Hasty, An Intervallic Definition of Set Class (JMT 1987)

Yale University Department of Music
An Intervallic Definition of Set Class Author(s): Christopher F. Hasty Source: Journal of Music Theory, Vol. 31, No. 2 (Autumn, 1987), pp. 183-204 Published by: Duke University Press on behalf of the Yale University Department of Music Stable URL: http://www.jstor.org/stable/843707 . Accessed: 21/06/2013 02:33
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AN INTERVALLICDEFINITION OF SET CLASS
F. Hasty Christopher
Duringthe pasttwo decadesa largebody of post-tonal compositionhas become increasingly intelligiblefromthe theoretical pointof view, largely the workof Allen Forte.The conceptof pitch-classset andthe systhrough tematicinvestigation of the relations of sets haveenabledthe theoryof posttonalmusicto free itself fromboththe anachronism of tonalparadigms and of motivic analysis.Doubtless,the success of the theory the superficiality of unordered sets in providing a basis for the studyof 20th centurymusic stems in partfrom the explicitnessand generalityof its fundamental concepts. These virtues have permittedmany scholars to contributeto the of the theorybothin its systematic elaboration andin its range development of application. In the presentessay I shall examinecriticallythe notionof set class (or collection class), a basic conceptof post-tonaltheorywhich I believe has definition.I havechosen a brief excerptfromthe first yet to findadequate of MiltonBabbitt's song, "Wiedereshen," cycle,Du, to providethe material for the examplesin this essay. Since Babbittis responsiblefor so muchof the conceptualstructurethat the following discussion engages, it seems that a work of his should providethe startingpoint for our appropriate investigation.' The first measureof "Wiedereshen" (Ex. la) may be takento present 183
8 =4
mm3p 3
Dein Schrei -
1.Ipp
ten bebt
p
3-4
mp m
34
pI
b.
8(+12)
7(+24)
4(+24)
11(+12A
Example 1
184
threeformsof set-class3-4; E6, E, Abfollowedby the transconsecutively relatedformG, A6, C followedby the inversion C, B, G. I wish positionally to examinecarefullywhatthis assertionandotherssimilarto it can be taken to mean. the firsttwo instancesof set-class3-4, we mightsay thatto Considering indicatethese structures implies that on the thirdbeat of this examplewe can heara new sonority,differentiated somehowfromthe firstsonority,yet is necessaryif a set is to be soundingin some way like it. Differentiation conceivedof as an entity with distinctproperties thatmay be transformed or comparedwith other entities. This determinate, thing-likeview seems accorded to the notion of set. Likeness here may be generally pitch-class takento mean"composed of the same or similarintervals." In the present case the intervalclasses found in each of the two trichordsare the same while the registralintervalsare similar(Ex. lb). Differentiation and likeness are reciprocalterms of structure that interactin very complex ways. For instance,could not the intervallicsimilaritywe have noted incline us to hear a continuityin the intervallicrealmratherthan a segregation into two discreteentities?The intervalclass 4, which transposesthe first trichordinto the second, is an interval thatappearswithineach trichord possibly makingthe distinctionbetweenthem less plausible.Such questions arethe provinceof segmentation or structural formation andarebeyondthe an analysisof this scope of the presentinquirywhich is not directedtoward work.Forourpurposesit will be assumedthatthe pitch-classsets indicated in Examplela are differentiated, autonomous structures. This assumption will allow our attention to be focusedexclusivelyupon questionsof similarity and equivalence. The concept of set class has achievedits powerfulgeneralitythrough abstraction. Whatdefinesa set class must surelybe the interprogressive vallic relationsamong its pitch-classconstituents,not the pitch classes themselves (alreadyhighly abstracted) nor their temporalorder nor the myriadother possible relationsand qualities which inhere in an actual musicalstructure. These abstractions, however,are not purenegationsbecause the excludedqualitiescan be recovered to gaugethe degreeof transformation a set undergoes or the similarityof variousformsof the same set class. Specific characteristics that are omitted from the definitionof an class are not deniedexistencebut rathertakeon the character equivalence of variableterms. In this way the conceptof set class while existingon a differentplane from any of its concretemusical manifestations holds all these as possibilities.Moreover, the notionof set class, since it rests on a series of abstractions, can to some extentorganizethese possibilities.For of temporal example,while pitch-classset has eliminateda determination in fact orderingfrom its elements,such a determination may intensifythe relationof members of the same set class. Assuming thatthereis some sort of correspondence betweenthe pitch classes of membersof the same set 185
of these is essentialto the "equivalence" class andthatthis correspondence sets, the temporalorderingof pitchclasses may in varyingdegreesmatch of temporal ordercan takeits meanThusthe category this correspondence. ing from the more abstractset class. We could in principleeven establish a scale of possible orderingsfrom the maximumto minimumsimilarity Likewise many other propertiesabbased on set-class correspondence. stracted out of a pitch-classset may,operating singlyor in concertwith one in the relationsof pitch-classsets. another,finda principleof organization we maketo createthe conceptof set class are in this The generalizations Such generalization sense nevercompletelydetachedfromthe particulars. connectionof these particua moresystematic mayin factbe a step toward lars. And, thatsuchconnectionsarepossibleclearlyshowsthe productiveness of the conceptand its potentialas an organizingprinciple. thusfarmustnow An elementary questionthatI havetriedto circumvent thatallowsthe formation Whatis the principleof equivalence be addressed. this questionlet us return of the conceptof set class? To begin answering to the openingof DU. It was assumedthat there are two instancesof the single set class 3-4 foundin the beginningof this passage.If we know in whatis meant we will understand whatwaythey are considered equivalent is that these this to answer The class. set pitch-class question customary by related.The operationof transposition sets are transpositionally (or posto eachelementof a given set yields appliedexhaustively sibly of inversion) this accountwhenpressedwill notprovide a set of the sameclass. However, of set class. We mightsay that in the case of transpositionally a definition relatedsets each pitchin one of two so relatedsets is relatedby a specified interval(modulo 12) to a single pitch