Crossroads between nature and culture: an introduction
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Transcript of Crossroads between nature and culture: an introduction
ORI GIN AL PA PER
Music and biology at the Naples Zoological Station
Bernardino Fantini
Received: 30 August 2014 / Accepted: 9 September 2014
� Springer International Publishing AG 2014
Abstract Anton Dohrn projected the Stazione Zoologica as composed of two
complementary halves: nature and culture. This attitude was not only expression of
the general cultural background of the nineteenth century cultural elite, for Dohrn
both formed a coherent and organized whole. In my essay I will analyse the dif-
ferent levels of the relationship between music and biology. In particular, I will
demonstrate that both share similar ‘‘styles of thought’’. In the last part I will show
that Dohrn’s most important scientific contribution, the concept or ‘‘principle’’ of
Functionswechsel, provides evidence for the link he had established between music
and biology
Keywords Anton Dohrn � Music � Metamorphosis � Functionswechsel
1 Music and science at the Stazione Zoologica
Anton Dohrn’s ‘dream’, as Christiane called it (Groeben 1985, 2001), was twofold:
science on one side and music on the other. The architectural project of the Stazione
reflected this double-faced dream, because Dohrn knew exactly what he wanted, and
how he wanted it done, and elaborated the plans for the buildings himself. On the
first floor Dohrn projected two large rooms, one dedicated to biology, with
laboratory space for many scientists, and one, facing the sea, dedicated to lectures,
art and music. The latter, the Fresco room, with its statues and allegories, was
symmetrical and complementary to the laboratory, with its organisms, aquariums,
B. Fantini (&)
Centre Collaborateur OMS pour la Recherche Historique en Sante Publique, Universite de Geneve,
Case Postale, 1211 Geneve 4, Switzerland
e-mail: [email protected]
123
HPLS (2015) 36(3):346–356
DOI 10.1007/s40656-014-0045-7
microtomes and microscopes. His architectural choices can be explained at three
quite distinct though not separated levels.
First of all, making and listening to music could be considered as Dohrn’s
personal interest and leisure. Music in fact remained very close to his heart
throughout his life. He loved in particular Beethoven, Mendelssohn and Brahms,
and became an intimate friend of the violinist Joseph Joachim, a close collaborator
of Brahms and the leader of the Joachim String Quartet.1
The second level assumes a superficial connection between music and biological
research, as distinct parts of the same cultural background and social life. Art and
music were essential parts of the life of the cultural elite in the nineteenth century,
two complementary aspects of intellectual and social status, and Dohrn, like a
Renaissance prince, wanted to have his ‘‘musical laboratory.’’ Therefore, the
scientific entrepreneur promoted pleasant and cultivated activities, supporting music
and the arts, sharing values and emotions, developing a sense of community and a
‘‘creative atmosphere’’ beneficial for scientific research.
Finally, instead of being simply juxtaposed, biology and music could be seen as
integrated components of the same cultural, scientific and philosophical endeavour,
two different expressions of the same quest, at the same time scientific and aesthetic.
Anton Dohrn grew up in a familial and social context in which music played an
important role. His father Carl August had wide-ranging contacts with eminent
scientists, like Alexander von Humboldt, and musicians, notably the composer Felix
Mendelssohn-Bartholdy, who became Anton’s god-father. Throughout his life,
Anton tried to cope with his father’s expectations, hoping to win his respect and
affection. In 1897, on the occasion of the 25th anniversary of the Naples Zoological
Station, he recognized his debt to his father, defined as his ‘‘intellectual protoplasm’’
and he noted that in their family circle it was considered more important to know
quotations from Goethe or to recognize Beethoven’s music than to excel in Greek or
mathematics (Dohrn 1897; Groeben 1985). In his early childhood, Anton developed
his taste for classical literature and music but also learned that art and science must
coexist and interact, as they had in the work of Goethe, a poet and a scientist who
envisioned a complete integration of both sensibilities. Quite often, Dohrn in his
letters to his wife mentioned a passage from the prologue to Goethe’s Faust: ‘‘In the
beginning was the deed.’’2
During his formative years, Dohrn was profoundly impressed by Friedrich Albert
Lange, a philosopher, pedagogue, political activist, and journalist, who was one of
the originators of neo-Kantianism. Dohrn adopted therefore the neo-Kantian
attitude, centred on the concepts of form and teleology, in science as well as in art.
