protect peoples. requires compatible installations. Greater co-
Thus non-aligned countries demand free operation a m o n g documentation centres is
access to the information they need for their therefore becoming more and more urgent.
development, pleading for certain areas of The efforts to achieve a n e w organization
freedom in data flow, such as scientific and of documentation on a national and world-
technical information, weather forecasting wide scale must not be confined to legislation.
and the medical sector. Arbitrary discrimi- Priority should be given to decisive progress
744 José Antonio Viera-Gallo

towards democratization by a change in and technology, cultural needs and the press-
the substance of documentation work. Each ure of social movements converge. The aim
country should develop its o w n informatics in view is to get away from the vertical and
capability by establishing its o w n data banks. centralized structures in which c o m m u n i -
The same applies to telecommunications: cation is organized, and to promote partici-
access to satellite or submarine cables, full use pation from below and decentralization.
of broadcasting possibilities, and the estab- It is worth trying to imagine the benefits
lishment of data transmitting networks. A s which might derive from a greater number of
regards the latter, South-South networks experiments in basic documentation at the
must be set up to facilitate the exchange service of people's organizations and social
of data between developing countries, as movements. T h efirstconsequence would be
specified in the Buenos Aires Plan of Action." the decentralization of data and information,
At the same time, each society should work hence of the capabilities for decision-making
towards effective internal. democratization: and influencing the future of a society. This
data banks and documentation work should would break the vicious circle of information
no longer be the monopoly of an élite as- producing power, and power seeking to
sociated with large corporations or the state; control information. Documentation centres
each social group, each basic organization, could become places specially suited for cul-
whether a trade union, w o m e n ' s , neighbour- tural activities, disseminating modern scien-
hood, youth or cultural organization, should tific knowledge and discussing public affairs.
be able to organize its o w n documentation This would help to create the conditions for
freely and to disseminate its o w n view of a democratic w a y of life. T h e institutional
problems through access to modern tech- form such a process of democratization might
nology. T o this end the state must clearly take remains to be discussed, and would
define its information and education policies. depend on individual countries and circum-
Documentation centres could then pro- stances. Each people, group and nation creates
vide information suited to users' needs in its its o w n structures in accordance with its
appropriate context, placing each fact or needs.
datum in an overall process, giving priority
Documentation centres are becoming
to local sources and establishing horizontal
more and more aware of the challenge im-
channels of communication which would be
plicit in their work, of the imbalance in the
conducive to participation.
structure and flow of information, of the
existence of 'data rich' and 'data poor'
countries and of the inequalities prevailing in
Conclusion every society. T h e future will depend to a
great extent on the ways in which information
This brief survey is intended to indicate the is organized and managed.
current scope of documentation work as a
focal point on which the progress of science [Translated from Spanish]
Documentation and the democratization of information
Notes
1. The neologism 'noosphere'
was coined by Teilhard de
Chardin to describe the process
of cultural interaction on a
worldwide scale due to the
rapid development of
communications. See, for
example, The Human
Phenomenon.
2. Alvin Toiler, in The Third
Wave, uses the concept of
'electronic cottage' to indicate the
trend towards individualism
implicit in the micro-electronic
revolution.
3. Stafford Beer, ' A n Argument
of Change. Managing Modern
Complexity', in The Management
of Information and Knowledge
(presentation to the Committee
on Science and Astronautics
of the United States House
of Representatives of
27 January 1970), p. 223.
4. Charles Foubert, The IDOC
Documentation Handbook. A
Guide to Appropriate Technology
and Documentation Systems,
R o m e , 1982; Matil Salimei
and George Vladutz (eds.),
Politica delia documentazione,
R o m e , Edizioni dell'Atcnco e
Bizzarri, 1978.
5. Gabriel Rodriguez, Report
on the Feasibility Study for
Computerization of the IDOC
Documentation System, R o m e ,
April 1982.
6. International Meeting of
Documentation Centres on
Third World Issues,
'Documentation for Change',
Lisbon, 11-16 January 1982,
organized by FFHC/Action
for Development, F A O ,
the Non-governmental Liaison
Service of the United Nations,
Geneva, I D O C International
and C I D A C .
7. Rodriguez, op. cit.
8. Hans Dieter Klee,
Transnational Data Flow,
Development and Co-operation,
1981 ( D S E , Federal Republic,
N o . 1): 'Nowadays data banks
and computer science have
become instruments of
economic power, compared
with which the cultural
alienation due to radio and
television programmes is but a
pale reflection. In other words,
what was previously a secondary
phenomenon in the international
debate on communications
has become a key ares.'
9. See Annex 2 of Jean-Pierre
Chamoux, 'L'information
sans frontière', Information
et Société (Paris), N o . 8, 1980.
10. Here it is interesting to note
the dedication to I B M by
Simon Nora and Alain Mine
in their report to the President
of the French Republic, Convivere
con il calcolatore: Rapporto
sull'informática al Presidente
delia Repubblica Francese, Milan,
Bompiani, 1979. O n multinational
enterprises in this sector,
see Juan Rada, The Impact
of Micro-electronics, Geneva,
I L O , 1980, and 'The Datamation,
100. The T o p U S Companies
in the D . P . Industry*,
Datamation, US, July 1980.
11. See Cees Hamelink,
The Corporate Village,
R o m e , I D O C , 1977; Juan
Somavia, 'The Transnational
Power Structure and
International Information',
LARU Studies (Canada),
June 1978.
12. A r m a n d Matterlard,
'The Satellite System',
Le Monde Diplomatique
(Paris), March 1978, reproduced
in A . Matterlard and Seth
Siegelaub (eds.), Communication
and Class Struggle,
International General U S A
and I M M R C , France, 1979.
745
13. ANIK in Canada,
WESTAR and COSTAR
in the United States,
P A L A P A in Indonesia,
A R A B S A T in North Africa,
the Middle and Near East,
and E C S in Western Europe.
14. Conference on Transborder
Data Flow organized by IBI
in R o m e in June 1980 and the
Conference on Data Regulation,
European and Third World
Realities, N e w York, 1978.
See also Jon Bing and Knut
S. Selmer (eds.), A Decade
of Computers and Law,
Oslo, Universitetsforlaget, 1980;
W . W . Ploman, Transborder
Data Flow and International
Regulation of Information
and Communication, R o m e ,
IBI, June 1980.
15. Consultative Committee
on the Implications of
Telecommunication for Canadian
Sovereignty, Telecommunications
and Canada, Ottawa, Minister
of Supply and Services, 1979.
16. See aforementioned report
on the Lisbon meeting. The
MacBride Report takes up the
relation between the two
phenomena: 'In certain respects,
development and communication
do follow or are based
on the same principles.
It is vital that the present
state of dependence of the
developing world, in its
economy and its communications
alike—a dependence which both
generates ever greater
inequality and is wasteful of
natural and in particular
non-renewable material and
h u m a n resources—be replaced
by relations of interdependence
and co-operation between
national systems as they become
progressively autonomous
and capable of endogenous
development. The n e w
communication order must be
746
considered as an element
of the new economic order,
and the same methods of
analysis m a y be applied to
both.' Many Voices, One
World, Communication and
Society To-day and Tomorrow
(Report by the International
Commission for the Study
of Communication Problems
under the presidency of Sean
MacBride), p. 39,
L o n d o n / N e w York/Paris,
Kogan Page/Unipub/Unesco,
1980.
17. The Buenos Aires Plan
of Action for Promoting and
Implementing Technical
Co-operation among Developing
Countries, U N D P , United
Nations, N e w York, 1978.
José Antonio Viera-Gallo
See also R . E . Butler,
'World Communication
Network', Transnational
Perspectives (Switzerland),
N o . 3, 1979; and Thomas
L . McPhail, Electronic
Colonialism, The Future of
International Broadcasting
and Communication,
London, Sage Publications,
1981.
N e w directions for research
in the social sciences
and the humanities in France