in the other set, and thus whatever in the second.But or definesthe one set is replicated characterizes structure simithe conceptof set class, we mustlocatethe fundamental to understand will itself havesome structure larityit seeksto establish.This characteristic operations?From the bearingon the way we interprettransformational thatsince all the eleof view one absurdly, argue, might point operational mentsof one set sharepreciselythe propertyof being relatedby a single not sharedby interval(mod 12) to the membersof anotherset-a property From this as a structure. unified are of this outside set-they any pitch definitionwe must assume that the structural propertiesthat define a set class come into being only when a set is comparedto anotherset of the same class or perhapsthata single instanceof a set can acquirethis propinto itself at t = 0. I bringin this argument only erty by being transposed set-classmustbe given to indicatethe fundamental problemof circularity: before operationscan be performedwhich can be claimed to determine in a set class. membership to defineset class it will be usefulto pursuefurther In attempting probin general.It is statedwithout and operations lems involvingtransposition andinversion thattransposition literature the theoretical disputethroughout 186
are relations,that sets are "related by" these operationsor mappings.We what sort of is impliedhere. Operations may reasonably relationship askl as eternalrelationmaybe viewed fromthe logical, axiomaticperspective of anyparticular The (musical)manifestation. shipsexistingindependently of addition mathematical as a universal maybe regarded operation property of number,a relationcompletelydetachedfrom any activity.On the other as a realoperation or humanactivitywhich hand,addition maybe regarded mathematicssymbolizes-the linguistic developmentof the concept of numbercertainlypointsto this interpretation. Howeverthis issue mightbe a theoryof music which hopesto comprehend the arguedfor mathematics, structure of soundingmusic will haveto considerwhetherits operations or relationsare divorced from acts. If we say that two sets are relatedby definedas a one-to-onemapping,we may be asserting,for transposition example, that there is a functionalrelationshipestablishedbetween the intervalof transposition and the corresponding pitchesand thatthis can in some waybe detectedin the sensuousmedium.Orwe maysimplybe assert(whatever ing a formalconnectionbetweentransposition rangeof musical possibilities this may encompass)and arithmetic.One might point to a musical instancein which a demonstrable operationstronglycontradicts hearingor intuition,but this would in no way impugnthe logical validity of the operation.Such a divergence of the experiential and the logical will never cast doubt on the integrityof the group structuregoverningideal transformations.3 If we wish to bringthese two quiteproperlydistinctworldstogether,as we are compelledto do in attempting a musicalanalysis,then relationsor must some of their and timelessnessto take operations give up universality on the character of actualconstructions, thatis, theywill come to be viewed as structuring rather thanas immanently structured. Followingthis pathwe are led to ask what sort of act is, for example,transposition. In response we shouldfirstrecognizethattheremaybe manyresultsof such an operation. Thus in transposing a 12-toneset we can point to variouspatterns of or order inversions,and even syschange, such as pitch-classinvariance describesuchphenomena, butthese resultsof the operation are tematically not the operationitself-it mightin fact be possible to performa different operation yieldingthe same sequenceof pitchclasses fromwhichperspective we could view the patternof transposition relationsas a result. The difference betweensuch "equivalent" will havesignificant methoperations to applyits operaodologicalconsequencesfor any theorywhich attempts tions to the analysis of music. (Note for examplecases where identical resultscan be reachedby the different of transposition or inveroperations sion appliedto inversionally sets. Such possibilitiesmay ensymmetrical rich the structure of the mathematical groupbut pose seriousproblemsfor musical analysisif the notionof equivalenceis strictly maintained.) Since operations arecustomarily giventhe formof one-to-onemappings 187
the act of relatingcorresponding pairsof pitchesis suggested.Presumably, each pitchof one set is somehowconnectedto a single pitchof anotherset of such colby a fixed interval.In orderto sense the set-classequivalence thatis, we musthearthis sense this connection; lectionswe musttherefore fromExamplela are extracted fixedinterval.In Example2a two trichords in a simplifiedformretaining andpresented only the qualitiesof pitchand order.(In Examples2 and 3 intervalsare labeledby the number temporal modulo 12 fromthe firstnote to the the "distance" of semitonesmeasuring are shown second. Plus and minussigns indicatedirection.In parentheses are arranged Herethe pitchesof the secondtrichord octavedisplacements.) of Ex. la) to expose an identityof (in a perhapsartificialinterpretation Even with related orderamongcorresponding transpositionally elements." thatour sense of the it is quitedifficultto imagine the help of this ordering of thethree of thesetwo sonoritiesmustarisefromthe perception similarity of the same interinstances three the that such bracketed intervals, hearing val type-E-AL, Ak-C,EL-G-we arriveat an intuitionof equivalence.My is not of the auralvalidityof theseone-to-onecorrespondences questioning as a mapmodelof transposition of the operational meantas an indictment of set ping but ratheras a test of its limits. In Example2c the replication class is perceptually very immediateand one easily senses the tranposiin partbecausethe Thisperception tionalrelationship. maybe strengthened withinthe triinterval with not confused is of transposition, interval 3, any chords and because the intervalof three semitones, being the smallest intervalpresented, is not challengedby other intervalsfor relation by both beregistralproximity.Yet, the interval,8 (modulo 12), appearing andwithinthemmayto some extentweakenthe relatweenthe sets (EL-G) tionship in question. Example2d rectifiesthis problem. Because of the these examplesdo not satisnecessarycomplexityof musicalphenomena, to the transpositional which contribute factors the isolate specific factorily are changed.This all is feature if one relationships changed relationship; is of coursethe markof wholeness.Nevertheless,as one listens to Examples 2a, b, c, and d, a particularsort of connectionemerges, absent in Example2a and quite strongin Example2d. after our experiencehas not If inquiringvery brieflyand superficially it to some extent. Even the few settledthis issue it surelyhas illuminated observationswe have made in connectionwith Example2 indicatethat as an actual operationconnectingpitches is a special and transposition of the relationsof sets of the same class. attribute "abstractable" therefore of transduration Like temporal order, pattern,and so forth,the operation The of set class. the held a structural is concept by possibility position a small selectionfromthe of Examples2a-d represents scalararrangement whole rangeof such possibilities. is an attributeof the set rather Even if the possibilityfor transposition than the foundationor groundof the set, it is nonethelessa necessary 188
