Music Analysis as Human Science?

'Le Sacre du Printemps' in Theory and Practice Author(s): Arnold Whittall Source: Music Analysis, Vol. 1, No. 1 (Mar., 1982), pp. 33-53 Published by: Blackwell Publishing Stable URL: http://www.jstor.org/stable/853990 Accessed: 21/06/2010 15:44
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ARNOLD WHITTALL

MUSIC ANALYSIS AS HUMAN SCIENCE? Le Sacredu Printemps in Theoryand Practice

The music analyst- even if he chooses to argue that his craft is a form of composition - will probably accept that at a time when the composer seems to enjoy greater and greater degrees of liberty, the analyst himself experiences and expects less and less freedom from precedent and strictness. The composer may have freed himself from any necessary concern with tradition,at least if he accepts Boulez's argumentthat it is positively unhealthy to be closely involved with the past (Boulez 1976: 33). But the present-dayanalysttends not to be taken seriously,at least by other analysts, unless his work can be directlyrelatedto that of his discipline'sfounding fathers. Like many kinds of modern scientist, the music analyst finds that his most significantprecursorslived in relativelyrecent times. But the true analyst, aware of the novelty of his discipline, is inclined to see this proximity as strengtheningthe need for strictness. It is by no means certain, therefore, that he will be greatly concerned with the possibility of relating himself and his work to broadertrends in cultural history, axiology or epistemology. If there is such a thing as a typical music analyst, he is someone who does not particularlywant to be set free within the loose, vaguely defined boundariesof intellectualhistory and culturalstudies. He is happiest with his own special technicalities,with terminologiesand definitions which have little or no relevanceoutside the sphere that immediatley concerns them, the musical composition. He may be appreciativeof the fact that severalmodern philosophershave made a special point of the relevance of music to their concerns. But he will doubt whether much of value can be gained, with respect to refinedtechniquesor deeper technical understanding, by considering music analysis in relation to something beyond itself: for example,the 'humansciences'. In the final chapter of Les mots et les choses,translatedas The Orderof Things,Michel Foucault writes that 'a "human science" exists ... wherever there is analysis- within the dimension proper to the unconsciousof norms, rules, and signifying totalities which unveil to consciousnessthe
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ARNOLD WHITTALL

conditions of its forms and contents' (Foucault 1970: 364). As far as I'm aware, Foucault has never brought music into his frame of reference, alare devoted to the disthough whole chapters of The Orderof Things by Cervantes.But by Velasquez, and Don Quixote cussion of LasMeninas literaryand culturalstudies togetherform one of the three human sciences which Foucault identifies- the others are psychology and sociology - and his view of the nature of the analyticalmodels employed by these sciences offers some thought-provoking perspectives. The human sciences are themselves derived from other sciences - psychology from biology, sociology from political economy, literaryand cultural studies from philology and their analyticalmodels stem from these parentdisciplines. 'From biolreceiving and reacting to stimuli, ogy they receive the notion of function; adapting to the environment, compensatingfor imbalances,in short, esEconomics, which depicts man seeking sattablishing and obeying norms. and, by isfaction for his needs and desires, provides the notion of conflict, Languageprovides the notion way of containmentof conflict, that of rules. of significationand system, which is an orderingof signs' (Sheridan 1980: 83). Not surprisingly, these models are not exclusive in their functions. 'All the human sciences can be used to interpretone another; intermediary and composite disciplinesmultiply endlessly' (Sheridan 1980: 83). But at the moment, in Foucault's view, it is the third model, deriving from philology, which is the dominant one. As a result, all the human sciences 'seem to be constantlyemployed in a process of demystification,of unveiling a reality that is less apparent, but more profound' (Sheridan 1980: 83-4). The music analyst may feel that this 'process of demystification'corresponds reasonablywell with his own concerns.But he might well prefer to argue that the 'human science' of which music analysis is part must be psychology, not literaryand culturalstudies: certainlythis will be so if his preferred analyticalmodel is that which Foucault sees as deriving from ... establishing and obeying norms.' biology - 'the notion of function Alternatively, since 'all the human sciences can be used to interpret one another',we might propose that the branchof literaryand culturalstudies known as music analysis functions most effectively when the biological model complements,or even dominates,the philologicalone. But it is the main purpose of this essay to examine whether there might not be a certain kind of music for which applicationof the model from political econand, by omy is essential- the model which 'providesthe notion of conflict, question music in In fact, the way of containmentof conflict, that of rules'. may be more concerned with conflict than with rules, and for that very reason it is especially difficult to employ analytical models which focus primarilyon function and system. It is in respect of this model from political economy, which Foucault relates most directly to the human science of sociology, that the philosopher's more general considerationof the nature and function of various
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analytical enterprises seems most significant. Foucault sees these as aspects of what he calls an 'archeological' activity, in which 'the aim is not to overcome differencesbut to analysethem' (Sheridan 1980: 109). 'In archeological analysis... contradictionsare neither appearancesto be overcome nor secret principles to be uncovered. They are objects to be described for themselves.'This offers an alternativeto the preferredmodern analyticalactivity, the search for unity and coherence, and to that 'ruling ideology' according to which 'analysis exists for the purpose of demonstrating organicism' (Kerman 1980: 315). It cannot be denied that 'the perception of "the Same in the Different", and of "The Different in the Same", is the origin of all hierarchyin social practice,as it is the origin of syntax in grammarand of logic in thought' (White 1979: 95). But when hierarchy, syntax and 'logic' are all challenged, it is likely that diversity will no longer be subject to unity, and that conflict may cease to be subsumed within a largercoherence. I have already amply revealed my amateur status with respect to the understanding and exposition of Foucault's philosophy. But the very atmosphereof his writings provides a powerful stimulus to a reconsideration of some of the most basic and cherishedassumptionsabout analytical procedure, especially with regard to the interpretationof difference, as opposed to similarity, and conflict, as opposed to conformity. In what follows, therefore,the issue of whether or not music analysis can usefully be considered a human science, and, if so, which of the three sciences it belongs to, is set aside in favour of the more concrete (and to me more congenial) matters arising from a study of one of modern music's most famous and familiarmasterpieces.Fundamentalto this study is the belief that conflict and difference,as representedmost essentiallyby the concept of dissonance, are central to the music's identity, and to its challenge to tradition. When it is difficult even to describe objects 'for themselves', 'archeological' analysismay of necessity be tentativeand primitive.But we have not yet reached the point at which all analyticalwriting can deal in valid absolutes. II
A more completeand coherentdescriptionis possible for a local structure regardedas a 'piece' in itself than is possible for that same passage when it is regardedas part of a largertonal structure.Such a situation is virtuallythe reverseof that of the tonal music we care about (Boretz 1973: 188). Chords can no longer be precisely named, nor can their identity be maintained in differing contexts. But it is important to realize that, even in stubbornly non-triadic music, the concept of the chord remains, by analogy at least.... In fact, only when the contrapuntal aspect becomes so strong that every element of each sonority is heard
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ARNOLD WHITTALL