Denis Duelos

It is still too early to tell whether the research scientific circles and in society as a whole.
methods used in "the humanities and the social They will, however, have a specific role to
sciences in France are about to take a n e w play in this movement, by virtue of the official
turn; w e do k n o w for sure, however, that interest shown towards them by the M i n -
during the first year that has elapsed since ister,1 the specialized commissions that have
the left-wing government came to power in been set up, and lastly, the importance of the
M a y 1981, radical changes have begun in general suggestions that m a y emerge from
the existing structures of these disciplines and scientific circles, which are, by nature, par-
in the trends foreshadowed by their policies. ticularly sensitive to the institutional aspects
This process of change has been consist- of change. T h e Godelier Project sets out to
ently characterized by de- explore more thoroughly
tailed consultation of re- the issues raised in the
searchers and others in Denis Duelos is a sociologist and re- debate which began at the
research circles, and of searcher at the Centre National de la symposium, leading to a
Recherche Scientifique ( C N R S ) , Paris.
those active in society H e specializes in urban sociology and is series of proposals which
w h o wish to support these the leader of the Paris study group seek, on the one hand, to
sectors. Four stages are 'Social Science Encounters'. change the status q u o in
apparent: launching of science and to open u p
the National Symposium n e wfieldsof study, a n d ,
on Research and Tech- on the other, to improve
nology, on the initiative working conditions a n d
of the Minister for R e - assessment procedures.
search, Jean-Pierre Che-
vènement; drafting of a
law on research policy The National
and programming; the
Symposium:
study project on the humanities and the social
initial observations
sciences assigned to Maurice Godelier, anthro-
pologist and Director of Research at the
Organizing the National Symposium o n R e -
Ecole des Hautes Études en Sciences Sociales;
search and Technology is the first political
and drafting of decrees for the implementation
act of a new ministry with joint responsibility
of the law, particularly as it relates to the
for institutions which, like the C N R S , were
social sciences and the humanities. As far as
formerly administered by a large n u m b e r of
thefirsttwo stages are concerned, these two
bodies. This ministry is built on the premise
disciplines are benefiting, so to speak, from a
of the link between research and technology,
general trend towards mutual questioning in
expanded to include research and industry
748
after the restructuring that took place in
July 1982. T h e thinking underlying this re-
organization is that science and technology
have a special part to play in overcoming the
economic crisis. O f course, no such suggestion
could be put forward in scientific circles with-
out a preliminary discussion in depth to de-
termine h o w far science should incline towards
participation and h o w far towards a necessary
autonomy, involving researchers, w h o had
deplored tendencies under earlier governments
to reduce science to a tool in the hands of the
state, particularly in the case of the social
sciences. Mobilizing intellectual circles in this
w a y was not unprecedented: in the 1950s,
Mendès-France had had recourse to group
discussion in order to bring research and
planning into alignment. During the 1960s,
in the United States,firstKennedy and then
Johnson invited intellectuals of all inclinations
to describe h o w they might participate in xhe
attempt to build 'a great society' and to fight
poverty and its effects. T h e distinguishing
feature of Chevènement's initiative was per-
haps that it took as its starting-point pro-
fessional scientists' o w n observations on the
state of their disciplines, their research, and
their institutions and structures. Between
September 1981 and January 1982, as the net
result of preparations for regional conferences
and the organization of national ones, sessions
on specific topics2 and groups focusing on
individual disciplines, meetings that were part
of the symposium and encounters to which
it gave rise throughout the sector3 'several
tens of thousands of researchers, industrialists,
trade unionists, representatives and specialists
in the economic, social and cultural fields'1
were brought together, and expressed their
views in thousands of written contributions.
T h e secretariat of the symposium counted
almost 200 papers for the social sciences alone.
F r o m these communications and from spon-
taneous discussions there emerged a prelimi-
nary overall picture of the situations encoun-
tered by those working in this sphere. In the
social sciences, there had been a deterioration
compared with the preceding period. B e -
tween 1976 and 1982, the total funds allocated
Denis Duelos
for research in these disciplines were reduced
by 25.8 per cent in constant French francs.
Within the group, economists were allocated,
per researcher, almost twice as m u c h as
sociologists, and three times as m u c h as
anthropologists. Moreover, thesefigurestake
account of only some economists. In general,
researchers feel that the humanities and the
social sciences counted for little under the last
government. Reacting to the feeling that they
were being controlled by authoritarian de-
mands from outside, and by the overdeveloped
hierarchical structures of bureaucracy on the
inside, researchers ceased to advance, stopped
communicating with one another and turned
in on themselves to concentrate exclusively on
areas of study or topics in which they could
retain some degree of autonomy. T h e n e w
fields and n e w ideas did not win easy accept-
ance, or else they developed only peripherally,
since employment and status were so pre-
carious. There was a serious shortage of logis-
tic resources (libraries, data banks, etc.).
Mobility of researchers had sunk to a point
at which every individual was attached 'for
life' to one job and one organization: by 1980,
mobility at the C N R S had dropped to less
than 2 per cent. The break with the economic
and social sectors was obvious, and emphati-
cally demonstrated that there is a tendency
in French society towards impenetrability and
reluctance to allow scientific information to
circulate, and unwillingness in the scientific
community to acknowledge the importance
and the positive implications of its partici-
pation in solving society's major problems.
The first suggestions to emerge from the
debate m a y be divided into two groups: those
relating to the content of disciplines and re-
search, and those focusing on structures. It
would not be inapposite to point out that the
discipline in which each contributor was
trained had a part to play in the w a y he e m -
phasized certain points: for instance, special-
ists in economics, a discipline in which a
number of experts feel obliged to defend
themselves, tend to say more about the con-
tent that should be developed within the
established tradition. Interdisciplinary a p -
New directions for research in the social sciences and the humanities in France 749