a.
b.
+4
-8(-12), +7(+24)1-7(-24)I+4(+24),-5 intervals:
-8(-12), +7(+24)1-7
1-8(-12), +2
+7(+24)
.+3
d.
+3
+3
+2
+2
-8(-12)
+7(+24)-8
-8(-12), +7(+24)
-8(-12), +7(+24) f.+3
-10
-8(-12), +7(+24)
e.
V-+3
-3
-8
3-4
+7
-8
3-11
+5
3-4 3-1
Example2
a.
S11 x
b.
(+24)
8
(+12) 11
8(+12) S7(+24)
12) C+ 11
8(+12
7(+24)
d.
11
1
8
17(+24) 8(+12) x
7(+12)
y
3(+12)
C.
3-3
S7(+24) 8(+12)
8(+24) 7(+24) 7(+24)
11 7(+24) 8(+12)
11(+12)7(+48) 8(+24) "
Example3
189
attribute; everyset thatwe call a memberof a set-classcan be transformed into any othermemberof the class by transposition cou(or transposition a with From of view us now different let inversion). pled point inquirewhy the operationof transposition-evenwhen conceivedaxiomatically, apart of servingas a basis for the definition of froman actualevent- is incapable set class. Wemustbeginwith a briefexcursus threetypes by distinguishing of pitch-intervalic J-Pitch intervalsi and i' areJ-equivalent equivalence: if and only if i = i' in exact semitones;hence the interval-3 semitones is not equivalent to +15 semitonesor to -9 semitones.K-Pitch intervals if and only if the followingconditionsa) and b) i and i' are K-equivalent in exactsemitones, arebothsatisfied: of i andi', measured a) the difference is divisible by 12 (numbers "divisibleby 12"are 0, ? 12, ? 24, and so forth),andb) i and i' havethe same sign; thatis, bothare positiveor both are negative.Here +3 semitonesbecomesequivalent to +15 or +27 semitones;thus we speak, for example,of parallelfifthsrarelyfindingit necessary to make a distinctionbetweenfifths and twelfths. L-Pitch intervals if and only if condition a) above is satisfied. i and i' are L-equivalent the relations Throughthe registralinversionof two pitches(i.e., inverting and "below") in additionto allowingdisplacement of "above" by octaveor octavemultiple,the interval+3 semitonescan be regarded as equivalent to -9 semitones.While severelyrestricting its application to the bass, classicaltonalmusicallowsthis sortof variability to occurquitefreely.Another sort of equivalence, "interval-class" (M), will be consideredlaterwhen we intervalin more detail. investigate In each of the Examples3a-d the secondtrichord,Y, is "related to"or wherethe of transposition the first,X, by the operation "transformed from" value of the operatort is 3, or more succinctly,Y = T (X,3). Since the on pitch classes and resultsin pitch classes, there operationis performed If we endowthe transposiof possiblepitchrealizations. are a vastnumber tion operatorwith more intervallicselectivity so that it can discriminate listedabove,we findthatunlessthe operaamongthe threetypesof interval tor has a fixed numericalvalue the degree and type of intervallicchange effectedby the operationcannotbe predicted.ConsiderExamples3a, b, +3 on the lowerstavein Example3a a transandc. Forthe transpositions in by an octave)has been substituted position +15 (+3 displacedupward of the set is Example3b. The resultingchangein the intervallicstructure the two sets in Exambelow each trichord.Comparing shownby numerals ple 3b we see that one interval(+11) remainsthe same and two intervals are alteredby octave displacement.By applyingthese same intervalsof to different pitchesof X as in Example3c we can generatea transposition to set X, set Y of Exintervallic structure. set of moredissimilar Compared relationships typesof intervallic ample3c exhibitseachof the threedifferent listed above.Conversely, Example3d appliesthe threetypes of intervalas to producein Y a structure very similarto thatof X. transposition operators
190
as employed Now it maybe objectedthatthe operationof transposition in the customarynotion of set-class equivalenceavoids any involvement deals only with abstract with such issues since the operation pitchclasses. this is true. There is no questionof contradiction in this usage, Certainly but only a questionof the relationof this model to the phenomenon it is can shed some light on this relationmodeling.The abovedemonstration ship.It shouldbe recalledthatin Example3 a-d the lackof correspondence and the structure of the transformed betweenintervalsof transposition set did not occurbecausea too abstract or too generalkindof interval-type was unfairlyasked to be responsiblefor finer discriminations-thedistinction of 3 intervaltypes was given both to the transposition operatorandto the of sets. The reasonfor the failed correspondence is that the comparisons of takes from outside the of the set. context operation transposition place It is a mapping of single pairsof pitchclasses (or possiblyof pitches)without any regardfor the relationsto pitchesoutsidethe pair. This atomism producesthe analyticdifficultiesseen in Examples3 a-d since in orderto describe the intervallicstructureof a set we have to regardthe set as a whole. a fundamental here arisesfromthe distinction between Perhaps problem pitch and interval.We may regarda set as a collection or aggregateof pitchesor pitchclasses, but to view a set as a whole we turnour attention fromthe collectionof objects(or pitches)to the totalityof relationsamong those objects. Traditionallythese relations are expressed as intervals fromthe list abovethatthis is a complex (thoughit shouldbe remembered sort of relationship involvingseveraltypes of interval).Movingfromset to set class, we assert some similarityamong all the membersof the class, commonto all suchsets andonly such sets. Surely,this common something propertyhas nothingdirectlyto do with the pitches (or pitch classes) as suchbut rather with the similarity of intervallic relationsamongthe pitches of sets belongingto the same equivalenceclass. Nevertheless,the customof transary meansof expressingthis similarityis throughthe operations position and inversionapplied to individualpitch classes mappingeach elementof a set into the corresponding set. As pitchclass of an equivalent such mappings suggestedearlier,the possibilityof performing presupposes an alreadyformedset; it does not createor foundthe set itself. Since mapbe inclinedto say that ping can replicatea foundedset we mighttherefore this replication createsthe equivalence such an explanation class; however, leaves the natureof the set itself undetermined; from this perspectivethe set could be describedsimply as an aggregate of pitch classes. In an attempt to understand the internal structure of the pitch-class set we are led to considerthe totalityof intervalsformedamongthe pitchclasses of the set. Theconceptof interval-class vectorrepresents thisholisticunderstandingof set structure.In the case of set-class 3-4 the intervalvector, showsin the formof anarray theuniqueintervallic structure of this [100110], 191