primarilyas a point in a moving line, or at the other extreme, where the texture is completely pointillistic, is the chordal concept seriously challenged(Cone 1962: 42-3). ... juxtaposition itself affords an invaluable clue as to analytical method. For, confronted with the kind of 'discontinuity' it imposes... why burden ourselves with analytic-theoretical schemes of 'continuity' or 'coherence' which, if not entirely inapplicable, cannot be the most advantageous(the most compelling or instructive) since they ignore this most telling and conspicious feature? Why not accept abrupt 'block' juxtapositionand the referential implications, and proceedaccordingly?(van den Toorn 1975: 126). For a long time to come, the listener'sear must still be preparedbefore he finds dissonantsounds a matterof course, and can comprehendthe processesbasedon them (Schoenberg1975: 264).

Stravinsky himself has left some familiarwords from the 1960's about how he composedLe Sacre du Printemps:'I was guided by no system whatever in Le Sacre du Printemps.When I think of other composers of that time who interest me- Berg, who is synthetic (in the best sense), Webern, vzho is analytic, and Schoenberg, who is both- how much more theoretical their music seems than Le Sacre; and these composerswere supportedby a great tradition, whereas very little immediate tradition lies behind Le Sacre du Printemps.I had only my ear to help me. I heard and I wrote what I heard. I am the vessel through which Le Sacre passed' (Stravinsky and Craft 1962: 147-8). The picture is an attractively simple one: the three cerebral AustroGermans contrastedwith the instinctive Russian, whose ear was the sole arbiterof right and wrong. But even so authoritativea statementtends not to be taken too seriously in an intellectualclimate dedicated primarilyto the discoveryof unity, consistency, logic. The more comprehensivelygeneral the statementswe can make about a composition, the more of its elements we can relate to a single source, structuralprinciple or process, the more authoritativeour work is held to be. So even if the fact that Stravinsky was guided by no 'system' in the normal sense of that term is accepted, his admission that he proceeded by what made sense to his ear is sufficient to encouragethe analystto progressfrom sense to structure,and to define structure- and style - in ways which stress essential unifying forces. Stravinskyalso stated that the first musical ideas for the work were what he called the 'themes' of the second section of Part I, Les AuguresPrintaniers.In the 1960's Robert Craft was still more specific, with regardboth to the nature of those themes and to how Stravinsky thought of them technically. 'Stravinskyspent the summer [of 1911] in Ustilug ... composing the Augursof Spring, SpringRounds,part of the Rival Tribes,and the Introduction. He recalls that his first idea was the focal chord of Fb majorin the bass combinedwith the dominant-seventhof Ab in the treble
36
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(to adapt his own nomenclature,for he has always referredto the triadic combinationsin TheRitein terms of bi- or polytonality;at the same time, it should be said that he rarelyemploys and never thinks in the vocabulary of musical theory, and that he recently remarkedof this chord that he could not explain or justify it at the time but that his "earacceptedit with joy")' (Craft 1969: xvii). Craft filled out these remarksin his commentaryon the first page of the published sketches: 'The composer maintains that the ostinato in the centre of the sheet [which became Fig. 13ff. of the finished work] was his first notation for the ballet, but having watched him fill many similar pages, and invariablybegin at the top, my own guess is that the torso of the chord [Ex. Ia] preceded the full chord, and that it occurred to him melodically,by way of the Eb, Bb, Db, Bb ostinato in the second example. [Ex. Ib] Studying the page now, after fifty-seven years, Stravinskyagrees that this is probable'(Craft 1969: 4). And a decade later Craft referredto another sketch, not included in the 1969 volume, as the 'earliest known notation for the Rite', containing 'the motto chord of the entire work, togetherwith other basic harmonies'(Craft 1978: 597 - see Ex. 2).

