ABSTRACT: This paper draws on the work of Neurath and Quine to shed light on recent debates between music theory and New Musicology. Although it accepts many of New Musicologist's criticisms of traditional music theory, the paper nonetheless defends the use of empirical methods and even supports the trend towards naturalizing music theory.
[2] Not such a long time ago in a galaxy not far from our own, there
lived a staid music theorist, or SMT for short. He was an earnest
fellow who eked out a meager existence with his two trusty droids,
ArtusiDeetusi and 3ZPo. SMT cared a lot about music and tried to find
nice, tidy ways to understand specific pieces. Every day he took out
his scores and pried them apart to find some underlying structures.
SMT tried to satisfy three constraints of objectivity, truth, and
autonomy.
[3] Anyway, one day, SMT heard a knock at his door. When he opened
it, he saw before him a slick new musicologist, or SNM for short. Fed
up with authenticating, dating, and editing scores, SNM wanted to
analyze them as well and had come to see what SMT was up to. When SNM
saw those nice, tidy methods, he called SMT nasty names--positivist,
objectivist, and modernist!
[4] For a while SMT and SNM dismissed their disagreements as simple
Turf Wars. But things changed when SNM started to lash out at SMT.
SNM took the idea that analyses are theory-laden and inferred that the
main features of an analysis come not from the piece, but from the
listener's head.
[5] "Rigor mortis, more like!" thought SMT. He didn't think that
empirical methods were as bad as all that, and was reluctant to
abandon objectivity, truth, and autonomy altogether. SMT was also
worried by some of SNM's more extreme positions. To begin with,
although SMT agreed that analysis are always theory-laden, he didn't
think that there were no pieces without a listener. He came up with a
simple counter-example.
[6] Next, SMT conceded that his analyses were provisional and
incomplete, but denied that they were just misreadings. He noted that
the snag with empirical arguments is not so much that they are true or
false, as that they always fall short of certainty. This much was
discussed by Hume in the eighteenth century and was expanded more recently
by Hempel and Goodman.
[7] Finally, while SMT realized that he could never explain pieces
autonomously, he was not convinced that cultural, intertextual, or
subjective knowledge was any more relevant or reliable than other sorts
of knowledge. SNM was right to insist that we always encounter music
in a cultural context, but SMT knew our understanding of that music is
shaped by other factors as well. At some point, for example, our basic
biological and cognitive capacities must come into play.
[8] SMT was left in a quandary. How could he accept SNM's criticisms
yet hold onto the notions of objectivity, truth, and autonomy? At
first, SMT was unsure about what to do, but he soon felt a strange
force inside and became empowered to strike back. He grabbed the
phone. He thought he'd called the psychic hot-line, but realized what
his mistake when a voice asked him if he wanted "a five-minute
argument, or the full half hour?"
[9] The argument clinic wasn't what he expected and it wasn't located
in a swamp somewhere in the Dagobah system. The secretary introduced
him to an amiable but austere man named Obi Van Quinobi. Although SMT
wasn't used to explaining theories and things from a logical point of
view, he described his debate with SNM. He spoke of objectivity,
truth, and autonomy, and even pulled out a graph of Gurrelieder that
he happened to have lying around. After listening carefully Obi Van
said he had bad news and good news. He said that if SMT really was a
positivist, then he had better change his tune. Positivism was dead.
His criticisms sounded a lot like SNM's. Obi Van refused to draw
a line between theory and observation and suggested that "theoretical
sentences grade off to observation sentences."
[10] So much for the bad news, what about the good news? Obi Van said
although positivism may be sunk, empiricism could still be salvaged.
He recounted a story told to him in the olden days. According to the
story, empiricists resemble sailors at sea on a leaking boat. Instead
of rebuilding their boat from the keel up in a dry dock, they fix the
leaks while adrift on the open water. As each plank is replaced, the
remaining timbers keep the craft afloat. But once one leak is patched
another appears; bit by bit the boat becomes transformed, being
carried along by nothing but the evolving conceptual scheme
itself.
[11] Obi Van said that Neurath's boat did not commit him to the
inferences made by SNM. Although Obi Van blurred the line between
theory and observation, he still believed that there are objective
physical facts which root our beliefs in reality.