set class: thereis one instanceeach of intervalclasses 1, 4, and 5 formed amongwhateverpitch classes mightconstitutemembersof this set class. It is these intervallic relationsthat formthe set as a structural whole, and it is the identityof these relations collections of pitches among.various which promptsus to regardthese collections as similaror in some sense While the interval vector structure of the "equivalent." displaysthe internal to the pitchclasses amongwhich the intervallic set, it makesno reference relationsaredistributed. In this sense the pitch-classrepresentation andthe intervalvector representation complementone another.But this is not a since the two principlesexcludeone another productive complementarity, so completely;insteadof creatinga universethroughtheirmutuality, each lays claim to the whole. The intervallic relations,then, arewhatmakea set out of the constituent pitches:priorto the set thereare no "constituent" pitches.Once formedas thesepitchesmaythenbe subjected to transformations. constituents, Applyto each of the pitchesof the set presumably ing the same transformation of the originalto the transformed guarantees similarity product?The interval vectorprovesits usefulness whenwe wish to considerthe set as a whole; for example,when we wish to determine the invariants betweentwo transrelated sets or wish when we to compare sets of different positionally classes or the relationof a set class to the set class of its complement.On the otherhand,when we attend to transformations of set classes ourunderto comprehend the totalityof the standingof whole changesin an attempt transformations -hence the attention the structure of the operations given themselves.Since the operationsare translated into a modulararithmetic their systematicinter-relationship can be very powerfullydescribedusing the notionof the mathematical group. The ideal reciprocity of the two perspectives outlinedaboveis seriously In these compromised by the anomalyof the Z-related pairsof set classes.0 or inversionperversely cases sets which cannotbe relatedby transposition presentthe same intervalvector,and as yet there has been no "canonical foundwhich can mapeach of these thirty-eight set-classes transformation" into its correspondent intervallically equivalent mate.'Even if such a transformation were to be found,there is reasonto doubtthatthis would reinset-class equivalence. state the intervalvector to the role of determining Such a reinterpretation could only be possible if the new transformations and of transposition could be systematically reconciledwith the operations inversion.Even if such a solution were foundthere might still be some objection to the. perceptualobstacles presentedby this special sort of of these two factors,the sysequivalence.It is doubtlessa consideration whichhas, in the face of the anomolycausedby tematicandthe perceptual, of interval vectorrather thanthe in the abandonment the Z relation,resulted in the definition of set class. This is an unfortuabandonment of operations nate loss; particularly if, as I have arguedabove, the intervallicstructure 192
of a set is the essential propertycomparedto which the operationsthat This is relatea set to othersof its class can be viewed as epiphenomena. tied to the are necessarilyintimately not to denythatsince transformations structuresthey transform,the operationalperspectivecan reveal a vast range of propertiesof the twelve-tone universe. The susceptibilityof has enabledmanyscholarsto conto systematization twelve-tone operations tributeto the creationof a very potent theoreticalinstrument.And yet, view becomes the operational divorcedfromits complementary perspective whole. This be taken for the to when it demands view, because misleading it is atomisticandtakesthe elementsof a set to be points,simplequantities, andaway the thing-like,the quantitative toward will tendtoward reification, andperhaps the less sharplydetermined. the qualitative fromthe relational, In order to begin bridgingthis differenceI shall attemptto establishan intervallicdefinitionof set class. of pitches not as a givencollectionor aggregate A set maybe understood or pitchclasses, but as a genuinewhole definedby the totalityof intervallic relationsamong its constituenttones. There is a reciprocityor dialectic musicalintervalis the relationof pitchesand so unitingpitchand interval: is clearly dependentupon pitch; conversely,pitches are dependentupon as constituents or tones. (As intervalor relationif they are to be regarded to use we begin consideringthe relationof pitches it may be appropriate from of shiftingour attention This usagehas the advantage the word"tone." the distinction the musicalandallowsus to circumvent toward the acoustical is not useful.) As this distinction marked by pitchandpitchclass whenever severaltypes. We is a complexconceptcomprising notedearlier,"interval" in orderof increasinggeneralityor abfourtypes, arranged distinguished us from stractness: J, K, L, M. Whilethereis apparently nothingto prevent relationsto definethe set, thereis reasonto takingany of these intervallic to the most generalor incluby giving preference begin our investigation L holds so must the relationK, but the reverseis if relation thus the sive; not true. On the basis of the foregoing,the intervalvectorwould seem to be an of set structure-it lists all the intervalsformed excellent representation of interusing the most generalinterpretation amongthe set'sconstituents, class" (our M). The usefulnessof this theoreticalconval, the "interval of the of the importance structionis, however,limited by its suppression constituent elementsof the set over againstthe relationof these elements. This difficulty becomesapparent whenwe look moreclosely at the concept of "interval class." Let us begin by inquiringfurtherinto what the notion of intervalinvolves. In Example4a two tones are heardin relationto one another.We are not concernednow with theirtemporal orderof presentation-Acould or other tones precedeor follow C, they could be playedsimultaneously, withtheirrelative Likewisewe arenotconcerned durations, mightintervene. 193
a.
b.
-Register A
C.
-Registralorder -Register
d.
-Registralorder -Register
A= -3 C=+3 J
A= -15 -3 C=+15= +3 K
A--+9 -3 C=-9 +3 L
A= 3 C=3 M
Example 4
C (11 86)[146] ) [135] -* C#