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It is no surprisethat these musicologicalrevelationsshould have stimulated and influenced the activities of analysts, and at least some of these must now be considered. The possibility, offered by the composer's own genesis practice supplantedtheory has been statement,that in Le Sacre's swallowed whole by at least one writer, who inveighs against the modern propensity to exclude all apparent concern with the 'real-time' listening experience from analytical activity. He wages total war on the direction which thinking about music has taken over the last two centuries, and
Music examples3-10 of this article are taken from the reductionfor piano duet by the composer and are reproducedby kind permission of Boosey Hawkes Music Publishers Ltd., as are Exs la, b and c (adapted),which appearin the Sketches(1969), p. 3. Ex. 2 is by V. Stravinskyand R. Craft (New quoted from Stravinskyin Picturesand Documents York: Simon and Schuster, 1978),p. 597.
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ARNOLD WHITTALL

offers what he calls an 'absurdexample'of the quandaryof the traditional kind of harmonic analyst. Referring to the 'focal' chord of Les Augures Printaniers, he declares: 'there is no harmonic analysis called for; it is simply a question of how the composerplaced his hands on the keyboard. It was this bodily placing of the hands which gave birth to the sound, and not some theoretical idea that made it possible' (Smith 1979: 178). And this point has alreadybeen made earlierin the same volume: 'this juxtaposition of two hands on the keyboard was never conceived intellectually, and defies classic analysis in terms of functional harmony' (Smith 1979: 70). Smith does not attemptto argue that the whole work might be analysed in this way, by charting some sort of manual choreographyto show how the right notes were discovered.But his aim is evidently to underminethe foundations of an analysis which proceeds from intellectual, theoretical premisesratherthan from expressive,practicalones. He is not suggesting that Stravinsky'sintellect played no part in the creation of Le Sacre,and his implicationthat speculationabout the nature of such mental actxvityis futile has much to commend it: the recreationof the process of composition, even with a work so well documentedwith surviving sketches and statements,is an impossible task. But to confuse the way in which a particular sound was probablyinvented with the way in which that sound may function in relationto other sounds is a seriousand fundamentalflaw. Two other areas of recent analyticalenquiry are considerablymore important. First, Lawrence Morton (1979) and Richard Tarushkin (1980), workingindependently,have confirmedthat Stravinskyused specific folkmelodies for his materialto an extent which had not previouslybeen made apparent,and which may give a new slant to his remarkthat 'very little immediate tradition' lay behind the music. Second, Allen Forte, in his book TheHarmonic Organization of TheRite of Spring, has boldly developed the thesis that, TheRiteof Spring is unified not so much by literally repeatedformations,although there are a few instances of this, or by thematic relationshipsof a traditionalkind, as by the underlying harmonic units, that is, by the unorderedpc sets, considered quite apart from the attributes of specific occurrences. In this respect, TheRite of Springresembles the extraordinary early atonal works of Schoenberg and his students, and, indeed, from our contemporaryvantage point it has more in common with these works than with the later works of its composer- in particular,with the so-called neoclassicalworks, at least as we understand them now' (Forte 1978:28). These two enterprisesmight seem to be complementary,if not actually opposed; the work of Morton, and Tarushkin, appearsto strengthen the case for the work's structural, harmonic basis in the kind of modality found in its folk sources, while Forte's implication is that, in its most essential proceduresand characteristics,Le Sacreis atonal. Nevertheless, the two approachesshare a basic concern with the pitch-content of the
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music, and analytical perspectives may be very different if, like Pierre Boulez, the analyst sees the music in relation to 'an essential simplification'in which rhythm achieves pre-eminenceover pitch (see Boulez But even the painstakingexplorationof rhythmic hierarchies I953/I968). and symmetrieswhich Boulez's analysis offers cannot avoid all consideration of the actual pitch-content of chords and cells. Nor does Boulez attempt to argue that there might be some sense in which the actual pitches are simply the arbitraryor accidentalmeans for giving appropriate density and colour to more essential rhythmic structures.Whether or not Boulez's work on those rhythmic structuresis definitive, it is with pitch that lateranalystshave been most consistentlyconcerned. Robert Craft has expressed guarded approval of Allen Forte's settheoretic treatment of Le Sacre, and there is no necessary inconsistency between Craft's description of the composer's own avoidance of 'the vocabularyof musical theory' and his later claim that Forte has provided 'the long-awaited analyticalmeans with which Stravinsky'sharmonic system can be understood'(Craft 1978: 593). But with the discoveryby Morton and Tarushkin of the composer's adaptationof particularmelodies from MelodjeLudoweLitewskie(Cracow 1900), and also from Rimsky Korsakov's 1877 folksong collection, the issue of the basic nature of the musical substance deriving from that material, and its possible connection with any 'harmonicsystem', has become still more challengingto analysts. It is becauseof the simple and explicit modalityof this material,and the clear associationsit seems to invite with some aspects of the Russiantradition in particularand musical nationalismin general, that most of Allen Forte's critics have objected to the discussion of something called 'harmonic organization'without referenceto theories of modality, tonality, or some fusion of the two. And these critics have not been satisfied, given Forte's title, with his disclaimerthat 'I will makeno attemptto cover such featuresof the music as tonality, large-scalelinearconnections,register,or (Forte 1978: 29). RichardTarushkincomments, with referorchestration' ence to a passage from the Jeux des Cites Rivales, Fig. 60 (Ex. 3): 'Forte flatly asserts that "it is not structuredin terms of functional harmony"' (p. 59). If, on the otherhand,one looksat the passagefrom the point of view of functional harmony (and pretty simple functional harmonyat that, allowing Stravinskyhis fair share of double inflectionsand added sevenths), there is no problem.... The shift of tonal centre, involving a progression to the submediant,is standardRussian fare' (Tarushkin 1979: 123). And