[12] Well, I'd like to say that SMT went home, won a MacArthur Fellowship, and lived happily ever after. But I can't. Alas, it's not clear how we should interpret Obi Van's words and objections. What we need is a reality check. In the remainder of this paper I want to spell out what a naturalized music theory looks like in general and what specific applications it may foster.
[13] Although there are many ways to naturalize music theory, they
usually involve two things: 1) rejecting any foundationalist set of
standards for evaluating theories and analyses; and 2) seeking
law-like connections between so-called aesthetic and non-aesthetic
properties.
[14] To show the impact that naturalizing might have on music theory,
let me offer a single example. One area in which music theory and New
Musicology have interacted has been is over the question of influence;
one of the best-known ways to explain it is Harold Bloom's so-called
Anxiety Theory of poetic influence.
[15] Are there other ways to try to understand influence from a
naturalized standpoint? I think the answer to this question is yes.
I see great opportunities for explaining influence in terms of the
theories of learning, memory, and expertise.
[16] To sum up, as I see it, the current debate between music theory
and New Musicology raises important epistemological and methodological
issues. To the extent that New Musicologists tell a cautionary tale
about the limits of music theory, I think their points are well
taken and warrant a proper response. Yes, there are problems in
dealing with empirical knowledge. Yes, we must reject the
positivist's accounts of objectivity, truth, and autonomy. Yes, we
must tighten up the ways in which we test theories and analyses. But
if this is all New Musicologists are up to, then they should tone down
the rhetoric; their skepticism is not nearly as novel as they suggest
and their attacks on empiricism go too far. However, when New
Musicologists call for a wholesale rejection of empiricism, I part
company with them. No, I'm not convinced they have overcome the
methodological problems that they and I see in traditional music
theory. No, I'm not convinced that they've offered a coherent set of
epistemic guidelines for engaging in analytical discourse. No, I do
not believe that they've provided the only alternative for the future.
For my part, I prefer to naturalize music theory. Such a view
emphasizes the need to find law-like relationships not only among
aesthetic properties, but also between aesthetic and non-aesthetic
properties.
2. Although I'm not sure when Quine first referred to Neurath's boat,
he does mention it in "Identity, Ostension, and Hypostasis,"
originally published in the Journal of Philosophy in 1950. (This
paper was later reprinted in From a Logical Point of View 2nd
ed. (Cambridge: Harvard University Press, 1961/1980) : 65-79. The
image a mainstay of later writings and appears as an epigram
at the start of Word and Object (Cambridge: MIT Press, 1960):
vii. The phrase "Adrift on Neurath's boat" comes from "Five Milestones
of Empiricism," in Theories and Things, 72. For an extensive
bibliography of Quine's works, see Lewis Edwin Hahn and Paul Arthur
Schlipp, The Philosophy of W. V. Quine The Library of Living
Philosophers Vol. 18 (La Salle, Ill: Open Court, 1986) : 669-686.
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3. I have borrowed this idea from Jerry A. Fodor, A Theory of
Content and Other Essays (Cambridge: MIT Press, 1990) : 195ff.
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4. Or, at least, so New Musicologists claim. According to Leppert
and McClary, "Briefly stated, the disciplines of music theory and
musicology are grounded on the assumption of musical autonomy. They
cautiously keep separate considerations of biography, patronage, place
and dates from those of musical syntax and structure. Both
disciplines likewise claim objectivity, the illusion of which is
possible only when the questions considered valid are limited to those
that can, in fact, be answered without qualification. The ideology
of autonomy also informs the conventional musical reception of
the 'music lover' who listens to music precisely to withdraw from the
real world and to experience what is taken to be authentic
subjectivity." Richard Leppert and Susan McClary, "Introduction,"
Music and Society (Cambridge: Cambridge Unversity Press, 1987):
xiii.
