The Theory Of The Doctrine Of Affections

We will doubt, first, whether all of the things that have fallen under our senses, or which we have ever imagined, any one (of them) really exist; in the first place, because, we know by experience that the senses sometimes err and it would be imprudent to trust too much to what has once deceived us; secondly, in dreams…we imagine numerable objects which have no existence. [1] 

In this quote Descartes explains that senses are unreliable and that we cannot trust them for they have been proven to lie. It is interesting, then, that music is such a popular art form, for it depends heavily, and almost solely upon listening. While a full knowledge and understanding of music cannot be discovered from a purely auditory approach, simply listening to music has the ability to subconsciously entice emotions within an audience. This link between mood and sonority grew from ancient Greek philosophy and extended well beyond the eighteenth-century, but came to its height during the Baroque Period (ca. 1570-1780). The Baroque idea called the Doctrine of Affections held this idea to be true; it was the belief which held that by making use of the appropriate and established musical methods of the time, the composer could create a piece of music which was able to produce a particular and involuntary emotional response within the audience. It was a compilation of thoughts and musical techniques from many composers and philosophers from age of the Enlightenment, most prevalently Renè Descartes. [2] As previously stated, some of the principles of this concept date back centuries, to philosophers such as Aristotle, who showed that “orators employed the rhetorical means to control and direct the emotions of their audiences. [3] ” However, musically the idea came to its height during the age of the Enlightenment and can be seen throughout Baroque music in instrumental pieces of great composers such as Bach and Rameau, but is especially profound in opera, due to the greater emotional stimulation caused by music and text simultaneously portrayed.

The Theory of the Doctrine of Affections originated with Descartes. Descartes believed that music was centered on rationalized truth; he held that the ideas of science may not be favorable to the arts, but the understanding of science enhanced the art’s possibilities. This idea relates back to his rationalist idea which was represented in the Doctrine of Affections; that “knowledge is found in concepts, principles, and laws, and not just in experiences or unrefined sensations. [4] ” As such, by using scientific inquiry to understanding the biological workings of the body it was possible to attain accuracy and specific truth upon these systems which could then be used within music to rouse human emotions, and thus could increase the potential of the arts. But, simultaneously:

By using empirical observation…they may come to accept some system which has logical consistency, but little relevance to the world in which we live. [5] “

Using the ideas of scientific observation in this way could greatly inhibit the very purpose of musical expression.

The very groundwork of the Doctrine of Affections can be summed up by a rationalist idea, which states that when human emotions and thoughts were suitably written within the poetry or libretto for a particular composition, the texts could then be enhanced with a proper musical line, in an “attempt to bring intellectual abstractions into the realm of the passionate concrete. [6] ” The Passions, according to Descarte:

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Include love, sadness, hatred, desire, wonder, joy, and sorrow. Passions are predicated by actions of the soul and set into motion by contents of the blood stream. The soul is excited by the moving passions which direct a man’s will. It is on the passions, good or evil, that life depends. Passions have an effect on the psyche, and uses the idea believed by philosophers and Biologists, that passions are found in the spirits contained in the blood stream. [7] “

Each passion is associated with a specific physiological symptom. For example, the breath might accelerate and the heart beat may quicken. Descartes believed that it was possible to predict the external emotions that would result from the various passions the music intended to arouse. His influence over composition was remarkable. [8] Writers that followed, such as Johann Mattheson, described the composer’s thought process towards composition as such: that the music does not express the emotion of the composer to be, for example, “sad and anguished”, but rather the composer’s attempt to create a work of art which would sadden the listeners. Also, he says that this emotional power which the music has over the listener is not necessarily outwardly shown, but “the emotional effect is personal and comes from the listener’s individual experiences. [9] “

Descartes’ Compendium Musicae and his Traite des passionse l’ame (“catalogues or compilations of the basic human passions” [10] ), which became popular during the Baroque period became widely studied. These publications were two of many of the age, but were the first to give musicians tangible and practical directions for appropriate and affective use of intervals, for example, happy emotions tended to be represented with wide intervals, while sadness was represented with narrower intervals. [11] As aforementioned, the emotional reaction to the effect which music has upon the body, used in attempt to direct the emotions of the audience, was particularly profound when used in vocal music, especially opera, due to the text to music relationship which enhanced the expressive development. This was “a concept originally derived from Greek and Latin Doctrines on rhetoric and oratory [12] ” and also expressed within the philosophy of the Doctrine of Affections. In each individual piece, the composer would try to arouse a particular type of emotion within the audience, for example, hate, anger, jealousy, or rage, but would only use one emotion at a time. He would use particular musical devises to entice emotion within the listener, which would parallel the ability of text to do the same. [13] One of the most famous of Baroque composers was Handel. He believed that:

…plainness and simplicity had the greatest effect upon human emotion as he endeavored to write for the voice, more in the natural tones of the human affections and passions. [14] ( A study in Handelian Thought 55)

As such, Handel composed greatly within the concepts of the Doctrine of Affections, in attempt to provoke the passions and incite human emotions. Also, conductor Nicholas McGegan believes that Handel had great insight into underlining human emotion and his characters are “absolutely human. [15] “

As previously stated, Handel composed within the realm of the philosophy of the Doctrine of Affections. As such, his arias and oratorios are written in such a way to combine the emotional context of the libretto with a musical line which would unconsciously bring about predetermined emotions within the audience. Three types of arias found during the Baroque period were those that depicted rage, happiness, and lost love. According to Johann Mattheson rage is much better at using all forms of “musical inventions” than more pleasant passions. However, it is not adequate enough to simply use loud dynamics and quick rhythms, as this violent quality has its own personality and requires forceful expression without losing sight of the beauty of the musical line. [16] The main devices used during a rage aria can be seen in an expanded theory of intervals explained by the Philosopher and Composer Rameau. Assuming that the basic human qualities of rage include anger, violence, sorrow, graveness, harshness, and aggression, Rameau would conclude that a rage aria would include: whole and half steps, used to represent anger or sadness due to the contraction of the body; minor thirds, descending fourths, augmented fourths, minor sixths, and major sevenths. Also rage or anger would be seen in a fast tempo and most likely a minor key. [17] The rage arias of Handel directly follow this theme.

Handel’s famous aria “Empio, dirò, tu sei” from his opera Giulio Cesare is a classic example of a “Rage” aria. The first importance of this piece in terms of the Doctrine of Affections is the text:

Empio, dirò, tu sei:

Togliti agli occhi miei

Sie tutto crudeltá

Non è di re quell cor,

Che donasi al rigor

Che in sen non ha pieta

(I say you are a villain,

Remove yourself from my sight,

You are cruelty itself.

This is not the heart of a king

That abandons itself to such harshness,

That contains no pity.)

This is Giulio Cesare’s furious Act 1 aria in which he chastises the Egyptian general, Achilla, who has just returned to him the detached head of the Pompeo, the noble Roman general. This aria expresses Ceasar’s rage, and as such, Handel wrote it in c minor and in the tempo Allegro. The aria also includes many rushing scales, arpeggios, and uneven figures. From the very first opening line, the orchestral overture creates uneasiness and dread in the listener by use of running scales, large leaps, and awkward intervals (m1- 9); this agitation is affirmed by a very strong vocal entrance by the castrato, Giulio Cesare, which begins with a descending scaler line and is followed by larger leaps (m.11). . Throughout, the vocal line can be described as extremely intense- containing extensive coloratura with rushing scales (m14-16; m24-25; 32-34), arpeggios, and drastic interval changes would create an understanding of rage even in a listener who did not understand the words, for example, when Cesare says “Sie tutto crudeltá” (You are cruelty itself), the vocal line implements jumping intervals as well as a brief chromatic passage (m35-37) Also, throughout the piece the orchestra is particularly restless, and includes running passages, large leaps, arpeggiated figures, which also create an uneasiness. All of these factors contribute to quickening the heartbeat of the listener, providing them with an emotional relation and understanding of Giulio Cesare, just as if they, themselves were the raging party. The understanding of the text along with the extreme musical line and accompaniment creates an even more vivid picture of Cesare’s intense anger and rage and pulls the listener even further into the emotion, raising the blood pressure further and thus, physiologically causing the raging and uneasy emotion within the listener.

Among the passions was also the emotion of joy. Mattheson held that:

…joy was an expansion of our soul, and thus it follows that reasonably and naturally that [one] could best express this affect by large and expanded intervals. [18] 

According to Rameau joyous music was also represented by great intervals, but additionally was shown with Major key and fast tempo. [19] The Air Oh! Had I Jubal’s lyre from the Oratorio Joshua by Handel implements these philosophies within the vocal line and orchestral accompaniment.

Oh, had I Jubal’s lyre,

Or Miriam’s tuneful voice!

To sounds like his I would aspire,

In songs like hers rejoice.

My humble strains but faintly show,

How much to Heav’n and thee I owe.