The model for his scientific and institutional work was Goethe’s ideal of harmonic
humanity (harmonische Menschlichkeit), that is, the unity and harmony between
1 In a letter of June 4, 1896 from Naples to his nephew Harold, Joachim mentioned his trips in the Bay
and his discussions with Anton Dohrn, ‘‘a most charming fellow’’ (Bickley 1914).2 Anton Dohrn to Marie Dohrn, Aug. 22, 1888, Hoekendorf, Bd. 543, quoted in Groeben 1985. It is of
interest to note that ‘‘deed’’ means ‘‘act’’, and it is used to replace logos (the verb) in John’s Evangel. The
logos means also to give form, in the platonic sense, as the essence of things, and it is the form which
‘‘acts’’ in the world.
Music and biology 347
123
what one can do and what one wants to do (Groeben 1985, p. 16). As Dohrn put it in
a letter to his wife in 1886:
I have told you several times that I made a work of art out of life itself […]. I
found chaos before me and have created out of that both a practical organism,
the Station, and a theoretical one, the ‘‘protohistory of vertebrates [Urg-
eschichte der Wirbelthiere].’’ Each step on the path of these two things I have
envisioned beforehand, as an artist first sees the complete work of art and then
starts to create its parts.3
The active search for form and beauty thus provided a common background for
both science and the arts. As Dohrn wrote to Edmund B. Wilson, himself an
outstanding scientist and excellent musician, in 1900:
Phylogeny is a subtle thing, it wants not only the analytic powers of the
‘‘Forscher’’, of the researcher, but also the constructive imagination of the
‘‘Kunstler,’’ of the artist—and both must balance each other, which they rarely
do—otherwise the thing does not succeed (quoted from Fantini 2000, p. 525).
According to his correspondence, Dohrn’s motto was ‘‘to create, to organize, to
develop—this is my need, even passion.’’4 Still, ‘‘to create, to organize, to develop’’
can be considered also as the main attribute of the living world, according to the
Darwinian morphological evolutionary theory. Furthermore, ‘‘to create, to organize,
to develop’’ is also the need and the passion of a musical genius in his or her
creative activity. This is the core of the epistemic conjunction between music and
science, a point I want to explore further in the following.
2 The epistemic conjunction of biology and music
The relationships between music and science can be traced at three different levels.
The first level concerns the direct use of scientific knowledge in musical theory, for
instance the numerical Pythagorean formulations of harmony and consonance, the
application of geometrical propositions in the musical treatises of the Renaissance,
the physical explanations of consonance and dissonance by the nineteenth-century
physiologist Hermann von Helmholtz (Kursell 2008), or the use of computers and of
chaos theory in contemporary musical composition. A second level of analysis is
found in the scientific study of music’s influence on body and mind and in attempts
to explain the reasons for the emotional power of music, based on physiological and
psycho-neurobiological models. This subject was already treated in Greco-Roman
culture and received great attention from many famous doctors of the sixteenth,
seventeenth and eighteenth centuries, notably in discussions on the effect of music
on people suffering from tarantula bites (Baglivi 1700; Budd 1985; Fantini 1999).
The search for the reasons behind music and, more generally, sound’s psychological
and physiological effects on man and his comportment found its apogee in
3 Anton Dohrn to Marie Dohrn, Aug. 1, 1886, Naples. Bd. 372, quoted in Groeben 1985.4 Anton Dohrn to Marie Dohrn, Aug. 1883, Stettin Bd. 246.
348 B. Fantini
123
Helmholtz’s work (von Helmholtz 1870, 1873), and recently, psychological and
neurobiological researches have produced an enormous amount of experimental
results and theories (Patel 2008; Juslin and Sloboda 2010; Cochrane et al. 2013).