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5. To quote Treitler in full: "What Taruskin calls "modernism," what
Dreyfus calls "objectivism," and what Kerman calls "positivism," (he
speaks often of the impact of "modernism" on musical studies, but
always in a narrower sense of a phase of compositional history) are
faces that bear a strong family resemblance to one another. They have
been put from time to time upon a conception of knowing that has had a
continuous life virtually throughout the history of Western culture:
the insistence upon the separation of the knower from the known as
a condition of knowledge and the corollary disqualification of the
subjective self from participation of knowing--the depersonalization
of knowledge." Leo Treitler, "Review: Joseph Kerman, Contemplating
Music," Journal of the American Musicological Society 42 (1989) :
397-398.
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6. See, Walter Frisch's response to Leonard B. Meyer in "Comment and
Chronicle," Nineteenth-Century Music 15/3 (1992): 261.
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7. According to Gary Tomlinson, "Facts are not those things that we
see around us with an 'innocent eye.'" Instead they are always
contingent on interpretation, an act of assimilation into a cultural
web...whereby they are tangled in interrelations with other strands and
thus take on meaning." Gary Tomlinson, "The Web of Culture: A Context
for Musicology," Nineteenth-Century Music 7/3 (1984): 353. Nicholas
Cook comes to similar conclusions, "the theory of music is grounded in
the experience of the individual, and for this reason objectivity is
neither a feasible nor a desirable aim." Nicholas Cook, Music
Imagination and Culture (Oxford: Oxford University Press, 1990): 243.
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8. As Treitler puts it, "The claim for certainty is no more than a
claim that one will have provided the most coherent context of thought
that is consistent with all of the evidence." Leo Treitler, "History,
Criticism, and Beethoven's Ninth," Nineteenth-Century Music 3
(1980): 208-209. Similarly, according to Suzanne Cusick, "There can
be no perfect reading of any text, be it archival, theoretical, or
musical....the 'new musicology'...requires that we confront the
intellectual terrors of a world without definitive, authoritative
readings, and that we develop an intellectual practice appropriate to
that world." Suzanne G. Cusick, "Communication," Journal of the
American Musicological Society 57/3 (1994) : 562-563.
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9. For example, according to Tomlinson, "We cannot comprehend art
works (or anything else) outside of a cultural context. It is only a
question of whether we opt for a limited and limiting discourse, a
solipsistic conversation with meanings that come to us automatically,
or choose instead to try to conceive of other meanings, other
assumptions, other aspirations and fears." Tomlinson, "The Web of
Culture," 362.
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10. To quote Cusick again, "All language acts are inevitably as
slippery and evocative as the ones we recognize as rhetoric and
metaphor--if only because all readers will bring to texts the
illusions or fabrications of their own minds. Like the literal
chimera all our readings are doomed... (Indeed, no 'text' exists at all
independently of some reader's mind.)" Cusick, "Communication," 563.
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11. Abbate has proposed that "close readings are always
ventriloquistic encodings of the critic's voice." Abbate,
"Ventriloquism," Paper delivered at the annual meeting of the American
Musicological Society and the Society for Music Theory in Austin,
Texas October 1989.
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12. This view is most apparent in writers such as Kevin Korsyn and
Joseph Straus who draw on Harold Bloom's anxiety theory of influence.
See, Kevin Korsyn, "Towards a New Poetics of Musical Influence,"
Music Analysis 10/1-2 (1991) : 3-72 and Joseph Straus, Remaking the
Past: Musical Modernism and the Influence of the Tonal Tradition
(Cambridge: Harvard University Press, 1990). For extensive review of
these studies, see Richard Taruskin, "Review: Korsyn and Straus,"
Journal of the American Musicological Society 46 (1993) : 114-138.
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13. Taruskin explains their rationale as follows: "Musical meaning
(or expressive content) is to be construed in terms of revisionary
strategies....works may be evaluated in terms of the relative strength
of their misreadings, thus furnishing the promised critical
dimension." Taruskin, "Review," 120.
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14. To quote Fred Everett Maus, "We should not only recognize the
probability of a future characterized by musical and linguistic
multiplicity, but we should welcome and cultivate this
multiplicity....I would prefer that diversification of discourse about
music be regarded as a free activity of imaginative exploration, and a
positive pleasure." Fred Everett Maus, "Response," Indiana Theory
Review 10 (1989) : 92-93.