This is one of Handel’s later works, and it is based upon the biblical stories of Joshua. Essentially, Moses and the Israelites, after being freed from Egypt are told by God that they must maintain their faith to him for forty years in the wilderness before being allowed into the promise land, they do not obey him and send in spies to check out the land after two years. Long story short, Joshua and Caleb, of the younger generation maintain their faith within God and are thus allowed to enter the Promise land, while the disbelievers perished in the desert. In the bible, Jubal is quoted as being “the ancestor of all who handle lyre and pipe [20] “and Miriam is the sister of Moses and Aaron who was believed to have been a prophet. This is a simple song of happiness and praise sung by Achsah, the daughter or Caleb. Firstly, the piece is written in A major and in the tempo Allegro. From the opening of the piece, large and sonorous intervals and chords are heard and a feeling of ease and happiness is apparent. When the soprano, Achsah enters, her line outlines an A major chord (m 10-11) and continues to move within a beautiful major key area. Although in some parts of the piece there are running passages (m21-24; m41-44; m 46-47) there continues to be large intervals and major chords throughout the accompaniment below. This stability below the quickly moving and florid passages allows the emotion of joy and happiness to be maintained throughout the piece. The piece begins and ends in a major key and throughout it implements large intervals and a consonant tone. These foundations musically create a joyous emotion within the audience because they entice openness within the body physiologically; the listener’s emotional reaction, therefore directly parallels the sonority of the musical line and accompaniment.

Another of the passions outlined by Descartes included love. Within opera, a common theme of unrequited or lost love is prevalent. This absence of love, which is sought by a character, brings about an emotion which is a combination of sadness and hope, and abstractly creates love. On sadness Mattheson states:

Sadness is a contraction of the subtle parts of out body…it is easy to see that the small and smallest intervals are most suitable for this passion. [21] 

To create the feeling of lost love, this emotion is combined with the passion for hope. In regards to this emotion Mattheson explains:

Hope is a pleasant and soothing thing: it consists of a joyful longing which fills the spirit with certain courage. Hence, this effect demands the loveliest use of voice and the sweetest combination of sounds in the world, for which courageous longing serves as a spur as it were; yet so that even joy is only moderate, courage nevertheless enlivens and animates everything, which yields the best combination and uniting of sounds in composition. [22] 

This combination of the passions of sadness and hope can be used to understand the emotion of love. Mattheson shows this:

Love is in fact essentially a diffusion of the spirits. [23] 

Love is therefore a “diffusion” or combination of joy or hope (expansion) and sadness (contraction), depending upon the type of love which is occurring. For example new and young love would be represented in a more joyous way, with larger and more expansive intervals musically. However, lost or unrequited love would be represented to attract sadness or small intervals, but also to entice hope, by using larger and more expansive intervals which are pleasant and soothing, because the character continues maintains some hope that love will eventually result from the sadness and loss, thus musically drawing the listeners into their melancholy but optimistic emotion.

The philosophies of the Doctrine of Affections can again be seen in the aria O Sleep, why dost thou leave me? from the opera Semele by Handel.

O sleep,

O sleep, why dost thou leave me?

Why doust thou leave me?

Why thy visionary joys remove?

O sleep,

O sleep,

O sleep again deceive me,

O sleep again devieve me,

To my arms restore my wand’ring love,

My wand’ring love,

Restore my wand’ring love,

Again deceive me,

O sleep,

To my arms, restore my wand’ring love.

The plot line of the opera is essentially thus: Semele is in love with Jupiter, but is about to Marry a man called Cadmus at the temple of Juno. Before the ceremony, however, Semele is snatched from the temple and taken to the heavens where Jupiter builds her a grand palace. Juno is angered by this and asks the god of sleep, Somnus, to help her in her revenge. In this aria Semele has been deprived of sleep, and thus, deprived of her dreams of her lover who cannot be with her. The piece is written in a major key, but in the tempo largo. This, from the first chord of the piano, shows the parallel between happiness and sadness that are present during lost love, the emotion of hope can be seen in the large interval jumps in the left hand of the piano accompaniment (m1-4) Semele’s first phrase is very quiet, slow and repetitive; it uses a beautiful scalar line of second intervals to show her anguish for the loss of her lover within dreams. Underneath her beautiful line is a similarly running pattern within the piano, which is characterized with some leaps to bring about a slight feeling of hope and happiness (m 8 in both hands; m 9 in both hands; m11-end in the arpegiated left hand) The sadness comes to a height on the second page when there is a long running passage upon the word “wand’ring,” (m 17-18), but hope is seen in the ending of the piece with the interval leaps upon the word “restore,” coming to the climatic and beautifully quiet G sharp, before desending again into sadness (m24-25).