The third, and perhaps more fundamental level of interaction between music and
biology is epistemic and concerns the role of similar ‘‘styles of thought’’, the use of
analogue interpretive models, metaphors and images (Fantini 2013). The idea of
style is wide-spread in musical and musicological treatises, and includes elements of
communication, writing and method (forms of notation, social practices, interac-
tions with instruments and with the physiology of performers, to name a few). In
music as well as in science, a style is needed that encompasses constructive
methods, forms of communication, criteria for the evaluation of results, which are,
by definition, necessarily public and collective activities (even at the level of social
organization), but allow a great, central space to individual creativity.
Metaphors, in this context, are not only rhetorical artifices, but have a heuristic
role since they suggest a general interpretative model that can be contradicted by
theories or observations (Ricoeur 1975; Ortony 1979; Lakoff and Johnson 1980;
Kovecses 2005). According to this point of view, it is useful to break with the
historical schema, which tends exclusively to stress discontinuity, discoveries and
revolutions, and, on the contrary, to seek the continuity that underlies these changes
(Canguilhem 1988). Knowledge consists not only of facts and empirical evidence
but also of problems, hypotheses, paradoxes, innovations and surprises. Changes in
paradigms and styles during revolutionary moments in the development of science,
as in that of art, are also moments of re-evaluation, of re-proposition of old aporias.
From the Renaissance to the nineteenth century, medical and biological thought
has been dominated, successively, by three different models of the body and its
structures and functions. The first model was proposed by humoral medicine, based
on the correspondence between four physical elements (fire, air, water, and earth),
four bodily humours (blood, phlegm, yellow bile, and black bile), and four
psychological temperaments (sanguine, phlegmatic, choleric, and melancholic). The
individual behaviour and the susceptibility to diseases was determined by the
particular combination of the four humours in each individual. After the scientific
revolution of the seventeenth century, the humoral model was gradually replaced by
a model of the body as composed of elementary, permanently oscillating fibres
(Grmek 1989). This model, built on anatomical and microscopic observations,
identified the ‘‘elementary fibre’’ as the ultimate element in the organization of the
body and as the centre of all physiological function, including motility and
sensibility. Finally, starting from the second half of the eighteenth century, the idea
of ‘‘organism’’ became central and represented the theoretical starting point for the
creation of biology as an autonomous science. This model explained the essential
properties of living organisms on the basis of a complex, harmonious and balanced
organization, which constructs itself from a seed.
Each medical and biological model played a major role in all three above
mentioned levels, in musical theory, in the philosophical discourses about the
emotional power of music, and in the practical construction and elaboration of
compositional techniques and musical styles. In late Middle-Ages and Renaissance,
analogous to the medical humoral theory, a musical composition was a ‘‘body’’
Music and biology 349
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composed of the four humours and characterized by a good temperamentum (Ficino
1989[1489], p. 10; Boccadoro 2004). In the seventeenth century, the effects of
music were explained with reference to objects and exterior movement, like the
movement of air provoked by the vibration of strings, imprint vibrations on the
elementary fibres that form the nerves and the whole of the body. If during the
Renaissance and for Monteverdi love kindled, and the heart burnt and consumed
itself, in the seventeenth century humans vibrated with all their cords and quivered
with fury. The dynamic between warmth and coldness, typical of humoral medicine
and of Renaissance music, was replaced by the dynamic ‘‘tension-release,’’ typical
of mechanical interpretations of life and form, and of Baroque music. From the
second half of the eighteenth century the new science ‘‘biology’’ emerged, based on
new notions of form and function and on the idea of organisms as organic,
harmonious wholes which come into being as the result of an essential tension,
contained in embryonic form in the seed. Exactly in the same period, a ‘‘Great
Divide’’ also took place in music: a new cultural and social role of music was
created, linked to the origins of ‘‘absolute music’’ as an autonomous structural and
syntactic language (Kivy 1990) and tied to the composers Haydn, Mozart and
Beethoven. Biology and music came to share the same epistemic object, that is,
‘‘form’’ and its construction for the purpose of building up a coherent and individual
organism, a living system and a musical work, respectively.