F# (2 5 6)[256]
E (1I" (10 4)[234] --------
.--C (11 5)[135] C# (1 10 6) [126]
D#(2
8) [234]
G (4 7 6) [456]
4-Z15 [111111]
4-Z29 [111111]
b.
set class 4-Z15 (10 3 4) 0 10 10 3 3 4 4
0
-0.
O-i
0-0 0-i1 0-i2
il i-0 il -il il-i2
i2 i2-0 i2-i1 i2-i2
... .. . * ?
in-1 in-1-0 in-1-i in--i2
-0 -3 -4
0 9 8
-10 2
0
7 6
5
0 11
6
1 0
-i2
-in-1
0-in-1 c.
i -in-1 i2 -in-1
in-1-in-1
D (1 4 6)
. .. 4-Z15
SA#(2 9 8)
C# (11 3 5) G# (10 7 6)
d.
1(46)
(2)9(8)
9 7
(10)7(6)
Example 5 194
loudnessor timbre.Theirrelationas tones is restricted to the sole domain of interval.We may call the intervalthey form "3 semitones" or "minor third,"but should not forgetthat in naminga single intervalwe are still presentedwith two tones, C soundingthree semitones above A and A threesemitonesbelowC. C as a tonehas acquired the relationship sounding or, we might say, the quality +3. It is this qualitythatmakesof the pitch C (c.524cps)a tone. This same qualitycan be heardin any isolatedpairof tones threesemitonesapart.A similarqualitycan be heardwhen the interval is expandedby an octave as in Example4b. In this example"minus meansthatexpansionor contraction register" by an octaveor octavemultinot is a distinctive so as the A remainsbelow the C. Our feature, ple long sense of the similarityof an intervaland its inversionis represented in Example4c. Here the categoryof registralorderor the distinctionabove/ below is mitigated so thatthe qualityof A, -3, is equatedwith the quality +9. Notice that -3 is not equatedwith +3. This distinctionis eliminated in Example4d, an interpretation to the notion of interval corresponding class and basedon a type of inversional equivalence.The operational perspectivedoubtlessinformsthis view of intervallic equivalence-the action of movingby threesemitonescan be carriedout in an upward or downward the purearithmetic of subtraction direction;or, more abstractly, operation which does not owe its existenceas number to this operayields a quantity tion. Whilethis understanding of interval in someconvaluable provesvery texts, it creates difficulties for the definitionof set by renouncingthe of pitchandinterval in favorof the hegemony of the latter. complementarity 4 illustrates, As Example the advancein abstraction marked 4d by Example is the eliminationof the distinctionbetweenthe two pitch classes-A and C are assignedthe samequalityand are thusundifferentiated.s The interval vectorheightens this separation of pitchandinterval by tallyingthe intervalclass contentof a set in such a way as to make it impossibleto infer from this list a pitch-classrepresentation of the set. Thatis to say,interval vector can be derivedfrom a set of pitch classes but not vice versa. It is, however, the intervallic structure of a set while possibleto represent the relationpitch/interval or tone. Forthis two alterations to the preserving interval-vector modelare needed.First, our representation of interval must in distinguishbetween the two tones. While each of the representations 4a-c do this, we will for the present takethe mostgeneral,ExamExamples ple 4c, for a model. (For the sake of economywe will eliminateplus and minus signs from representations of intervaltype L, substituting for negative integersthe complementary in Thus, positiveintegers. 4c, the Example intervallic attribute of the toneA will be called9 andthatof C will be called will referin turnto each of the tones of the 3.) Second,our list of intervals set. Example5a showssuch a representation appliedto two set classes, the Z-related tetrachords 4-Z15and 4-Z29. After the lettername of each tone as an integer)arelistedall the intervals (whichcouldof coursebe rewritten 195
are tones of the set. (Thesenumerals L thattone formswith the remaining interlistedin the ascendingorderof theircorresponding rather arbitrarily ThusC formsthe interval certaincomparisons.) val class simplyto facilitate 11with CI, 8 with E, and 6 withFR.(RecallfromEx. 4 that 11here means 11semitonesabove, 1 semitonebelowor anyoctavemultipleof these interthe intervallic comparison vals.) Againfor economy,in this representation of of a pitch class with itself has been omitted.Interval-class equivalents in Example5a to indicatea similarity these relationsare listed in brackets betweenthe Z-relatedsets. Note that two tones of 4-Z29 (C and DI) are as aretwo tonesof 4-Z15(C# relations of the sameinterval-class constituted and E). But since intervaltypes are mixed in each case there is no more relationhere thantherewouldbe in the reasonfor positingan equivalence situationsshown in Examples2e and f. parallel"operational" it conof set class is rathercumbersome, While such a representation and can for certainpurposesbe information tainsa greatdeal of structural Since each tone is definedin relationto the whole, the quality abbreviated. of anytonecan definethe set. Forexample,since C# in relationto the other membersof the set assumesthe intervallic qualities 1, 9, 7, we can, from the perspectiveof Ct, generatethe set by supplyingthe complementsof these intervals:11,3, and 5 (C, E and F#). Similarly,the set maybe transthe intervaland reconstituting any of its constituents posedby transposing of anytone associations Fromthe intervallic of thatconstituent. lic relations tones can be calculated of the remaining associations of a set the intervallic associaof the given stringof intervallic in turneachmember by subtracting in tions fromeverymemberof the string.This processcan be represented collecthe formof a matrixin which columnsand rowscontainunordered assotions as in Example5b. Here the variablein standsfor an intervallic the intervalthatpitch forms ciationof an unspecified pitchO representing of the set is represented with itself. The cardinality by the variablen. Thus associationscan serveto generateall the since any of the sets of intervallic by a single stringof n-1 integers others,every set class can be represented of the set class. where n is the cardinality (O being understood) This view of set class distinguishesinversionallyrelated forms but clearly allows for a special equivalencerelationbased on the principleof intervallicinversion.Inversionfrom this perspectiveappearsas a rather the set 4-Z15 and "outside." dialecticof "inside" Comparing Escheresque of Example5a with the invertedform shownin Example5c, note that all this situationfrom relationsare inverted.Example5d illustrates intervallic the point of view of the individualtone: the intervalsby which the other form tone becomein the inverted a particular elementsof the set constitute to the contonecontributes whichthe "corresponding" the intervals through not simof intervallic of the others.This "inversion" stitution relationships, where 5b of matrices in the illustrated is also of Example ply interval, inversionof the set results in the exchangeof columns and rows. From 196
this perspective we can abstractfrom inversionthe concommitant features of "directionality" (up/down)and axis which, like transposition, may or in not have a structural function an actual musical instance. may In Example5 intervalswere calculatedaccordingto our most general more specific intervallicqualitiesby emmodel, L. We can discriminate sets. In Example6 a series of six ployingthe relationsK andJ to represent comparisonsis made. In each case a differentform Y of set class 3-4 is to the fixed formX. While all the trichords in Example6b discompared associations,only Examples 6a, b andc display playthe sameL-intervallic the same K-intervallic associations,and, of these, only Example6a maintains the same J intervals.K and J may be consideredsub-classesof set andindeedthe qualitative differences equivalence, positedby these distinctionsare, I believe,perceptually quiteclear(thatis, to the extentthatExamples 6b and c as a groupcan be heardto differfrom Example6a and that Examples6d, e and f as a groupcan be heardto differfromExamples6a, b and c as a group). The variousformsbelongingto any of these equivalence classes are of course undifferentiated as membersof that class. But since we aredealingherewith threelevels of abstraction it maybe possible for the membersof one of the classes to be orderedaccordingto their intervaltype. Thus, for degreeof similarityas measured by a less abstract 6b andc areundifferentiated in theirK-intervallic example,while Examples Y in Example 6b sharestwoJ entrieswith X whereas associations,trichord Example6c sharesnone. It is not clearhow similarityshouldbe definedin all cases. Presumably the "orderof octave displacement" (the numberof octaves by which an is expanded interval or contracted) wouldbe neededfor comparisons. Even with this refinement we cannotorder,for example,Examples6fY and 6gY in theirsimilarityto X, nor does this distinction to havemuchaural appear justification.While such a rankingof similaritydoes not seem capableof all the possible registralformsof a set and may in some cases exhausting be of uncertainanalyticvalue, neverthelessit does point to an important featureof our definition of set class-that ratherthan simply abstracting a from an actualset of tones, the conceptis capableof single characteristic to some extentthe particular instancesit generalizes.This capaorganizing value since it createsa systematic bility is of considerable methodological whole from amongthe possible forms which a set class can assume. The analyticresult is that we can comparedifferentforms of a set class and that and, most importantly, judgeto someextenttheirdegreeof relatedness, this judgmentis based on the conceptthat unites them as a class. For an examplelet us returnto the firstmeasureof DU Again we will assumethatthis music can be segmented as threeinstancesof set class 3-4 labelledX, Y and Z in Example7. In this examplethe threeintervaltypes are listed togetherin the form e ((L) (K) (J)) where e is an elementof a set. In comparingsets, intervalliccorrespondencescan be considered 197
L: E (11 7) G(11 7) E(1 8) AS4(18) Ab(4 5) C(4 5) S EI(ll 31) G(11 31) E (-11 20) Ab(-ll 20) 7 f A?(-20-31) C(-20-31)
a
Ib
j b.
x
J: G(11 19*) Ab(-ll 8*) C (-8*-19*)