proaches (involving health, education, etc.) adaptation along original and unfamiliar lines.
give rise to recommendations concerning con- The subject of structural change gave rise
tent, but they stress the need for institutional to three central ideas during the S y m p o s i u m :
recognition so that they can exist side by side (a) researchers should enjoy both mobility
with the disciplines sanctioned by the classical and job security as a result of standardization
compartmentalization of knowledge. Finally, and official status for research posts, whether
disciplines such as sociology seem to provoke in ministries, the C N R S and the organizations,
little discussion about content (highly diver- or universities; (b) research management a n d
sified, with m a n y branches andfields),but scientific assessment should be democratized
do raise problems affecting the career of by separating rank and duties, reducing hier-
the researcher, caught between his original archical gaps, diversifying the criteria used
research work and the need for official to assess group work and field work, ensuring
state recognition through his higher doctoral that administrative and technical staff par-
thesis. ticipate in the management of training
A s regards research content, a number courses, etc.; (c) management procedures,
of topics regularly crop u p in the proceedings hitherto very bureaucratic, should be m a d e
of the symposium (in papers, regional meet- moreflexible,and there should be a substantial
ings, discussions at national level and final increase in funds.
reports), topics that clearly reveal the main
areas of concern: French society should be-
c o m e less impenetrable; it should be possible
From the symposium
to study the police, the army, companies, to the study project
trade unions and political parties, with greater on the humanities
ease. T h e schools are undergoing a crisis: and the social sciences
they are producing more and more education-
ally substandard pupils, and an increasing The initial reactions showed agreement, b y
number of children d o not go to school at and large, with the criticism of the status
all. There is r o o m for m u c h interdisciplinary granted to the social sciences; the Minister of
work in this sphere. The connections between Research accordingly appointed Maurice G o -
endemic unemployment, on the one hand, and delier to carry out an investigative study a n d
the use of n e w technologies, on the other, suggest practical action. With the help of
should be investigated. The n e w social cur- several distinguished persons w h o were given
rents (women, consumerism, etc.) should be the task of drafting reports discipline by disci-
given renewed attention. T h e considerable pline, hefirstsought to supplement the avail-
increase in health-care expenditure poses a able data b y distributing several thousand
problem for the whole of society, as well as copies of a questionnaire to researchers. T h e y
for the social sciences. The child, the family were asked to describe their, working con-
and socialization are areas which would repay ditions, the difficulties they had encountered,
further study, particularly with a view to their prospects for the future, and any requests
long-term analyses. Research in basic areas for funds that they had submitted. T w o
(epistemology, logic, anthropology of kinship months later, several thousand completed
ties, the study of religions, etc.) should be questionnaires had been collected, together
given a new lease of life even if their social with reports o n detailed interviews conducted
relevance is not obvious atfirstglance. Lastly, not only in laboratories, but also with trade
research on the Third World and its relations unions and employers' associations, and in
with the developed countries is considered by branches of the civil service 'demanding' re-
m a n y researchers to deserve priority, and the search. The final report was completed at the
same is true of comparative analysis of so- end of June 1982, and constitutes an extensive
cieties which, like Japan, are examples of general survey.6 Both its conclusions and its
750
proposals for reform raise a n u m b e r of issues
that were thoroughly discussed beforehand in
the research community, though unanimity
was not reached o n all points. It opens with
an account of legal measures and regulations,
s o m e of which are n o w coming into effect. A s
regards assessment of the situation, the most
significant analyses m a y be summarized as
follows: after considerable expansion during
the 1960s, the social sciences marked time
during the 1970s and even started to decline
at the beginning of the 1980s. However, the
pattern of their growth already contained the
seeds of the coming crisis: their expansion did
not take the form of developing university
w o r k in thesefields,but of increasing public
spending on short-term contracts. Because the
traditional research establishments were still
not taking o n any more staff, the increase in
spending resulted mainly in the establishment
of a large n u m b e r of independent associations
that provided employment for staff whose
status was uncertain and was not governed by
regulations. A s they were not recognized in
official scientific circles, these employees came
either to ignore university standards of assess-
ment, or to remain dependent on the 'bureau-
crats' w h o controlled their research work
from inside the institutions. This new factor
was thus unable to modify the scientific
status quo, created years ago at the C N R S
and in universities and showing a tendency to
become ossified and inward-looking. C o n -
versely, the inclination of this tendency
towards complying with state d e m a n d placed
restrictions o n quality, and led to the loss (in
a mass of bureaucratic reports) of a whole
range of ideas and data. In the mid-1970s,
w h e n it became impossible to defer the inte-
gration into the public sector of the host of
'unofficial' researchers working on the fringes
of the social sciences, the institution that
offered the least resistance w a s the C N R S ,
since universities were incapable of assimi-
lating them and the other research bodies
avoided facing up to the problem. Introducing
several hundred people into a few sectors
(particularly sociology) helped to bring to
light problems that had remained latent: by
Denis Duelos
their habitual use of interdisciplinary or
multidisciplinary research techniques, and by
their specialization in new fields, the recently
integrated unofficial researchers came to re-
inforce all those within the institution w h o
had been feeling for years that they were
confined in outmoded academic compart-
ments. A t the same time, they came into
direct conflict with the 'bureaucrats' over the
crucial issue of scientific criteria for the assess-
ment of research work, as their professional
working methods were often incompatible
with, for instance, the view of the researcher
as a 'lone pioneer' that is encouraged by the
system of the higher doctoral thesis in France.
This state of tension has been further aggra-
vated since 1976 by cut-backs in funds, which
have intensified competition a m o n g re-
searchers. The upshot has been a more ruth-
less 'race for contracts', which has produced
increasingly unreliable results, even though,
at the same time, a few embattled 'centres of
excellence', represented by well-known figures
in the field, have succeeded in producing
major syntheses in keeping with a certain
French intellectual tradition of experiment.
This imbalance between the relatively small
amount of empirical work carried out c o m -
pared with the number of researchers e m -
ployed, and the ostentatious publications (in
'new history', 'new philosophy', etc.) that
have tended to follow the dictates of fashion,
perfectly illustrated the dichotomy between
the two linchpins in the set-up: the 'bureau-
crats', and the state as provider of funds. In
order to overcome the situation, the pro-
fessional research community, in all its diver-
sity, had to be released from its dual al-
legiance: it became necessary to acknowledge
the unique character of research posts in the
public sector, and to allow them to function
with relative autonomy, while still remaining
receptive to what was happening in society.
First of all, research personnel should be
given the opportunity to become aware of
their o w n unity: this would involve granting
them all the same status, which would be a
special variant of the status of government
employees; it would enable them to control
New directions for research in the social sciences and the humanities in France
the practical aspects of management and
would provide for the movement of individ-
uals from one structure to another (university,
the C N R S and the civil service), and even
secondment to companies, without jeopard-
izing security of tenure or career prospects.
Standardization of entrance requirements for
the profession would be effected by a 'tough'
D E A 6 and a thesis to be written over three or
four years, in line with international stan-
dards, and for which a scholarship would be
granted. Standardization of the conditions
for upward mobijity would be attained by
standardizing the academic qualifications con-
ferred by universities and by other establish-
ments, reducing hierarchies (gradual amal-
gamation of Grade A (professors, lecturers
and directors of -research) with Grade B
(assistant lecturers and research assistants).
Various attempts are being m a d e to stan-
dardize procedures for scientific assessment
and to counteract the tendency to use two sets
of criteria, the 'academic' and the 'practical':
separation of academic qualifications and
professional duties, so that a young researcher
recognized as competent by his peers m a y be
eligible for a management post; election of
members of scientific committees from a
single A + B body of electors, an increase in
the number of researchers on these c o m -
mittees, as compared with the number of
teachers; establishment of interdisciplinary
committees to discuss various issues (edu-
cation, the environment, the mass media,
health, etc.) and hence to examine social
problems, empowered to recruit researchers
and express scientific opinions, after the
fashion of the traditional scientific c o m -
mittees focusing o n only one discipline (so-
ciology, economics, etc.); steps to provide
for the accessibility and circulation of scien-
tific information, regarding both tenders for
research and projects, and, ultimately, re-
searchfindings:launching of a national news-
letter on the social sciences and the humanities
was suggested, specializing in this kind of
information, which could furthermore be used
to advertise situations wanted and vacant in
the sciences; regrouping of isolated teams by
751
offering them grants for becoming affiliated
to laboratory networks, where possible on an
interregional basis, so as to provide the best
facilities for teams working autonomously
within them: libraries, data banks, etc.; greater
emphasis o n versatility in teams: pure and
applied research, teaching and training in re-
search, particularly at thesis level, advising
active members of society, etc.
This set of suggestions regarding struc-
tures is not separate from a n analysis and
guidelines focusing on disciplines and their
content. Once again, it is difficult to establish
a clear dividing-line between the diagnosis of
problems and their treatment. W e shall confine
ourselves to s o m e observations o n the pressing
issues raised o n several occasions by the
rapporteurs of the Symposium and by the
Godelier Project: for example, that m u c h work
ought to be undertaken in philosophy, since
it is a discipline involving research: it w a s
eliminatedfirstfrom secondary and then from
higher education; it was then defined as sep-
arate from specialized disciplines such as so-
ciology, a development which was not in itself
a bad thing, but which aggravated its isolation.
Whereas infieldssuch as logic or epistemology
the international situation has evolved con-
siderably, France, on the contrary, has
adopted a somewhat inward-looking attitude.
Sociology m a y be regarded as a discipline
that has turned in o n itself, after a marked
expansion in the post-war period, with a few
exceptions such as the sociology of w o r k and
urban sociology. The sociology of law, which
in Durkheim's time was the parent discipline,
is nowadays very limited. T h e branch of so-
ciology dealing with the state and political
parties n o w takes second place to political
science, to which it has relinquished areas
where it had a specific contribution to m a k e .
The sociology- of 'culture' has been the most
severely affected by the retreat to a narrowly
French position.
E c o n o m y and management have to a
considerable extent tagged along behind 'lib-
eral' policies. Econometric models of growth
have not given due consideration to outward
symptoms of social conditions, such as u n -
 752 Denis Duelos