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ARNOLD WHITTALL

RobertMoevs, in a commentcited by Tarushkin, proceedsfrom an interpretation of what he calls Stravinsky's 'simplification of... attributes central to the European tradition', in whichharmony is reduced to 'nearstatictriads' (Moevs1971: 92). Moevsinstances a passage fromthe Cercles Mysterieux(Figs 91-3) whose 'statictriadicfoundation is given color or tension if not harmonic movementby the additionof nontriadic notes' (Moevs 1971: 94). In this instance,Moevsargues(p. 93), the necessary tension is producedprimarily by the use of degreesof B majorand B minorscales. In his laterreviewof Forte'sbook, Moevs makesa bold, inclusiveassertion:'The Rite of Spring has a basic tonality:D minor' (Moevs 1980: 103). But he does not attemptto explainhow the whole workmaybe related to the structural properties of the D minorscaleand tonality.Indeed,he has already statedearlierin his reviewthat 'perhaps ninetypercentof this composition can be referred directlyto a matrixof alternate halfandwhole-tone steps'(Moevs1980: 100), in otherwords,to anoctatonic formula moresymmetrical thantheminorscale. Moevs's matrix comprises threecollections, andthe firstcollection (a) is itselfan octatonic formulation whichhas the pentatonic and othermodal properties necessaryto enablethe folk-derived materialto 'harmonize' withthe densechromaticism of its context: standard(a) 0, 1, 3,4, 6,7, 9,10 becomes (b) 1, 2,3,4, 6,7, 9,10 reducing to (c) 0, 1, 2,3, 5,6, 8,9 Moevs (p. 102) thereforeanswersthe question,'why do we acceptthe openingbassoonmelodyas consistent with whatfollows?',with the argumentthat'the "set"of this melodycontains a tetrachord [0, 2,3,5] which is embedded in the octatonic collection[as 1, 3, 4, 6] and makespossible travelbetween the two typesof modality.' Of course,Moevsis offering a contribution to a subjectwhichhas been regularly discussed at leastsinceArthur Berger's 1963 article'Problems of Pitch Organization in Stravinsky', notablyby Benjamin Boretz,in his consideration of 'collection-centric' music(Boretz1972-3), and by Pieter van den a oorn.Toornis in basicagreement with Moevs,thoughthe details workout ratherdifferently. Toorn writes:'I considerLe Sacre primarily octatonic(inferredsingly or with referenceto some form of octatonic-diatonic interpretation)' (Toorn 1977:61). And this interpretation is the resultof what he terms 'a pervading verticalchromaticism' with respectto which 'we might view the patchesof unimpaired diatonicism as subsidiary anddiverging' (Toorn1977:59). Toorn'sworkmight seem to intensifythe basicdisagreement between the pro- and anti-Fortepersuasions about what is most essentialto the structureof Le Sacre. Yet for all their obvious differences, both persuasionsshare a concernto identify those collectionsof pitch-classes whichappear to contribute most decisivelyto the unity and coherence of
40