C.
J: G (23* 55*) Ab(-23* 32*) C (-3 2*-55
K: E6(11 7) G(11 7) BE(-118) Ab(-ll 8) A (-8 -7) C (-8 -7)
K: G(11 7) AbI(-1 8) C (-8 -7)
K: G (11 7) Ab(-118) C (-8 -7)
J: G(-1* 31)
Sd.
Ab(l* 32*) C (-32* -31) e.
J: G(23*"-5*) Al(-23* -28*) C (28* 5*)

f.
J: G(-1* -5*)J:G(-13*-29*) Ab(l* -4*) Ab(13* -16*) C (4* 5*) C (16* 29*)
g.
K: G (-1* 7) A6(1* 8) C(-8 -7)

*indicates lack of correspondence to X
K: G(11 -5*) Ab(-ll -4*) C (4* 5*)
K: G(-1* -5*) K: G(-1* -5*) Ab(l* -4*) A,(l* -4*) C (4* 5*) C (4* 5*)
Example 6
198
or morespecificor concreteas theyappeartoward the left of the "stronger" array.As we saw in Example6e, X and Y are not closely related.If we recognizeinversional equivalenceof sets then, while Y and X shareno Jintervallic in commonwith each. The associations,Z has one such interval structural significanceof this sort of analyticobservationwill of course contextthanwe haveexposedhere, but since dependupona muchbroader the variousdomainsrepresent discretestructural realms,it is advantageous to describetheir"internal" before to describetheir organization attempting interaction.10 The structural possibilitiesof any domainwill of course be realized(or suppressed)in varyingdegrees by interaction with other domains. Forexample,notice thatthe J-intervallic connectionof set Z which is least similarto the intervalsof sets X and Y-G (-16), B (16)-is rhythmically and timbrallymost clearly exposedin the second half of measure 1 of DU (See Ex. 1). Indeed there are many factorswhich in this first measuresubvertthe relationships shown in Example7. In the aboveexampleswe haveexploredthe conceptof set class through of different as a useful comparisons pitchsets. In this light, set class appears instrument for analytic disclosing similarities,both obvious and hidden, momentsof a composition.The comparisons amongdifferent maybe interof sets or to indicatedegreesof relatedness pretedto revealtransformations amongsets of the same class. Thereis, however,anotherand perhapsprimarymeaningof the conceptwhichhas emergedin this inquiryandwhich we should now considermore explicitly. The formation of a class maybe thoughtof "extensively" as the aggregation of objects which share some characteristic. The comparisonof such whichencompasses all particular objectsrevealsthe unifyingcharacteristic This interpretation seems to be favored representations. by the operational view. Herethereis a tendency to requirea comparison of sets for the establishmentof the class. Thusto speakof any representative of the class reference must be made to a particular form ("primeform"or "representative thanto a generalformwhich includesall the membersof the form")rather class. In published varioussortsof "priority," analysesone oftenencounters - termswhich lackingsystematic collections "referential" definitionneverthelessshowan attempt to establishsome privilegedformoutsideandabove the proliferation of particulars. The need forcomparisons andthusthe need forreplication of formsthrough whichcomparisons canbe maderaisesquestionsconcerning the structural eventhe existence) (andperhaps significance of a single instanceof a set class. The positionoutlinedaboveandits attendantdifficulties stemfromthe absenceof a priordefinition of that"common whichunifiesthe particular andthusdefines characteristic" representations set class. ErnstCassirerstatesthis generalproblemvery clearly: . . it is evident thatbeforeone canproceed to grouptheelements of class andindicate themextensively a decisionmustbe madeas by enumeration, 199
(RI) (RI)
K 8) ( (
(
.
J 7) 8) (1 (!
i(
Eb(111 7)
x
E (1
31) ) 20) )
9)
(4 5)
( -8 -7)" 11 -5) ,
-20-31))
AM,( G ((117) Ab( (1 8)
(23
( -1 -4)
(4 5)
(-23
\(28
28))
))
C ( (1 5)
z
C ( (4 5) mI)I
B ((11 4) G ( (8 7)
(-1 (?5)
( -4 4) 5)
( 16) ( -16 5))
relations) (dottedlinesindicateinverse
Example7
200
to whichelements areto be regarded to theclass:andthisquesas belonging tioncanbe answered in the"intensional" onlyon thebasisof a classconcept senseof the word.Whatseemsto holdtogether the members unitedin the classis thattheyall meeta certain condition whichcanbe formulated in generalterms.Andnowthe aggregate itself no longerappears as a meresum of individuals, butis defined whosemeaning we can by thisverycondition, to ask in how manyindividuals it graspandstateby itself, without having is realized,or even whether it is realized in any individual at all." The representation of set 4-Z15shownin Example5a is intended to provide such a generalformulation. The four stringsof integersare common to all (non-inversionally related)formsof 4-Z15.(Recallthatthis set class couldbe represented by anyone of these stringssince the remaining strings can be derivedfrom it.) Here thereis no privilegedform, no replicawith which to comparethe set. While the termset class impliesin its extension a limitlessnumberof forms, it is misleadingto view the primaryfunction of the conceptas unitingall these possible particulars as a collective. Set class maybe viewedperhapsmore significantly as an interpretation of the totalityof intervallicrelationships presentedby a group of tones. Strictly It is speaking,a pitch (or pitch-class)set is a purelynegativeabstraction. a set of pitchesfrom which all otherdeterminations-order, duration,and so forth-have been removed(includingregisterif a pitch-classset). It is the conceptof set class which relatesthe set of pitches,andit is such relain the light of the tionshipthatmakestones of the pitches.A set considered structure as the "tonal" contextof the provided by set class maybe regarded but their pitches.Suchtones mayenterinto all sortsof otherrelationships, definitionas tones is dependentexclusivelyupon the intervallicrelationthe set. The functionof set class thus appearsas ships which characterize a means of penetrating the intervallicstructure(howeverthis may be defined) of a particular group of tones. Thattheremay be othergroupswhich possess the same characteristics is from this perspectivenot of primaryinterest. Where our interest is directedtoward the structure of a particular set we can use the term"set" to mean "representative of a set class."12Viewedin this way, the abstract relationsfrom conceptof set class definesthe rangeof possible(intervallic) which a particular set is realized.Set class is thus a theoretical instrument for describing"tonal" relationships. This formulation to the crucial analyticquesopens our investigation tions of what, in a particular musicalcontext,these relationships mightbe, how theyareconstituted, andwhatrhythmic andformalfunctionstheymay serve. HereI hopeto havelaid a moresecuregroundwork for the investigation of these highlycomplexissues which farexceedthe scope of the present essay.3 The analytic(and also systematic) of the descripimplications tion of set class I haveproposedsuggestnumerous avenuesfor futurestudy. 201