employment and patterns of popular con- decrease in public spending on health care);
sumption. Private rather than public m a n - 'Employment and Working Conditions';
agement has been favoured. At the inter- ' T o w n Planning, Habitat and the Environ-
national level, study of inequitable trade, ment'; 'Audio-visual Media'; ' C o m m u n i -
with the Third World, for instance, has fallen cation, Expression and Technology'; 'The
into neglect at the theoretical as well as the Arts and Artistic Skills'; 'The Third World:
practical level. Critical study based on Marxist Inequality in Trade and Development'. N e w
models has failed to produce a sound argu- commissions, this time based on disciplines,
ment to set against the 'new economics' and the are about to be set up, thereby formally
'new conservatism'. acknowledging practices that the institution
At a time when religion is playing an seemed reluctant to recognize: appropriate
important part in political events (Poland, structures for the study of linguistics, law
Iran, etc.) the sociology and anthropology of and politics are thus taking shape at the
religion have faded into the background. C N R S . The rapporteurs state that these struc-
Similarly, all phenomena of consent to a social tures are expected 'to take some of the load
system have received less attention from the off' the sociology section, in which a large
institutions than have the structures of that number of specialists in these various subjects
system. For instance, sex roles, and the kinship were obliged to remain, since the latter were
system generally appear to attract less interest not officially recognized.
in recent sociology, although major changes Finally, there are plans to set u p ad hoc
in these areas are deeply affecting French committees, without powers of recruitment,
society. History, although it has had consider- which will provide a context for interested
able success with regard to certain comprehen- researchers to work on urgent multidisci-
sive theories, is hangingfirein some specific plinary issues, such as .kinship, the stages of
spheres: less work is being done on modern life and relations between the sexes'. T h e
history than on ancient history. Backwardness consensus is that these new divisions will have
in this discipline can cause obstacles of a more a positive effect on the 'revival of research'
general kind: for instance, research on the only if they are allocated funds c o m m e n -
Third World is marking time because of the surate with their needs: for instance, the
obstructions affecting the study of the history Godelier Project shows that in terms of cost,
of colonial activities, particularly in Africa. filed travel is the equivalent, in the social
The history of science and technology is often sciences, of the large-scale experimental ap-
confined to the study of traditional techniques paratus used in the natural sciences: both
and craft, and excludes modern industry from serve to increase the amount of basic data
consideration as a basic cultural phenomenon. available. Therefore, viewingfieldtrips as an
The increasing numbers of school drop-outs, extravagance and financing them as if they
according to the initial statements b y the were a luxury is an error that should be
participants in the symposium, would justify eliminated if social science disciplines are not
holding a strictly relevant debate on science to become sterile.
and its social implications: on this issue, the
proposal to establish stable interdisciplinary
commissions gave rise to official institutional From recommendations to
recommendations that are n o w being im- legal and statutory measures
plemented at the C N R S . 'Socialization, E d u -
cation and Training' is the title of thefirstof It will be seen that a number of the rec-
these proposed commissions. The others are: ommendations regarding the social sciences
'Social History of Science and Technology'; and the humanities correspond to those for
'Health, Illness and Society' (here again, the which provision is already m a d e by the law
problem has been m a d e more pressing by the on programming enacted in June 1982. For
instance, the scope of the various ad hoc or
New directions for research in the social sciences and the humanities in France 753

interdisciplinary scientific committees co- during the debate b y the researchers a n d the
incides broadly or partially with the 'acti- m e m b e r s of the scientific c o m m u n i t y ap-
vating plans' to which the Minister of R e - pointed by the Minister of Research to assist
search allocates funds as a matter of priority: in planning reforms in this sector. Conversely,
these include: employment a n d working con- the researchers' strong feeling that there is a
ditions; workers' rights; n e w technologies, need to break d o w n the wall of impenetrability
workers' health and ageing; promotion of the surrounding French society as soon as there
French language; energy; biotechnology; elec- is any question of investigation into the bodies
tronics; technologies and the Third World; etc. that constitute it, seems to have received at-
Other examples are the target-oriented proj- tention, as the minister is in favour of a n
ects (i.e. with direct incentives for the re- official procedure for 'knowledge contracts'
searchers) o n themes such as inequalities a n d between researchers a n d organizations that
social mobility, decentralization, living con- m a y recruit t h e m to carry out a study. This
ditions, education, etc. These similarities were procedure lays d o w n the methods of investi-
a source of concern for researchers w h o were gation to be used, specifies the m a n n e r in
worried about their independence with regard which the results will be published a n d used,
to politics, since the internal divisions at the and takes into account the differences between
research establishment ( C N R S ) were aligning the points of view of the partners as the
themselves with the d e m a n d s m a d e b y the 'agents' a n d as the collective 'objects' of the
Ministry of Research, a n d also with those of study. In a wider context, the initial definitions
specialized ministries, such as education a n d laid d o w n in the law o n p r o g r a m m i n g regard-
health. Since most m e m b e r s of the scientific ing the status of the researcher as a govern-
commissions are researchers, these fears m e n t employee (hitherto non-established), the
should be allayed, in the view of the unique character of the m a n a g e m e n t regu-
rapporteurs. There is widespread reaffirm- lations governing bodies 'of a scientific and
ation of the technical nature', the establishment of regional
research commissions, etc., have h a d a positive
right (that is the mainspring of all history of effect o n relations between the scientific c o m -
science) of the scientific community to determine munity a n d the government. T h e feeling of
which areas of research seem likely, at any given
anxiety about the future that prevailed under
time and irrespective of the demands of society,
the former government has given w a y to a
to open up possibilities for the future. The state
has a duty (this being the key to the long-term m o r e positive atmosphere of expectancy,
success of its policies) to provide the scientific which has, however, been tempered b y the
community with the m i n i m u m resources needed announcement of budgetary cut-backs in
for this nucleus of autonomous research. It is not public expenditure as a whole. T h e target
for society (whether in the n a m e of the state or figure of 2.5 per cent of the G N P to be
not) to tell the scientific community which hy- earmarked for research b y 1985 has not been
potheses or theories are to be used. However, the affected, nor has that of a 4.5 per cent in-
state is fully entitled to indicate, by offering incen- crease in e m p l o y m e n t in the sciences. In the
tives, the areas or the phenomena regarding which social sciences this should m e a n the creation
it awaits constructive information. It remains for
of several dozen n e w posts a year, not
the scientific community, with the knowledge at
counting the introduction of visiting posts
its disposal, to turn the directives of the incentive
policy into scientific objectives.' for teachers a n d foreign researchers at the
CNRS.
These few lines seem to us to be wholly in
keeping with the attitude that w a s agreed u p o n [Translated from French]
754
Notes
1. See the interview with
Jean-Pierre Chevènement in
Le Monde, 11 October 1981.
2. T h e symposium was
organized around eleven
interdisciplinary topics: the
cultural role of research;
the scientist's responsibility
to society; key areas and
priorities in research;
new forms of development;
industry; international
interests and research
for Third World
development; manpower
training and employment;
institutions; the decision-makers;
resources; communication.
3. Debate on research in
education, symposium on
medical research,
teach-in on technological
innovation, etc.
4. Files of the Information
Commission to the Prime
Minister, March 1982.
Denis Duelos
5. T o be published by L a
Documentation française in the
last quarter of 1982.
6. D E A : Certificate of
Advanced Studies: Baccalauréat
plus six years.
7. Extract from the report
on sociology by Jean-Claude
Passeron, contained in the
Report on the Project
on the Humanities and the
Social Sciences (to be
published by L a Documentation
Française).
Professional
and documentary
services