The principle formula of the music of this period was the sonata form. The sonata
is not built through apposition, as in sinuous Baroques sequences, but ‘‘from
inside’’, starting with a ‘‘seed’’ or germ, which represents the ‘‘idea’’ of the final
form of the individual composition in its totality (Rosen 1971). The objects (the
sounds) themselves are not intrinsically musical. A single tone or a series of tones
are musically meaningless as physical elements. Exactly like biology was now
understood not as a science of particular physical and chemical objects, but of the
relationships between these objects, in space and time, music is made of objects
(sounds) but its logic and meaning depends on the relationships between these
objects.
As a consequence, an element acquires its musical meaning in modern music
when it is connected with other different elements, and its function is revealed by
this connection. The meaning of music lies in the perception and understanding of
the musical relationships within a complex organization. The higher levels of
physical organization cannot be fully explained by the sum or mechanical
combination of ‘‘atomic’’ or ‘‘molecular’’ elements included in them, in the same
way that the behaviour of a living system cannot be fully explained only by the
structure and functions of macromolecules. On the other hand, the meaning of the
composing structures is not completely determined by the whole form, because a
cell in a living system and a sound in a piece of music have their autonomy, and the
global meaning and aesthetic value is the result of the interrelation and integration
of the different levels of organization, each with its specific autonomy (Meyer
1984).
This brief analysis of the concept of form and organization in biology and music
up to the time of Anton Dohrn can explain the profound reasons for the building of
the two complementary rooms at the Naples Station. Indeed, as I will show in the
350 B. Fantini
123
following section, the most important scientific contribution Dohrn gave to biology,
the concept or ‘‘principle’’ of Functionswechsel, provides evidence for the link he
had established between music and biology.
3 Anton Dohrn and the Functionswechsel
As pointed out by Michael Ghiselin in his introduction to Dohrn, there is no
straight-forward English equivalent for Functionswechsel, and one is tempted to
leave it untranslated (Dohrn and Ghiselin 1994). ‘‘Change of function,’’ indirectly
suggested by Dohrn himself in a letter to Charles Darwin, seems appropriate.5
‘‘Succession of function’’ is adequate, too, since it recalls Stoffwechsel (metabo-
lism), used in the German scientific literature of the nineteenth century for the
concept of the ordered succession of chemical processes within a living cell or
organism.
The idea behind Dohrn’s principle is that each organ can realize different
functions in the organism in response to changes in the environment and life
conditions. The eventual weakening of the original function and the strengthening
of a different one can produce the transformation of the organ (Dohrn 1875, p. 60).6
Dohrn was profoundly convinced that morphology and physiology ought not to be
completely separated. Function represented the main attribute of a living system. A
form is not an abstract entity, but always linked to a specific function. Morphology
must therefore be ‘‘functional’’ and it is the change of function which produces the
modification of the form (Maienschein 1994). For Dohrn, morphology was the study
of the form of living organisms in their construction (embryology), in their
functioning (physiology), and in their environment (ecology, as suggested by his
mentor Ernst Haeckel).
The continuity of living systems along evolution, a fundamental principle of
biology, is not only morphological, but must also be functional. This principle states
that organs and functions cannot arise de novo, and Dohrn consistently rejected
hypotheses that invoked ‘‘new formations’’ as a way of eliminating explanatory
difficulties. The principle of continuity in evolution implies also that there had to be
a plausible series of intermediate stages in which an organ with a given function was
transformed into an organ performing a different function. Dohrn’s evolutionary
thinking integrated traditional morphological and embryological data with an
emphasis on functional changes. In such a way the traditional dichotomy form/
function acquired a new and not exclusive meaning: both aspects and their
relationships are fundamental conditions for life.
The principle of the succession of function was envisaged as a mechanism for
explaining innovation and the emergence of novelty in evolving biological and
ecological contexts, but it could also be applied, as I argue, to link the various kinds
5 A. Dohrn to Ch. Darwin, Jena, 30. Nov. 1867, in: Darwin and Dohrn 1982, p. 21: ‘‘Isn’t that most
striking? Such a change of function?’’.6 This passage is translated and discussed in chapter 14 of Russell 1916, p. 276. See also Dohrn and
Ghiselin 1994.