Familiar could be problemsof similarity,inclusion, and complementation in light of an intervallic reconsidered definitionof set class. Comparisons of sets representing different classes will revealvaryingdegreesof similarconstituent comtotal intervallic ity among pitches. Sets of quite different position may presentclose similaritiesamong some of their constituents. of the specific intervallicstructure of pitch colSimilarly,a consideration lectionsmightshow considerable betweensets of the sameclass. disparity While the aboveperspectivewill put into questionthe significanceof the saturationrelation,it could providea measureof chromatic complement wouldbe completedor closed to the extentall twelve pitch the chromatic classes assumeidenticalintervallic associations.I believe one of the more ramifications of the conceptof set class sketchedaboveis the interesting emphasisgiven to individualtones in the contextof sets. This changeof between perspectivemight in fact permitsome degree of rapprochement musicandtheoriesof tonalmusic,properlyso called. theoriesof post-tonal
% ko?t %Ise*
202
NOTES
1. I wish to thank Allen Forte and David Lewin for their sensitive reading of an early draft of this manuscriptand for their many valuable suggestions. 2. Lewin explicitly avoidsthis problemin the following definition:"By 'canonicaltransI shall mean an operationon pc's which is understoodin a given theoretical formation' context, to transform(the total contentof) any pcset into a pcset which is accepted as IntervalVector,My IntervalFunc'similar'inthat context."(my emphasis). ("Forte's Common-NoteFunction,"JournalofMusic Theory21 (1977): 195.) tion, andRegener's 3. I shall frequentlyreferthe discussion of set class to aspects of 12-tonetheory,particularly the notion of closure underthe operationsof transpositionand inversion. While a treatmentof unorderedsets does not necessarily imply a connection with 12-tone theory, there is some methodologicaladvantageto uniting these two theoreticaldomains in the present discussion, especially since many of the basic concepts of the theory of unorderedsets are derived from serial theory. I believe some of the conclusions of this essay have special implicationsfor the analysis of 12-tonemusic (considered as a "combinational system"),and I intend to pursuethis topic in a futurestudy. 4. The simplificationof Example la shown in example 2a may be worth considering in more detail. Our orderingof the second trichordmight be justified on the groundthat Absounds before C and the G follows C at the dynamic level of mp. In the case of Example la the transpositionaloperationE - Abrefers only to the second attackof Aband yet the first Abmust be heard as the second if we are to maintainthat order is preservedbetween these two "instancesof 3-4." I drawthe reader'sattentionto this problemonly becausethe ironyof this sort of situationhas not been sufficientlyappreciated in many analyses. 5. An analogy can be drawnto geometry if we substitutetrianglefor trichord.Given two angles we can constructany similar replica-of any size and anywhere in space. Or we can startfrom threepoints of a Cartesianmetricand operateon the resultantfigure (moving it about in space, changing its size, and so forth) by performingarithmetic operationsupon the three point coordinates,except that these operationsmust be so limitedthat the resultantfiguremaintainsthe same angles; hence, a squaringof quantities is, for example, disallowed. 6. It should be noted here that Forte, in "ATheory of Set-Complexesfor Music"Journal of Music Theory8 (1964): 136-83, initially attemptedto base the notion of set class on intervallic relations using the interval-class vector devised by Martino ("The Source-Set and Its AggregateFormations,"Journal of Music Theory5 (1961):22473.). Because of the problems introducedby the Z relation Forte subsequentlyabandoned interval as the determinantof set-class membership. A different intervallic of set class was proposedby RichardChrismanin "A Theory of Axisrepresentation Tonality for Twentieth-CenturyMusic" (Ph.D. diss., Yale University, 1969). This which Chrismancalls the "successiveintervalarray," later endorsedby representation Eric Regener under the name "interval notation" ("On Allen Forte's Theory of Chords,"Perspectivesof New Music 13/1 (1974-5): 191-212),succeeds in distinguishing Z-relatedsets (as does Forte's"prime form" from which it is derived) but does not explain the correspondenceof interval vectors. I believe these difficulties stem from the notion of intervalclass (or, alternatively,"directedinterval") and shall later propose a refinementto the interval-classvector which excludes the equivalenceof Zrelated sets.
203
7. In an important articleconcerning set-classoperations and intervallic relations, sets. Robert Morrisdiscussestransformations whichmapmanyof these Z-related an illuminating of the systematic of the Z-relation, difficulties Through investigation ata set-group Morris all Z-related arrives SG(vz),thatcollapses system, pairs through a setof transformational As Morris results out,thisaccommodation operations. points in an extraordinary of abstraction, forexample, Forte's fiftydistinct reducing, degree and hexachord classesto onlythree "SetGroups, (Morris, groups. Complementation, 26 (1982):101-44.) Sets,"Journal of MusicTheory AmongPitch-Class Mappings a different sortof relation thanthatof the seriesin Exs. a-c. 8. Example 4d represents to Ex. c results in Ex. d, we couldapplyit also Sincethis newperspective applied of interval to Exs.a andb to bring thetotalnumber typesto 6 (2 x 3)-two interpretabetween tionsof threefundamental sinceit annihilates thedistinction types.However, theinterval, thepitches or pitchclasseswhich"form" interval class(ourM) doesnot interto theset representation I amproposing. Notealsothat"directed strictly belong in one "direction" L, definesinterval val,"while it closelyresembles interval-type as does type L. thenin bothsimultaneously rather of the tonesG, AbandC to composeY is essentially since 9. The selection arbitrary, of the sets X and structures intervallic we areconcerned only withthe autonomous between the setsof eachpairandthecorresponintervallic relations Y. Thepossible of will notconcern us heresincethesearereallyquestions subsets denceof common relations of the examples.Thus if we admitintervallic alternative segmentations we or consider within theseboundaries of thetrichords subsets theboundaries across morethanone set class. Thiscouldof coursebe done,but it will haveto consider I pointthis at thisstageof ourinvestigation. to avoid suchcomplications is preferable of theseexamples doesnotreflect thereader thattheartificial outto assure simplicity limitation of the conceptset class. a necessary in PostandProcess of thisissuesee my"Segmentation treatment 10. Fora moredetailed 3 (1981): 54-73. MusicTheory Tonal Music," Spectrum 11. ErnstCassirer, Forms,vol. 3, ThePhenomenology ThePhilosophy of of Symbolic YaleUniversity Manheim trans.Ralph Press, 1957),pp. (NewHaven: Knowledge, 294-295. in TheStructure to AllenForte's 12. Thisuse of the term"set" of practice corresponds of thisusage, Inhiscriticism Yale Music(NewHaven: Atonal Press,1973). University of setandsetclassI have relation therather intricate (op.cit., p. 194)ignores Regener triedto sketchabove. the reader to confront theseissuesin somedetail.I refer I haveattempted 13. Elsewhere of Stefan fromLateWorks in particular to '"A Developed Theoryof Segmentation assoof intervallic in whichthe concept 1978) (Ph.D.diss., YaleUniversity, Wolpe" ciationis applied analytically.
204