Approaching international conferences

N o further details concerning these meetings can be obtained through this Journal.

1983

Ottawa International Social Security Association: International

Labour Organisation: Tenth World Congress on the Pre-
vention of Occupational Accidents and Diseases
Vlad. Rys, CP 1, Route des Morillons, CH-1211 Geneva 22
(Switzerland)

1-11 February Dunedin, Pacific Science Association; Royal Society for N e w Zealand:
New Zealand Fifteenth Pacific Science Congress
Seer.-Gen., 15th Pacific Science Congress, P.O. Box 6063,
Dunedin (New Zealand)
20-25 February Haifa International Congress on Psychiatry, L a w and Ethics
Amnon Carmi, International Congress on Psychiatry, Law and
Ethics, P.O. Box 394, Tel Aviv 6100 (Israel)

28-31 March Tokyo International Industrial Relations Association: Sixth World

Congress
IIRA, C. Poncini, ILO, CH-1211 Geneva 22 (Switzerland)

9-10 April VArbesle, Centre Thomas More: Health and Socio-Economic Develop-
France ment in Black Rural Africa
Centre Thomas More, B.P. 105, 69210 VArbesle (France)

14-16 April Pittsburgh Population Association of America: Meeting

PAA, P.O. Box 14182, Benjamin Franklin Station, Was-
hington, DC 20044 (United States)

6-8 M a y VArbesle, Centre Thomas More: The Catholic Church and the H u m a n
France Rights
Centre Thomas More, B.P. 105,69210 VArbesle (France)
756

7-8 M a y L'Arbesle, Centre Thomas More: Youth 1983—Social Subject—Political

France Object
Centre Thomas More, B.P. 105, 69210 L'Arbesle (France)
23-27 M a y Lisbon International Federation for Housing and Planning: Inter-
national Congress
IFHP, 43 Wassenaarseweg, 2596 CG The Hague (Netherlands)

4 - 8 July Lausanne Société Européenne de Psychiatrie d'Enfants et d'Adoles-

cents: Congress (Theme: Aggression, Aggressivity and
Family)
W. Bettschartm Service Médico-Pédagogique Vaudois,
5 avenue de la Chablière, CH-1004 Lausanne (Switzerland)
11-16 July Salzburg International Union of History and Philosophy of Science:
Seventh International Congress of Logic, Methodology and
Philosophy of Science
Mr P. Weingartner, Institut für Philosophie, Franziskaner-
gasse 1, A 5020 Salzburg (Austria)

24-29 July Budapest European Society for Rural Sociology: Twelfth Congress
(Theme: Rural Development)
Hungarian Organizing Committee, 12th European Congress
for Rural Sociology, P.O. Box 20, 1250 Budapest (Hungary)
24-29 July Quito Interamerican Society of Psychology: Nineteenth Inter-
American Congress of Psychology
Gerardo O'Brien SIP, Spanish Speaking Mental Health
Research Center, University of California, Los Angeles,
CA 90024 (United States)

August Western Europe International Economic Association: Seventh World Congress

(Theme: Structural Change, Economic Interdependence and
World Development)
IEA, 4 Rue de Chevreuse, 75006 Paris (France)
14-25 August Laval and International Union of Anthropological and Ethnological
Vancouver Sciences: Eleventh International Congress
IUAES, A. Braxton, Department of Anthropology and Socio-
ology, 6303 N . W . Marine Drive, University of British
Columbia Campus, Vancouver, B.C. (Canada)
17-19 August Fresno, International Institute of Social Economics; School of Social
California Science, California State University-Fresno: Third World
Congress of Social Economics
Professor J. C. O'Brien, Department of Finance and Industry,
California State University-Fresno, Fresno, CA 93740 (United
States)
28 August- San Diego, Third International Congress on Toxicology
3 September California / . Wesley Clayton, Chemistry Building 320, University of
Arizona, Tucson, Arizona 85721 (United States)

31 August- Tokyo and Thirty-first International Congress of H u m a n Sciences in

3 September Kyoto Asia and North Africa
31st ICHSANA Office, Toho Gakkai, 4-1 Nishi Kanda 2
chôme, Chiyoda-ky, Tokyo 101 (Japan)
Approaching international conferences 757

September Paris Information Processing Congress

M . Hermien, 6 Place de Valois, 75001 Paris (France)

5-10 September Warsaw International Society of Criminology: Eleventh International

Congress
Société internationale de Criminologie, 4 Rue de Mondovi,
75001 Paris (France)

19-23 September Berlin International Institute of Administrative Sciences: Nineteenth

International Congress
HAS, GuyBraibant, Ruédela Charité, 1040 Brussels (Belgium)

Autumn United Social Science and Medicine Conference: Eighth Inter-

Kingdom national Conference on Social Science ans Medicine
P. J. M . McEwan, Glengarden, Bridge of Gairn Ballater,
Aberdeenshire, Scotland AB3 5UB ( United Kingdom)

28-30 December San Francisco Industrial Relations Association: Annual Meeting

IRRA, 7226 Social Science Building, University of Wisconsin,
Madison, Wisconsin 53706 (United States)