Music and biology 351
123
of progress and creativity into a more general conception, one that includes science
and art, notably music. Physiological morphology assumed the synthesis between
form and action (function) and music could be equally defined as the synthesis
between form and action (movement). The expression ‘‘succession of function’’ can
be used to describe the manner in which composers may change the tempo, rhythm,
and notes of a theme to preserve its essential and recognizable characteristics but at
the same time to change their function according to the new context these elements
or figures are included. Like a living system, a musical work is ‘‘a form in
movement’’ and there is no form without function and without development.
Romantic science was dominated by the idea of metamorphoses, that is, major
changes in the form and the function of a living organism accompanied by a striking
alteration in appearance, character, or circumstances. But the idea of metamorphosis
has been central in the history of music, too. The principle of variation of a melody
or any other musical figure or form is the most powerful aesthetic and architectonic
aspect of music. Franz Schubert used the technique of metamorphosis to bind
together the four movements of his Wanderer Fantasy. Franz Liszt and Hector
Berlioz made an extensive use of ‘‘thematic metamorphosis’’ (or thematic
transformation): a theme is repeated throughout a musical work, but it undergoes
constant transformations (transposition, inversion, augmentation, diminution or
fragmentation) and appears in several contrasting roles or functions. The
transformations of the theme will serve the purpose of ‘‘unity within variety’’, the
architectural principle of absolute music. In distinction from the classical sonata
form, the thematic transformation can accommodate dramatically charged phrases,
highly coloured melodies and richer harmonies, favoured by the Romantic
composers. The term metamorphosis is often included in the title of important
works: Paul Hindemith’s Symphonic Metamorphosis on Themes by Weber,
Benjamin Britten’s 6 Metamorphoses after Ovid, Leopold Godowsky’s Symphonic
Metamorphoses on Waltzes and Themes by Johann Strauss, Richard Strauss’
Metamorphosen (which referred directly to Goethe), just to name a few. It
constitutes a valuable interpretative model even for contemporary music (Spamp-
inato 2008).
4 Functionswechsel in modern music
Music is therefore an outstanding example of Functionswechsel. The idea of
‘‘change of the function’’ is overtly expressed by Arnold Schonberg in his book The
Structural Functions of Harmony (1967). In a passage he indicates a change of the
function of the 7th degree of B minor by introducing the substitute a#, 7, which
acquires the function of a leading-tone (Dudeque 1997, p. 4). A chord can play
different functions according to its place in the harmonic progression or in the whole
structure of a musical work. The same chord can be considered in its diverse
positions as the dominant in a given key and a fundamental chord (tonic) in another.
For example, the two triads G–B–D and C–E–G have different harmonic functions
in different general contexts: in the key of C major, these cords play the role of the
V and I degrees of the harmony respectively, whereas in the key of G major they
352 B. Fantini
123
have the role of I and IV degree. The sequence of the two identical chords in the two
different keys has different function and meaning. In the former case, the succession
V–I is an authentic cadence, felt as a resolutive movement and a closure. In the
second case, the same two cords, that have exactly the same physical nature, act as a
I–IV progression and this produces a feeling of unfinished and rises an expectation
for further developments. Numerous experimental results show that even untrained
listeners can react quickly and accurately to the two distinct functions and meanings
of the syntactical and formal differences (Bigand 1997; Bigand and Parncutt 1999).
According to Schonberg, a transformation of a chord through substitution does not
change the root function expressed as a scalar degree of a chord and its relationship
to a tonal centre. Thus, a chord can be transformed, for example, from a major triad
to a minor, a diminished, or an augmented triad, always keeping its diatonic root but
changing its function in the general harmonic progression.
The same kind of metamorphosis can be applied to the melodic materials. A
melody can have a different expressive force, depending on the harmonic context,
the tempo, the instrumentation or the register, acquiring in such a way a different
meaning. As a consequence, the same theme or melody can show a sort of
‘‘succession of function’’ according to the form and the environment (style) in
which it is involved. The best example of this permanence with variations is the
harmonic and melodic theme of the Folia, originated probably in the fourteenth
century and used by hundreds of composers until the twentieth century in totally
diverse musical and cultural contexts, and with different functions, as the basis for
virtuosistic variations, the development of composing skills, the expression of
different emotions or as a symbol for Orlando’s madness, in Vivaldi’s homonymous
opera.