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15. According to Subotnik, contextualist explanations must dispense
with "a rather old-fashioned, vulgarized notion of scientific models"
and "grapple with problems that cannot be solved through the mere
establishment of facts or simple methods of cause and effect." Rose
Subotnik, "On Grounding Chopin," in Music and Society ed. Leppert and
McClary, 105-106.
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16. For example, according to Cusick, new musicology: "demands of us
more rigor, not less, in multilayered readings of evidence and in
awareness of our own biases; more willingness to engage with
alternative readings, and to rethink our readings publicly [...]; more
care to discern the plausible argument from the implausible, the
historically or interpretively revealing from the irrelevant."
Cusick, "Communication," 563.
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17. John M. Ellis, Against Deconstruction (Princeton: Princeton
University Press, 1989): 117-118.
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18. Richard N. Boyd, "The Current Status of Scientific Realism," in
Scientific Realism ed., Jarrett Leplin (Berkeley: University of
California Press, 1984): 53.
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19. See James Harris, Against Relativism. A Philosophical Defense
of Method (La Salle Ill.: Open Court, 1992) : 191-193.
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20. David Hume, A Treatise Concerning Human Nature (1739) and An
Inquiry Concerning Human Understanding (1748). Carl Hempel, Aspects
of Scientific Explanation and Other Essays (New York: Free Press,
1965) and Nelson Goodman, Fact, Fiction, and Forecast (London:
University of London Press, 1955). For an extensive discussion, see
Grue. The New Riddle of Induction, ed. Douglas Stalker (Chicago:
Open Court, 1994).
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21. Richard Feynman, "Seeking New Laws of Nature," 133.
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22. The notion that scientific hypotheses can only falsified but
never proved is most strongly articulated in the writings of Karl
Popper. Quine supports this general notion in "Empirical Content,"
Theories and Things, 28.
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23. Philip Kitcher, The Advancement of Science, (Oxford: Oxford
University Press, 1993) : 65.
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24. For accounts of subjectivism, see Thomas Nagel, "What Is It Like
to Be a Bat?" Philosophical Review 83/4 (1974): 435-450; and Frank
Jackson, "Epiphenomenal Qualia," Philosophical Quarterly 32 (1982) :
127-136. For replies, see Owen Flanagan, Consciousness Reconsidered
(Cambridge: MIT Press, 1994), Daniel Dennett, Consciousness
Explained (Boston: Little, Brown, 1991): 398-406 and 441-448; William
Lycan, Consciousness (Cambridge: MIT Press, 1987) : 75-81; Paul
Churchland, The Engine of Reason, the Seat of the Soul (Cambridge:
MIT Press, 1995).
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25. For example, according to Mary Ann Smart, "Feminist musicology,
it is now clear, will provide no single or simple way forward. But in
its questioning of established assumptions, together with its
commitment to certain political truths, it may offer a shelter in the
midst of competing musicological philosophies, a place where novelty
and imagination can be gently placed in both musical and social
realities." Mary Ann Smart, review of Musicology
and Difference: Gender and Sexuality in Music Scholarship," edited by Ruth A. Solie, Journal
of the American Musicological Society 47 (1994): 549.
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26. Paul Churchland, Matter and Consciousness rev. ed.,(Cambridge:
MIT Press, 1988): 76.
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27. Owen Flanagan, The Science of the Mind 2nd ed. (Cambridge: MIT
Press, 1991) : 81. Massimo Piattelli-Palmarini, Inevitable Illusions
(New York: Wiley, 1994); Elizabeth Loftus and Katherine Ketcham, The
Myth of Repressed Memory (New York: St. Martin's, 1994).
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28. This sentence is paraphrased from Roger Scruton, Modern
Philosophy (London: Penguin Books, 1994): 56.
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29. See Zenon W. Pylyshyn ed., The Robot's Dilemma. The Frame
Problem in Artificial Intelligence (Norwood, N. J.: Ablex Publishing
Corporation, 1987). Clark Glymour describes how the frame problem
articulates familiar philosophical issues in his essay in that
anthology entitled, "Android Epistemology: Comments on Dennett's
"Cognitive Wheels"," 65-75.