1984

9-15 September West Berlin International Federation for Housing and Planning: Congress
(Theme: Possibilities and Economic and Technical Problems
of Urban Rehabilitation)
IFHP, 43 Wassenaarseweg, 2596 CG The Hague (Netherlands)
Books received
Generalities, documentation
Association Internationale de la
Sécurité Sociale. Bibliographie uni- logical and Socio-Economic Analy-
verselle de sécurité sociale / World ses. Berlin/New York, Walter de
Bibliography of Social Security ¡ Gruyter, 1982. 917 pp., figs.,
Bibliografía Mundial de Seguridad tables, bibliog., index. 176 D M .
Social I Weltbibliographie der sozia-
len Sicherheit. Geneva, Associa-
tion Internationale de Sécurité
Sociale, 1982. 53 p p . , 25 Swiss
francs.
France. Institut Français d'Histoire
Sociale. L'Anarchisme: catalogue
de livres et brochures des XIXe lino, 1981.295 pp.
et XXe siècles, edited under the
direction of D . Fauvel-Rouif, by
J. Gaillemin, M . - A . Sowerwine-
Mareschal and D . Richet. Paris/
M u n i c h / N e w York/London, 1982. intificä si Enciclopédica, 1981.
170 pp. 48 D M .
International Development R e -
search Centre. Devindex 1980:
Index to 1980 Literature on Econ-
omic and Social Development. Ot-
tawa, I D R C , 1982. 174 pp.
Philosophy
Chili, Andrew. Chinese Humanism:
A Religion Beyond Religion. Tai-
pei, F u Jen Catholic University
Press, 1981. 548 p p . , bibliog.,
index. $12.50.
Social sciences
Cavallo, Roger (ed.). Systems
Methodology in Social Science Re-
search: Recent Developments. Bos-
ton/The Hague/London, Kluwer;
Nijhoff Publishing, 1982. 194 pp.,
figs., tables, index.
Hakim, Catherine. Secondary
Analysis in Social Research:
A Guide to Data Sources and
Methods with Examples. Lon-
don, George Allen & Unwin, 1982.
202 p p . , tables, bibliog., index.
(Contemporary Social Research,
5.)
Irle, Martin (ed.) in collaboration
with Katz, Lawrence B . Studies
in Decision Making: Social Psycho-
Sociology
Cavalli, Luciano. / / capo carismá-
tico: per una sociologia weberiana
delta leadership. Bologna, II M u -
Costea, Stefan; Ungureanu, Ion.
A Concise History of Romanian
Sociology. Bucharest, Editura Sti-
77 p p . , bibliog.
Gulati, Leela. Profiles in Female
Poverty: A Study of Five Poor
Working Women in Kerala.
Oxford, Pergamon Press, 1982.
179 p p . , gloss., bibliog., index.
( W o m e n in Development, 5.) £10.
Krüger, Mariis. Wissenssoziologie.
Stuttgart / Berlin / Cologne / M a i n z , Sweden. National Central Bureau
Verlag W . Kohlhammer, 1981.
150 p p . , index.
D e March i, Bruna; Boileau, Anna
Maria (eds.). Boundaries and Min-
orities in Western Europe. Milan, istics, 1981. 156 pp., diag., tables.
Franco Angeli Editore, 1982.
286 p p . , m a p s . 15,000 lire.
Shaffer, John W . Family and Farm:
Agrarian Change and Household
Organization in the Loire Val-
ley 1500-1900. Albany, State Uni-
versity of N e w York Press, 1982.
258 p p . , maps. (Suny Series on
European Social History.) Paper-
back $12.95; hardback $39.
Strassoldo, E . ; Delli Zotti, G .
(eds.). Cooperation and Conflict
in Border Areas. Milan, Franco
Angeli Editore, 1982. 315 p p . ,
tables. 18,000 lire.
Veil, Claude (director). Vivre dans
la différence: handicap et réadap-
tation dans la société d'aujour-
d'hui. Toulouse, Editions Privat,
1982. 315 pp., tables, illus., bib-
liog. (Sciences de l'homme.)
97.70 francs.
Statistics, demography
Orubuloye, I. O . Abstinence as a
Method of Birth Control. Canberra,
Department of Demography, T h e
Australian National University
Press, 1981. 115 pp.,figs.,tables,
bibliog. (Changing African F a m -
ily Project Series, Monograph,
8.) A$5.95.
W a r e , Helen (ed.). Women, Edu-
cation and Modernization of the
Family in West Africa. Canberra,
Department of Demography, The
Australian National University
Press, 1981. 178 p p . , tables, bib-
liog. (Changing African Family
Project Series, Monograph, 7.)
AS6.75.
of Statistics. Living Conditions:
Social Report on Inequality in
Sweden—Distribution of Welfare
at the end of the 1970s. Stockholm,
National Central Bureau of Stat-
(Report, 27.)
Political science
Baeyer-Kattc, W a n d a von; Claes-
sens, D . ; Feger, H . ; Neidhardt, F .
Gruppenprozesse. Opladen, West-
deutscher Verlag G m b H , 1982.
525 p p . , tables, figs. (Analysen
z u m Terrorismus, 3.) 62 D M .
Furtado, Celso; Rojo, Luis Angel.
'El Retorno de la Ortodoxia',
Pensamiento Iberoamericano: Re-
vista de Economía Política, N o . 1,
January-June 1982. Santiago de
Books received
Chile/Madrid, Comisión Econó-
mica para América Latina ( C E -
P A L ) de las Naciones Unidas/
Instituto de Cooperación Ibero-
americana (ICI) España, 1982.
349 p p .
Gheorghiu, Mihnea. Social and
Political Sciences in Romania: An
Outline History. Bucharest, T h e
A c a d e m y of Social and Political
Sciences. 76 p p . 4 Lei.
Kindermann, Gottfried-Karl (ed.).
Sun Yat-sen: Founder and Symbol
of China's Revolutionary Nation-
Building. Munich/Vienna, Günter
Olzog Verlag, 1982. 332 p p . , bib-
liog. (East-West Syntheses, 1.)
Stedeman, Murray S . , Jr. State and
Local Governments, 3rd ed. B o s -
ton/Toronto, Little, B r o w n &
C o m p a n y , 1982. 463 p p . , m a p s ,
illus.
Economics
Choe, Y a n B o o ; K i m , Tae M y u n g .
Rural Industrialization in Korea:
A Critical Assessment. Seoul, K o -
rean Rural Economics Institute,
1981. 243 p p . ,figs,tables.
France. Centre National de la R e -
cherche Scientifique; Laboratoire
d'Économie et de Sociologie du
Travail. Séminaire d'économie et
de sociologie du travail et de la lógicas: Serie Antropológica, 39.)
santé, 1980-1981. Paris, C N R S /
LEST, 1982. 330 pp.
Hettne, Björn. Development The-
ory and the Third World. Stock-
holm, Swedish Agency for R e -
search Cooperation with Devel-
oping Countries, 1982. 168 p p . ,
figs, bibliog. ( S A R E C Report,
R 2 : 1982.)
Jardillier, Pierre. La maîtrise de el País Vasco y en sus Relaciones
l'emploi. Paris, Presses Universi-
taires de France, 1982. 224 p p . ,
tables, bibliog.
Jennings, Anthony; Weiss, T h o -
mas G . (eds.). The Challenge of
Development in the Eighties: Our Olivera, Mercedes et al. El Sur de
Response. Oxford/New York, Per-
g a m o n Press, 1982. 125 p p . , il-
lus., index. $15.95; £7.95.
759
Marshall, Wolfe. Elusive Develop- de México, 1980. 128 p p . , illus.,
ment. Geneva, United Nations tables, bibliog. (Instituto de Inves-
Research Institute for Social D e - tigaciones Antropológicas: Serie
velopment, 1981. 265 p p . Antropológica, 29.)
Navarrete, Carlos. Las Esculturas
de Chaculá. Mexico City, Univer-
L a w , criminology sidad Nacional A u t ó n o m a de
México, 1979. 62 pp., illus., maps,
Chazaud, Pierre. Droit et régle- tables. (Instituto de Investiga-
mentation des sports nautiques. ciones Antropológicas: Serie A n -
Paris, Éditions Maritimes et d ' O u - tropológica, 31.)
tre-mer, 1982. 546 p p . , tables,
index, bibliog. Instituto de Investigaciones Antro-
pológicas. Anales de Antropologia.
. 'L'Expertise criminolo- Vol. 1: Arqueologia y Antropología
gique', Annales internationales de física. Mexico City, Universidad
criminologie, Vol. 19, N o . 1/2, Nacional A u t ó n o m a de México,
1981.207 p p . 1980. 358 pp., graphs, illus., maps,
tables.
. Anales de Antropología.
Social a n d cultural Vol. 2 : Etnología y Lingüistica.
anthropology Mexico City, Universidad Nacio-
nal A u t ó n o m a de México, 1980.
Argueta, Jaime Garduño. Intro- 399 p p . , m a p s , illus., bibliog.
ducción al Patrón de Asentamiento Sagrado, María Villanueva. M a -
del Sitio de Coba, Quintana Roo. nual de Técnicas somatotipológicas.
Mexico City, Escuela Nacional de Mexido City, Universidad N a -
Antropología e Historia, 1979. cional A u t ó n o m a de México,
127 p p . , m a p s . 1979. 63 p p . , illus., tables, bib-
liog. (Instituto de Investigaciones
Austin, Alfredo Lopez. Cuerpo Hu-
Antropológicas: Serie Antropo-
mano e Ideologia. Vol. 1: Las
lógica, 31.)
Concepciones de los antiguos Na-
huas (2 vols.). Mexico City, Uni-
versidad Nacional A u t ó n o m a de
México, 1980. 490 pp./334 p p . , Mathematics
illus., tables, gloss., index. (Insti-
tuto de Investigaciones Antropo- Knight, Thomas J. Technology's
Future. Malabar, Florida, Robert
E . Krieger Publishing C o . , 1982.
Cabrero G . , María Teresa. Entre 249 pp., figs. $11.50.
Chinampas y Bosques. Mexico
City, Universidad Nacional Autó-
n o m a de México, 1980. 96 p p . , Applied sciences
graphs, illus., m a p s , tables, bib-
liog. (Instituto de Investigaciones Dupont, Christophe. La négocia-
Antropológicas: Serie Antropo- tion: conduite, théorie, applica-
lógica, 33.) tions. Paris, Dalloz, 1982. 276 pp.,
figs., tables, bibliog. (Dalloz Ges-
Genovês, Santiago. La violencia en t i o n — H o m m e s et entreprises.)
96 francs.
con España. Mexico City, Univer-
sidad Nacional A u t ó n o m a de M c B a i n , N . S . ; Uhlig, S . J. Choice
Mexico, 1980. 172 p p . , bibliog., of Technique in Bolt and Nut
index. Manufacture. Edinburgh, Scottish
Academic Press, 1982. 154 p p . ,
Miinch, Guido; Ryesky, Diana; figs., gloss., tables, bibliog., index.
(David Livingstone InstituteSeries
México: Datos sobre la Proble- on Choice of Technique in D e -
mática indígena. Mexico City, veloping Countries, 5.) Paperback
Universidad Nacional A u t ó n o m a £12.50; hardback £14.50.
760