In the Renaissance, it was quite common to use popular, even bawdy, songs or
motives as a theme for a polyphonic ‘‘parody mass’’ (e.g. L’Homme arme by
Josquin des Pres or Palestrina), or to use pre-existing complete passages of music
from other compositions, usually profane plainsongs or madrigals for sacred
compositions, as in the case of Rolande de Lassus’ eight-voiced Missa Bell’
Amfirit’altera. Here, the composer borrowed passages of music from an unknown,
and probably simpler, anonymous Venetian madrigal to build up a complex
polyphonic form.
This kind of metamorphosis is particularly frequent in the works composed after
the Great Divide, when the accent and the aesthetic value was placed in the general
organization or form of the individual form rather than on specific themes or
motives. The change or succession of function is generally applied to the figures or
motives (the second level of the hierarchical structure of a musical composition).
These changes of function become the tools for the construction and development of
the whole form, as in Beethoven’s symphonies. In Schubert’s string quartet No. 14
in D minor, known as The Death and the Maiden, the melody and harmonic
structure of just a fragment of the homonymous Lied becomes the tool for an
extraordinary syntactically and emotionally complex development. For Liszt
‘‘paraphrases’’ of themes or motives from famous operas became the pretext for a
virtuoso exploitation of the piano’s technical and expressive means.
Music and biology 353
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A figure originally presented as a main theme of a composition can change its
function and become a figure which accompanies another theme, as in the
Rosamunde Quartet by Schubert (1824) or in the second movement of Claude
Debussy’s String Quartet (1893). Likewise, a Wagnerian leitmotiv (literally
‘‘leading motive’’), a short melodic, harmonic, or rhythmic figure, clearly identified
so as to retain its identity if modified on subsequent appearances, is associated with
a particular person, place, or idea and assumes different meanings or functions in the
dramatic and musical development, because of its modification in terms of rhythm,
harmony, orchestration or dramatic situation (Warrack 1980).
The technique of the metamorphosis can be used also as a particular form of
expression, when a well-known figure of the musical tradition is included in a
different work and used for parody or caricature, a sort of biological transplantation,
in which the implant assumes the characters of the region in which it is placed and
change completely its function, formal and expressive. One of the most extreme and
delightful examples of this technique is the suite The Carnival of the Animals by
Camille Saint-Saens (1886), in which the Galop infernal (commonly called the Can-
can) from Offenbach’s operetta Orpheus in the Underworld, which rapidly became
very popular in Parisian cabarets, is played by the strings at their lower register and
a very slow tempo, producing a grotesque and caricatural movement, as opposed to
the original lively and moving tempo, rhythm and articulation.
In the twentieth century, Dmitri Shostakovich often used metamorphoses of the
motives and themes from other composers, sometimes with humour, more often for
expressing deep emotions and thoughts. In his last symphony, he includes an
outburst of Rossini’s William Tell Overture as well as themes from Mikhail Glinka
and Gustav Mahler (Wilson 2011).
5 Conclusion
The examples can be multiplied ad libitum, as the principle of metamorphosis or
succession of function is the primary mean for the construction of form and for
modifying the expressive meaning of a composition, at least in Western music after
the Great Divide. In biology as well as in music, the construction of the form
through development involves a great deal of remodelling and transformation of the
initial simple organism, a cell in the case of a biological organism and the initial
theme or themes in a symphonic sonata form. The form, the dynamic structure, the
grammar and the figures, the mode of development of a musical work and the forms
and functions in a living organism resemble each other in such a way that music has
been thought, especially in the Romantic era, as a symbol and representation of life.
The close likeness between the features of the two kinds of forms and movements is
the basis for the univocal application in both domains of the same vocabulary that
stands for these characteristics. Biology and music are both at the same time an
epistemic and an aesthetic experience and both produce epistemic and aesthetic
emotions.
354 B. Fantini
123
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