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30. Graham Chapman, John Cleese, Terry Gilliam, Eric Idle, Terry
Jones, and Michael Palin, The Complete Monty Python's Flying Circus.
All the Words vol. 2 (New York: Pantheon, 1989): 87.
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31. Quine, "Five Milestones of Empiricism," in Theories and Things
(Cambridge: Harvard University Press, 1981) : 71. See also "Two
Dogmas," in From a Logical Point of View, 41.
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32. Quine, "It is a confusion to suppose that we can stand aloof and
recognize all the alternative ontologies as true in their several
ways, all the envisaged worlds as real. It is a confusion of truth
with evidential support. Truth is immanent, and there is no higher.
We must speak from within a theory, albeit any of various." "Things
and Their Place in Theories," in Theories and Things, 21-22.
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33. Quine, "Two Dogmas," in From a Logical Point of View, 42-43.
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34. Quine, "Two Dogmas," in From a Logical Point of View, 41.
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35. Quine, "Identity, Ostension, and Hypostasis," in From a Logical
Point of View, 78-79.
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36. Quine, "Five Milestones of Empiricism," in Theories and Things, 72.
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37. Quine, "What Price Bivalence?" in Theories and Things, 31.
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38. According to Quine, "Naturalism does not repudiate epistemology,
but assimilates it to empirical psychology." Quine, "Five Milestones
of Empiricism," in Theories and Things, 72. For extensive
discussions of naturalized epistemology, see Quine, "Epistemology
Naturalized," and "Natural Kinds," in Ontological Relativity and
Other Essays (New York: Columbia University Press, 1969): 69-90 and
114-138. These essays and others are published in Naturalizing
Epistemology ed. Hilary Kornblith (Cambridge: MIT Press, 1985).
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39. According to Quine, "Likening me to Bradley, Cresswell saddles me
with a realm of reified experience or appearance set over against an
inscrutable reality. My naturalistic view is unlike that. I have
forces from real external objects impinging on our nerve endings, and
I have us acquiring sentences about real objects partly through
conditioning to those excitations and partly through complex relations
of sentences to sentences." Quine, "Responses," in Theories and
Things, 181.
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40. According to Quine, "The proper role of experience or surface
irritations is as a basis not for truth but for warranted belief." He
adds, "If empiricism is construed as a theory of truth, then what
Davidson imputes to it as a third dogma is rightly imputed and rightly
renounced. Empiricism as a theory of truth thereupon goes by the
board, and good riddance. As a theory of evidence, however,
empiricism remains with us, minus indeed the two old dogmas." Quine,
"On the Very Idea of a Third Dogma," in Theories and Things, 39.
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41. Quine, "Two Dogmas of Empiricism," in From a Logical Point of View, 42.
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42. For example, Quine claims that cultural relativism is inherently
self-refuting: "Truth, says the cultural relativist, is culture bound.
But if it were, then he, within his own culture, ought to see his own
culture-bound truth as absolute. He cannot proclaim cultural
relativism without rising above it, and he cannot rise above it
without giving it up." Quine, "On Empirically Equivalent Systems of
the World," Erkenntnis 9 (1975) : 327-328.
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43. Quine, "Five Milestones of Empiricism," in Theories and Things, 71.
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44. For discussions of naturalized aesthetics, see Douglas Dempster,
"Aesthetic Experience and Psychological Definitions of Art," Journal
of Aesthetics and Art Criticism 44/2 (1985) :153-165, and
"Renaturalizing Aesthetics," Journal of Aesthetics and Art Criticism
51/3 (1993): 351-361.
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45. For extensive discussion of these points, see Matthew Brown and
Douglas Dempster, "The Scientific Image of Music Theory," Journal of
Music Theory 33 (1989) : 65-106 and "Evaluating Music Theories and
Analyses," Journal of Music Theory 35 (1991): 247-279.
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46. Kitcher, The Advancement of Science, 9.
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47. See, for example, Harold Bloom, The Anxiety of Influence (New
York: Oxford University Press, 1973) and A Map of Misreading (New
York: Oxford University Press, 1975).