Physical planning Music Biography

Laboratoire de Recherches Écono- Blaukopf, Kurt. Musik im Wander Juan Comas Camps, 1900-1979:
miques et Sociales. 'Planification der Gesellschaft. Munich/Zurich, In Memoriam. Mexico City, Uni-
urbaine et vie sociale, Rennes, R . Piper & C o . Verlag, 1982. versidad Nacional Autónoma de
18-19 juin 1981', Actes du colloque. 383 pp., illus., bibliog., index. México, 1980. 106 pp.
Rennes, L A R E S , Équipe socio-
logie urbaine et changement so-
cial, 1982. 132 pp. 32 francs.
Recent Unesco publications
(including publications assisted by Unesco)

Apartheid: A Teacher's Guide, by InternationalBlbliography of Social 1982. 55 pp. (Reports and Papers
Godfrey N . B r o w n . Paris, T h e Sciences: Political Sciences I Biblio- on Mass Communication, 94.)
Unesco Press, 1981. 104 pp., figs, graphie internationale des sciences 12 francs.
illus., m a p s , tables. 52 francs. sociales: Science politique, Vol. 29,
1980. L o n d o n / N e w York, Tavis- Selective Inventory of Information
Armaments, Arms Control and
tock Publications, 1982. 400 p p . Services / Inventaire sélectif des
Disarmament: A Unesco Reader
£32; 290 francs. services d'information / Inventoria
for Disarmament Education, ed. by
selectivo de servicios de informa-
Marek Thee. Paris, T h e Unesco International Bibliography of the ción, 1981. Paris, Unesco, 1981.
Press, 1981. 445 p p . , tables, bib- Social Sciences: Social and Cul- 140 pp. (World Social Science
liog., index. 100 francs. tural Anthropology / Bibliographie Information Services / Services
The Decolonization of Africa: internationale des sciences sociales:mondiaux d'information en scien-
Southern Africa and the Horn of Anthropologie sociale et cultu- ces sociales / Servicios mundiales
Africa. Paris, T h e Unesco Press, relle, Vol. 24, 1978. L o n d o n / N e w de información sobre ciencias so-
1981. 163 p p . (The General His- York, Tavistock Publications, ciales, III.) 30 francs.
tory of Africa: Studies and D o c u - 1981. 393 pp. £30; 270 francs.
ments, 5.) 35 francs. Social Sciences in Latin America
International Bibliography of the
and the Caribbean. Vol. 1: The
Different Theories and Practices of Social Sciences: Sociology / Biblio-
graphie internationale des sciences English-speaking Caribbean and
Development. Paris, Unesco, 1982.
sociales: Sociologie, Vol. 29, 1979. Suriname—Social Science Needs
258 pp., tables. 80 francs.
L o n d o n / N e w York, Tavistock and Priorities. Paris, Unesco, 1982.
The Economics of New Educational Publications, 1981. 451 p p . £32; 54 pp. (Reports and Papers in the
Media. Vol. 3: Cost and Effec- 290 francs. Social Sciences, 48.) 12 francs.
tiveness Overview and Synthesis.
Paris, Unesco, 1982. 150 p p . , Islam, Philosophy and Science. Unequal Opportunities: The Case
tables. (Educational Methods and Paris, T h e Unesco Press, 1981. of Women and the Media, by
Techniques, 1.) 35 francs. 167 pp. 50 francs. Margaret Gallagher. Paris, T h e
Unesco Press, 1981. 221 p p .
Education of Women in Developing
New Horizons of Human Know- 55 francs.
Countries. Paris Geneva, Unesco,
ledge: A Series of Public Talks
International Bureau of Educa-
given at Unesco (with an in- World Conference on Cultural Poli-
tion, 1982. 113 pp. (Educational troduction by A m a d o u - M a h t a r
Documentation and Information, cies, Mexico City, 22 July-6 Au-
M ' B o w ) by Subrahmanyan C h a n - gust 1982: Situation and Trends in
222.) 14 francs. drasekhar, H a n s Krebs, Charles Cultural Policy in Member States
Employment-Oriented National Morazé (and others). Paris, T h e of Europe. Paris, Unesco, 1982.
Youth Programmes in Africa: Situ- Unesco Press, 1981. 98 p p . , figs. 145 p p .
ations, Problems and Prospects. 40 francs.
Paris,Unesco, 1982. 61 pp., tables, World Directory of Peace Research
bibliog. (Reports and Papers in Planning Education for Reducing
Institutions, 4th rev. ed. Paris,
the Social Sciences, 44.) 12 francs. Inequalities: An HEP Seminar.
Unesco, 1981. 213 p p . (Reports
Paris, T h e Unesco Press, Inter-
and Papers in the Social Sciences,
Immigrant Workers in Europe: national Institute for Educational
Their Legal Status—A Compara- 49.) 26 francs.
Planning, 1981. 142 p p . , tables.
tive Study, by Éric-Jean T h o m a s . 50 francs.
Paris, T h e Unesco Press, 1982. Youth, Tradition and Development
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Kind of Management? by Daniel Youth in Africa, Nairobi, Kenya,
International Bibliography of the Haag. Paris, Unesco; Inter- 17-22 December 1979. Paris, T h e
Social Sciences: Economics ¡Biblio- national Bureau of Education, Unesco Press, 1981. 146 p p . (Re-
graphie internationale des sciences 1982. 175 p p . , figs., tables. gional Youth Meeting, 3.)
sociales: Sciences économiques, 30 francs. 28 francs.
Vol. 28,1979. L o n d o n / N e w York,
Tavistock Publications, 1981. The Right to Communicate: A Youth in the 1980s. Paris, Unesco,
502 pp. £33; 300 francs. Status Report. Paris, Unesco, 1981.320 pp. 60 francs.
762