Hasty, An Intervallic Definition of Set Class (JMT 1987)

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Yale University Department of Music

AN INTERVALLICDEFINITION OF SET CLASS

-8(-12), +7(+24)1-7(-24)I+4(+24),-5 intervals:

-8(-12), +7(+24) f.+3

8(+24) 7(+24) 7(+24)

11(+12)7(+48) 8(+24) "

C (11 86)[146] ) [135] -* C#

E (1I" (10 4)[234] --------

.--C (11 5)[135] C# (1 10 6) [126]

set class 4-Z15 (10 3 4) 0 10 10 3 3 4 4

0-0 0-i1 0-i2

il i-0 il -il il-i2

i2 i2-0 i2-i1 i2-i2

in-1 in-1-0 in-1-i in--i2

J: G(11 19*) Ab(-ll 8*) C (-8*-19*)

J: G (23* 55*) Ab(-23* 32*) C (-3 2*-55

K: E6(11 7) G(11 7) BE(-118) Ab(-ll 8) A (-8 -7) C (-8 -7)

K: G(11 7) AbI(-1 8) C (-8 -7)

K: G (11 7) Ab(-118) C (-8 -7)

Ab(l* 32*) C (-32* -31) e.

J: G(23*"-5*) Al(-23* -28*) C (28* 5*)

K: G (-1* 7) A6(1* 8) C(-8 -7)

K: G(11 -5*) Ab(-ll -4*) C (4* 5*)

AM,( G ((117) Ab( (1 8)

( 16) ( -16 5))

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J: G(11 19) Ab(-ll 8) C (-8-19)

J: G (23* 55) Ab(-23 32) C (-3 2-55

Ab(l* 32) C (-32 -31) e.

J: G(23"-5) Al(-23* -28) C (28 5*)

K: G(11 -5) Ab(-ll -4) C (4* 5*)