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the composition. In preservingthe traditionalanalyticalemphasis on the search for wide-ranging unifying factors, both approacheshighlight the extent to which Le Sacrecan be seen validly in relationto specifiednorms of connectedness.For just as the octatonic scale is a means of establishing associations between notes originally regarded as-diatonically-in conflict, so the set-theoretic vocabularyplaces pitch-classes in the context of their global relations.My own object is to examinewhat, if anything, can be gained by complementingthese interpretationswith an approachcentering on the role of conflict, as represented most crucially by focused dissonance. But one further area of recent Sacre-studies remains to be mentionedfirst. III EdwardT. Cone has referredto Le Sacreas the comparatively rarecase of a work including passages which create 'tonality' by means of 'an almost completely static tone or chord of reference'(Cone 1962: 43). The analyst may indeed discoveran abundanceof 'centres'in the work, but despite the occasionaluse of key signatures,for example in the passages discussed by Moevs and Tarushkin, there is little functional diatonicism to be found, and the 'centres',whether single notes or chords, do not have the explicit, tonality-definingqualities of pure triadic identity; they do not normally display membership of basic tonic-dominant-tonic progressions. The closest Stravinskycomes to the relativelylarge-scaledeploymentof at least some of the elements of such a progression is in the concluding Danse Sacrale.But the music from Fig. 181 to the end can only be regardedas expressing a fundamentalI-V-I of D if we accept that such a structure can survive the 'extension', or even partial 'suspension', of pure diatonicism by substitution, supplementationand superimposition: and it would seem undeniablethat the survivalof a tonal backgroundis seriously compromisedif the extending processes affect the essential connectedness and continuity of the basic structuralprogressionitself, applying to single notes or chords more readilythan to complete progressions.Such notes or chords, which are frequentlyrepeated,may indeed serve as the foundation for decorative 'extension': elements of the chord itself may be horizontalized (as at Fig. 34 of LesAugures Printaniers - Ex. 4), or its repetitions may be connected at least in part by the use of neighbournotes, as in the treatmentof the D minor triad in the lower voices of the Introduction to
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Part II (Ex. 5). This present essay cannot consider all the thorny issues created by attempts to apply Schenkerianterminologyand method to Le Sacre.But it is necessaryat this point to discuss brieflytwo very different to Part I whose perspectiveoriginatesin some accountsof the Introduction sense in Schenker. only after the composition of Stravinskywrote the ballet's Introduction severalof the later sections was well under way: sketchesfor the Introductionitself have apparentlynot survived. Although it does not present the composer'sfirst thematic ideas for the work, however, this music has received particularlyclose attention from analysts concerned to establish what type or degree of tonality the work as a whole may possess. In the modality (the first six bars(Ex. 6) we find the tension between a particular
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bassoon melody) and a focused total chromaticismpresented in a strikingly concentratedform. I have alreadyreferredto Robert Moevs's argument for the modal consistency of melody and accompaniment,and nothing he says rules out the possibility that 'travel between the two types of modality' may establish a dissonant rather than a consonant norm. And Roy Travis has actually argued for the presence of what he eventually came to term a 'dissonanttonic sonority', comprisingAb, Db and CS as at Fig. 1 (Travis 1959). Travis uses the term 'dissonant'simply to underline the obvious point that his chosen chords are not major or minor triads. But the entire quality of his argumentis to assume a structurallysignifi42 MUSIC ANALYSIS 1: l, 1982

MUSIC ANALYSIS AS HUMAN SCIENCE?

cant norm which is not significantprimarilythrough the distinctions the music makes between consonance and dissonance. Indeed, Travis might well consider that the very existence of dissonant tonic sonorities invalidates attemptsto distinguishconsonancefrom dissonance.In the words of a more recent commentator,'there is no triad to be prolonged: thus, some contextuallyderived associativesonority must take its place. The concepts of consonance and dissonance, as technically defined, therefore cannot exist, nor can, strictly speaking,the notions of passing and neighbor notes where these were dissonant events. Their attendant constraints, which provided motion and delays, must be compensatedfor by other kinds of embellishing and traversingmotions' (Laufer 1981: 161). Of course, the stricter the Schenkerian,the more futile such issues will seem. For Adele T. Katz, in her discussion of the opening of Le Sacre, 'the top-voice motion is completely independent of the two lower voices, and the space they outline from C and G to their octave below': and she asks, 'what does this motion within two totally unrelatedchords signify?' The answer, as Forte for one might put it, is that it signifies a 'harmonicsystem' best understood in terms of the relations between unordered pc sets. These reveal that the first 'cadential harmony' - significantly different from Travis's 'dissonantsonority'- which is establishedin the three bars from Fig. 2 (Ex. 7a), offers a pc set, S16 [O, 1, 5, 7] which 'subsequently assumes an importantrole elsewhere,for instance, as the ostinato figure in as the the Introductionto Part II (Ex. 7b) . . . and, even more remarkably, thereby Forte 7c). Ex. last chord in the entire work' (Forte 1978: 31 - see establishes a particularconnection between the beginning and end of the work which is independentof 'tonal' or 'tonic' qualities. The contrastbetween the two 'persuasions'could scarcelybe greater.
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The proposalto argue that the music is most essentiallyconcernedwith conflict and dissonance, and that its comprehensionthereforedepends on the concepts of consonanceand dissonancebeing preserved,might nevertheless seem to be a good deal closer to the views of Katz, or of Travis, than of Forte. Such may indeed one day prove to be the case. But so far Travis and those who think like him would seem to have taken rathertoo much for grantedin their ambitiousattempts to fuse a concept of essential dissonance with voice-leading processes pertaining to orthodox tonal structures. Were what I call 'focused dissonances' to be in every case
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ARNOLD WHITTALL