How to obtain these publications: (a) Priced Unesco publications can be obtained from the Office of the Unesco
Press, Commercial Services ( P U B / Q , 7, place de Fontenoy, 75700 Paris, or from national booksellers (see list at the
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 765

Madagascar: Commission nationale de la République Niger: Librairie Mauclert, B.P. 868, N I A M E Y .

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de García Astillero, Pte. Franco no. 580, A S U N C I Ó N .

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766

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P . O . Box 2943, P A R A M A R I B O . aux Messageries, Avenue de la Liberté, B . P . 5921,
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N È V E 11. DOUGOU.

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Thailand: Nibondh and C o . Ltd., 40-42 Charoen
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du Bon Pasteur, B.P. 1164, L O M É ; Librairie univer-
sitaire, B . P . 3481, LOMÉ.
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Tunisia: Société tunisienne de diffusion, 5, avenue de
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USSR: Mezhdunarodnaja Kniga, M O S K V A G-200.
Venezuela: Librería del Este, A v . Francisco de M i -
randa, 52-Ediflcio Galipán, apartado 60337, C A R A -
CAS; La Muralla Distribuciones S . A . , 4. a Avenida de
los Palos Grandes, entre 3. a y 4 . a transversal, Quinta
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Yugoslavia: Jugoslovenska Knjiga, Trg Republike 5/8,
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Zaire: Librairie du C I D E P , B . P . 2307, KINSHASA;
Commission nationale zaïroise pour l'Unesco, C o m -
missariat d'État chargé de l'Éducation nationale,
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Turkey: Haset Kitapevi A . S . Istiklâl Caddesi, Zimbabwe: Textbook Sales (PTV) Ltd., 67 Union
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Past topics1

From 1949 to the end of 1958, this Journal appeared under the name of International Social Science Bulletin,
not all issues of which were devoted to a main topic.
Microfilms and microcards are available from University Microfilms Inc., 300 N . Zeeb Road, A n n Arbor,
M I 48106 (United States of America). Reprint series are available from Kraus Reprint Corporation, 16 East
46th Street, N e w York, N Y 10017 (United States of America).

Vol. XI, 1959 Vol. XVII, 1965

No. 1. Social aspects of mental health* N o . 1. M a x Weber today/Biological aspects
No. 2. Teaching of the social sciences in the U S S R * of race*
No. 3. The study and practice of planning* N o . 2. Population studies
No. 4. N o m a d s and nomadism in the arid zone* N o . 3. Peace research*
N o . 4. History and social science
Vol. XII, 1960
Vol. XVIII, 1966
N o . 1. Citizen participation in political life*
N o . 2. The social sciences and peaceful No. 1. H u m a n rights in perspective*
co-operation* No. 2. Modern methods in criminology*
N o . 3. Technical change and political decision* No. 3. Science and technology as development
N o . 4. Sociological aspects of leisure* factors*
N o . 4. Social science in physical planning*
Vol. XIII, 1961
Vol. XIX, 1967
No. 1. Post-war democratization in Japan*
No. 2. Recent research on racial relations No. 1. Linguistics and communication*
No. 3. The Yugoslav c o m m u n e No. 2. The social science press
No. 4. The parliamentary profession No. 3. Social functions of education*
No. 4. Sociology of literary creativity*
Vol. XIV, 1962
Vol. XX, 1968
No. 1. Images of w o m e n in society* N o . 1. Theory, training and practice in
No. 2. Communication and information
No. 3. Changes in the family* management*
No. 4. Economics of education* N o . 2. Multi-disciplinary problem-focused
research*
N o . 3. Motivational patterns for modernization
Vol. XV, 1963
N o . 4. The arts in society*
No. 1. Opinion surveys in developing countries
No. 2. Compromise and conflict resolution Vol. XXI, 1969
No. 3. Old age No. 1. Innovation in public administration*
No. 4. Sociology of development in Latin America No. 2. Approaches to rural problems*
No. 3. Social science in the Third World*
Vol. XVI, 1964 No. 4. Futurology*
N o . 1. Data in comparative research*
N o . 2. Leadership and economic growth Vol. XXII, 1970
N o . 3. Social aspects of African resource No. 1. Sociology of science*
development No. 2. Towards a policy for social research
N o . 4. Problems of surveying the social sciences No. 3. Trends in legal learning
and humanities No. 4. Controlling the human environment

1. The asterisk denotes issues out of print.

768

Vol. XXIII, 1971 N o . 4. Towards a new international economic and

N o . I. Understanding aggression social order
N o . 2. Computers and documentation in the social Vol. XXIX, 1977
sciences N o . 1. Approaches to the study of international
N o . 3. Regional variations in nation-building organizations
N o . 4. Dimensions of the racial situation N o . 2. Social dimensions of religion
Vol. XXIV, 1972 N o . 3. The health of nations
N o . 4. Facets of interdisciplinarity
No. 1. Development studies
No. 2. Youth: a social force? Vol. XXX, 1978
No. 3. The protection of privacy No. 1. The politics of territoriality
No. 4. Ethics and institutionalization in social No. 2. Exploring global interdependence
science No. 3. H u m a n habitats: from tradition to
modernism
Vol. XXV, 1973 N o . 4. Violence
N o . 1/2. Autobiographical portraits Vol. XXXI, 1979
N o . 3. The social assessment of technology
N o . 4. Psychology and psychiatry at the N o . 1. Pedagogics of social science: some
cross-roads experiences
N o . 2. Rural-urban articulations
Vol. XXVI, 1974 • N o . 3. Patterns of child socialization
N o . 4. In search of rational organization
N o . 1. Challenged paradigms in international
relations Vol. XXXII, 1980
N o . 2. Contributions to population policy N o . 1. The anatomy of tourism
N o . 3. Communicating and diffusing social science N o . 2. Dilemmas of communication: technology
N o . 4. The sciences of life and of society versus communities?
N o . 3. W o r k
Vol. XXVII, 1975 N o . 4. O n the state
N o . 1. Socio-economic indicators: theories and Vol. XXXIII, 1981
applications
N o . 1. Socio-economic information: systems, uses
N o . 2. The uses of geography
and needs
N o . 3. Quantified analyses of social phenomena
N o . 2. At the frontiers of sociology
N o . 4. Professionalism in flux
N o . 3. Technology and cultural values
N o . 4. Modern historiography
Vol. XXVIII, 1976
N o . 1. Science in policy and policy for science* Vol. XXXIV, 1982
N o . 2. The infernal cycle of armament No. 91. Images of world society
N o . 3. Economics of information and information No. 92. Sporting life
for economists No. 93. M a n in ecosystems

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