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48. According to Bloom, "To live, the poet must misinterpret the
father, by the crucial act of misprision, which is the re-writing of
the father." See Bloom, A Map of Misreading, 19.
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49. Bloom refers to these ratios as follows--Clinamen, Tessera,
Kenosis, Daemonization, Askesis, and Apophrades.
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50. According to Bloom, "Nietzsche and Freud are, so far as I can
tell, the prime influences upon the theory of influence presented in
this book....Freud's investigations of the mechanisms of defense and
their ambivalent functionings provide the clearest analogues I have
found for the revisionary ratios that govern intra-poetic relations."
See Bloom, The Anxiety of Influence, 8.
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51. According to Taruskin, "if similarity is evidence of influence,
but dissimilarity can be evidence of a stronger influence; if a poet's
direct allusion, not to mention his open assent or avowal, can be
evidence of his susceptibility, but the absence of an allusion and his
denial can be evidence of stronger susceptibility--then just what can
disprove the theory? Nothing can: as a theory it is breezily
"verificationist," and if it pretended to scientific status it would
be laughed right out of court." Taruskin, "Review," 119. The charge
of solipsism is leveled by Suresh Raval in Metacriticism (Athens,
Georgia: The University of Georgia Press, 1981) : 170.
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52. See, for example, Karl Popper, Conjectures and Refutations (New
York: Basic Books, 1962), "Replies to my critics," in The Philosophy
of Karl Popper ed. P. A. Schlipp (La Salle, Ill.: Open Court Books,
1974): 961-1197, Adolf Grunbaum's The Foundations of Psychoanalysis:
A Philosophical Critique (Berkeley: University of California Press,
1984) and its sequel Validation in the Clinical Theory of
Psychoanalysis. A Study in the Philosophy of Psychoanalysis
Psychological Issues 61 (Madison CT: International Universities Press,
Inc. 1993). For extensive discussion of Grunbaum's views, see
Behaviorial and Brain Science 9 (1986). For other general surveys
about the status of Freudian theory, see Sidney Hook ed.,
Psychoanalysis, Scientific Method, and Philosophy (New Brunswick,
N. J.: Transaction Publishers, 1990), and Richard Wollheim and James
Hopkins, Philosophical Essays on Freud (Cambridge: Cambridge
University Press, 1982).
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53. The bibliography in this area is enormous. For useful overviews,
see Michelene Chi, Robert Glaser, and Marshall J. Farred., The Nature
of Expertise (Hillsdale, N. J.: Lawrence Erlbaum Assoc., 1988) and
K. Anders Ericsson and Jacqui Smith ed., Toward a General Theory of
Expertise (Cambridge: Cambridge University Press, 1991).
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54. Robert Gjerdingen, "With respect to the harmonic and
voice-leading aspects of classical music, an early proponent of a type
of schema theory was the great Austrian theorist Heinrich Schenker.
He maintained that in the work of the masters the organization of
harmony and voice leading was guided by a high-level schema termed the
Ursatz or 'fundamental structure.'" See Robert Gjerdingen, The
Classic Turn of Phrase: Music and the Psychology of Convention
(Philadelphia: University of Pennsylvania Press, 1988): 23.
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55. See Nicholas Cook, "The Perception of Large-Scale Tonal Closure,"
Music Perception 5/2 (1987) : 197-206. Cook asked a group of
undergraduate music majors to judge the degree of completion and long
range coherence of tonally closed and tonally open versions of six
pieces. He found that, for pieces lasting over a minute in length,
the students were divided almost evenly between those who preferred
the closed to the open one. He concluded that music theories which
emphasize long range tonal connections are much more appropriate as
models of composer, rather than of listener, psychology.
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56. Matthew Brown, Douglas Dempster, and Dave Headlam, "The #IV/bV
Hypothesis: Testing the Limits of Schenker's Theory of Tonality,"
forthcoming.
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57. Dempster, "Renaturalizing Aesthetics," 352.
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58. Joseph Kerman, Contemplating Music (Cambridge: Harvard
University Press, 1985), 68-69. Kerman credits the distinction to
Lewin and Cone.
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59. Quine, "Responses," in Theories and Things, 181.
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