identical with Travis's dissonant tonic sonorities there would still be the necessity - which Travis himself has not met - of identifying the precise nature and number of such sonorities in the work, and the precise nature of the voice-leading techniques which prolong and integrate them. But I am not able to accept that my focused dissonances are subject to such techniques: to be more precise, that they are part of coherentand connected harmonicprogressions,which link a dissonant tonic sonority to a dissonant dominant sonority, and resolve back to the dissonant tonic sonority. To make sense) such sonoritiesmust contain the elements of tonic and dominant triads, and therefore serve in the unfolding of a genuinely extended tonality. The difference between 'focused dissonances' and 'dissonanttonic sonorities'is thereforefar fromtrivial. Roy Travis is quite right to describe the Ab/Db/CS of the Introduction to Part I as dissonant: less so to suggest that its component pitches are 'prolonged'by downwardoctave transferin respect of the Ab and Db, and by a thirds progressiondescendingto A from CS. The sonority is scarcely the 'tonic' of a larger,complete progression,has none of the propertiesof an 'extended' tonic, and thereforewhat in a truly tonal context might be construedas prolongation(reflectingan understandingof consonant/dissonant relations deriving from strict counterpoint) is perhaps better described more neutrally as the extension and reinforcementof dissonant harmonic elements, or chords. It is less a matter of 'specific foreground events' (Schenker)than of 'the attributesof specific occurrences'(Forte). In fact, it is not difficult to assert that the most significantfocused dissonances in Le Sacre are those which have absorbeda degree of tonal content (being based on a fifth, or built around a triad) into their dissonant essence. It would thereforebe possible to compose a descriptionof the work in terms of relativelyneutral and relativelyallusive points of closure, and to discuss sections or segments in respect of whether or not they tend to focus on a single reiterateddissonance,as is common, or- as at the starton a dissonance which involves a degree of motion and transformation within itself. The generallyshort span of the extensions of repeatednotes and dissonant chords in Le Sacre is often seen as evidence of Stravinsky'semphasis on cellularrhythmicprocesses. But it could equally well representhis appreciation of the fact that dissonances lack the capacity for substantial 'prolongation',since their possible functional significance within a fully layered harmonichierarchyis so difficult to define. All major and minor consonanceswould in a sense be the same major or minor consonances'spelling' apart- were they not capable of being functionally differentiated. But structuraldifferentiationof dissonance in the absence of consonance may only be possible if degrees of prominence are very strongly assertedby contrastsbetween the repetitionor sustainingof certainchords and their 'ornamental'extension. The differencebetween basic dissonant chords and their extensions will be largely textural and rhythmic, though
44
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the occasional horizontalizationand neighbour-note motion, as indicated above, may suggest connectionswith traditionaltonal techniques. It is problemsof this sort which, in the case of atonalmusic, have led to analysesmore motivic than chordal. The set-theoreticinitiative has, however, had the effect of reopeningthe question of linear relationsas aspects of different levels of compositionalsignificance(if only through registral connections not immediately identified by segmentation). But while Le Sacre makes much use of registral 'integrity', its compositional comparabilitywith those worksof Schoenbergand his students to which Forte refers - at any level beyond that of the identificationof unorderedpc sets - is surely problematic. While 'nationalistically' rather than 'neoclassically'allusive as far as its thematicmaterialgoes, it challengesthe ear with other allusions - to fifth relations, triads, diatonic harmony,focused consonance and dissonance, allusions that are used dramatically,for immediate effect, ratherthan symphonically,for their contributionto overall coherence. At first sight, the issue of focused dissonancemay seem relaFively insignificant, a mere evasion of more importantmatters. One may accept the distinction between the prevailing dissonance of Les AuguresPrintaniers from Fig. 13 to Fig. 28, and the relative consonanceof the bars after Fig. 28. Similarly, it can be confidently claimed that there is a relatively low level of dissonancein the RondesPrintanieres between Fig. 48 and Fig. 53, comparedwith what follows. And it is precisely the fact that these movements offer the most extended examplesof consonancein the ballet which seems to confirmthat the 'norm' for the work as a whole is dissonant,not consonant. We may therefore be tempted to argue that, under such circumstancesof prevailing,emancipateddissonance,we hear a 'norm', an entity of fundamental structural significance, rathe-rthan something called a dissonance- which neverthelessdoes not function as a dissonance tunctlons ln tonal muslc. It is certainlynot my intention to claim that the prevailingdissonances of the work can only be perceivedas such if implied, underlyingyet absent consonancesare assumed. For example, it might be argued that the final chordof the work(see Ex. 7c) can be definedas dissonantonly if it is seen and heard as an altered D minor (or major) triad. This seems to me a crucial oversimplification.The 'norm' of Le Sacre is not one in which predominant dissonances imply unheard consonant resolutions - and it follows that such 'imagined'resolutionsare unnecessary.The norm is one in which the distinctionbetween consonanceand dissonanceis preservedindeed, it is vital - but the conventions of structuralsignificancewhich attach to these concepts in tonal music no longer apply. Simply because consonance is relatively incidental, it cannot automaticallybe given the decisive role of providing a structuralbackgroundto which the predominant surfacedissonancesrelate. The relationshipbetween the two forces is thereforenot one of mutual tolerance.There is a sense of conflict, of disMUSIC ANALYSIS 1: l, 1982

45

ARNOLD WHITTALL

ruption, and whether (as the analyticalmodel derivingfrom political economy proposes) that conflict is contained by rules seems highly doubtful. The most convincing case for the presence of coherent unifying relations and recurrencesthroughoutLe Sacre is that proposed by Allen Forte. But if the 'attributes of specific occurrences'are brought into play, it again become evident that the unorderedpc sets are compositionallydeployed as dissonancesof strikinglydiverse character. A similar point can be made with respect to Pieter van den Toorn's identificationof a 'primarilyoctatonic' structure.Even at a point like the opening of the geu du Rapt (Fig. 37), where the music is 'diatonic'to the octatonicscale on C, the effect surely depends on the perceptionof dissonance, and a dissonancerelativeto the music which precedesit from Fig. 31 of Les AuguresPrintaniers,rather than to any unheard C major triadic backgroundfor the geu du Rapt itself. The effect is achieved entirely by relationswithin the work itself. The 'surface'is thereforethe most significant 'substance'. There is of course no mistaking the particular,dissonant nature of the musical ideas which occur in the recentlypublished preliminarysketch for Le Sacre (Ex. 2). What Robert Craft calls 'the motto chord of the entire work' is a dissonant representationof conflict whose properties,in affecting so many large- and small-scalefactors,ensure at least a coherenceborn of consistency. The most intriguing thing about this preliminarymaterial is that it shows the Eb dominant seventh supportedby A- not E or Fb and resolving by half-step motion to become a 'dominanteleventh' of D. Here, apparently,is further evidence of the kind which those who argue that the work has as underlyingtonality of D minor are looking for - and there is more such evidence in the published sketches for Part II, particularly of the Danse Sacrale. But however strongly such tonal featuresseem to some ears to remain present, even if only in an 'underlying'capacity, they are normally submerged in dissonance. The sequence of pitch centres, discussed below, is not expressed through 'underlying' tonality, but through actual dissonance, even though the chords, like the single notes, inevitablyhave tonal associations. published in 1969 (Ex. Ia & b) The sketchesfor Les AuguresPrintaniers show that what begins as a skeletalA-D-Bb-Eb sonority is transformedas the ostinato character of the material becomes clearer, through a C major/Abdominant - seventh combinationto the E major/Ab dominant seventh of the chord which actually begins the movement (Ex. Ic). The progress away from favouringD as pitch centre is clear. But the association of Eb and C, so crucial to Part I of the ballet, is outlined, and overall, of course, this relationship,or opposition, matters more than that between Eb and E, or Ab and E. It is with respect to Eb that a technique of generating conflict with diatonicismfrom within can be observed in Part I of Le Sacre. The most from extended diatonicepisode in Part I occurs in the RondesPrintanieres,
46
MUSIC ANALYSIS 1: l, 1982

>

sff

--

MUSIC ANALYSIS AS HUMAN SCIENCE?

Fig. 49, where the Eb minor mode is disturbedonly in passing (in 25 bars at crotchet= 80) by melodic GUs,and these occur only when Gb is absent from the accompaniment. But there is no progressionhere: merely contrapuntal protractionof Eb in the lowest line, and either F or Bb above. In Le Sacre, this means that the stage is set for calculateddisintegration:such purity cannot be allowedto survive. With the sudden expansionof register and intensificationof dynamic at Fig. 53, the outer voices remain grimly faithful to the diatonic collection for a few bars more. But in the centre of the texture all five non-diatonic notes are generated- DS from Db, Cb from CS, Fb from FS, and AS and GS from B flat. And the section ends one bar before Fig. 54 when the bass line itself is so disoriented that it misses its footing and cadenceson Fb insteadof Eb:

biiti4

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t t

0
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t:Ne

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;i'2'tii 'hi*h7qbf

However incidental it may be, given the basically dissonant forces at work in Le Sacre, such a process of generating conflict with diatonicism from within also occurs earlierin part of the first movement which Stravinsky sketched, Les AuguresPrintaniers.At Fig. 28 the same Eb minor mode which operatesin RondesPrintanieres is established,and is likewise subject to extension without progression.Then, at Fig. 30, four of the five chromatic notes occur in rapid succession, and the fifth chromatic note - A - followsthreebarslater.It is the increasing emphasison this A in the top voice that appearsto motivatethe harmonicshift at Fig. 31, from a focus on Eb to focus on C (Ex. 9). It is typical of the stucture of Part I of the ballet that C is never as firmly rooted as Eb. C is more subject to conflicting chromatic degrees, both in the geu du Rapt, and in the concluding Danse de la Terre,where the Eb/C opposition is brought brilliantly into focus as the music hustles to its cut-off point. If it is stronglyfelt that the C major triad is the tonal centre throughout this section (from two bars after Fig. 72), it will be equally clearthat Eb, as well as F# and the other non-diatonicelements
MUSIC ANALYSIS 1: 1, 1982 47

ARNOLD WHITTALL

Ex.10

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4

X
t
St } t

"E

tF

cresc __ ___
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ttS

of the whole-tone scale on C, are discordant with that centre. And the extreme tension of the ending - given the absence of purely rhythmic complexity- stems more from superimpositionof the unrelatedthan from integrationof the diverse. To adopt Edward T. Cone's terms, the strata are not so much synthesized as superimposed, however much they are texturallyinterwoven(see Cone 1962/1968), and it is difficult to feel that the divergent componentsof the texture are subsumed into a higher unity which is itself of positive structuralsignificance. In Part II, the sense of significantdissonanceis intensified,for although there are fewer suggestions of triadic diatonicism than in Part I, the focused harmoniesoften invite discussion in terms of fifth-relations.Part II begins with a texture in which a sustained D minor triad is embedded in oscillations which employ the pitch-classes of the minor triads on either side- Ct, E, G$: DS, Ft, AS. Here one may indeed sense a consistently decorative role for dissonance, but it coexists with the fundamentalcon48
MUSIC ANALYSIS 1: 1, 1982

MUSIC ANALYSIS AS HUMAN SCIENCE?

sonanceof the D minor triad, and does not resolve into that triad, in order to allow it an independentstructuralfunction. Nevertheless, as indicated earlier,the role of the pitch-classesD, A and certainof their triadicassociates is such that a sense of focus is inescapableas Part II proceeds. A is the focus for the Glorification de l'Elue. Indeed, some may feel able to claim that this entire movement offers an extended A major tonality with 'Bb minor' in the central subsection as 'substitute dominant'(EUbeing in any case a constant presence). But the dissonant formulationswhich prevent pure diatonic harmony emerging (and orthodox voice-leading occurring) are surely the forces which ensure that this focused, if atonal, music resourcefully expresses recurrent and decorated dissonance. This does not abolish all connection between the A of the movement and the stressed D's and A's of the remainderof the composition. Their associations are unmistakable,and nowhere is the tension between possible diatonic clarification and persistent dissonantfocus greaterthan in these final movements. The concludingDanse Sacrale highlights the issue in a particularlypowerfulway by progressingfrom bass emphasison D at the outset to bass emphasison A at the start of the final section at Fig. 186. The A then persists until Fig. 210, four bars before the final chord combines D's and A's with E's andG$'s. The bass ostinato from Fig. 186 uses only A and C, but a texture of greater and greater density graduallyaccumulatesabove. After Fig. 192 the most essential dissonanceis provided by the constant Bb minor triad, and all the other elements of the linearprocess (the outline of the C major triad at the top of the texture, the descent from C to G of the chords which cut across the ostinato) reinforcethe fact that neither the Bb minor nor the A minor componentsachievethe status of consonance. The crux is at Fig. 201, from which the bass describesa fragmentedbut decisive motion from A down to D. At the very top the C majorarpeggiation- now probablymore noise than pitch- reachesthrough F to G and through G to A. And although the conflictingaction of the triadic amalgam in the inner parts is withdrawn, thus strengthening the sense of 'dominantpreparation', the last dissonantchord seems more the parodyof a resolution, an emphatic confirmationof disintegration.It offers the D, E, G$, A collection not as an affirmationof a struggle survived, but as an ironic and ultimately destructive gesture. One could even argue that, at last, it is the effect, and not the pitches, which matters.

IV There have been important and far-reaching developments in music theory during the decades since Le Sacre du Printemps was composed. But they have tended to strengthenthe sense of contrastbetween tonal structures, in which the regulationof unessential dissonance by essential conMUSIC ANALYSIS 1: 1, 1982

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ARNOLD WHITTALL

sonance is fundamental,and a music in which the consonanceJdissonance distinction no longer obtains. A compositionin which this distinction survives the exchange of essential and unessential roles between consonance and dissonancethereforeremains a particularchallenge. Analysis has still to reveal if- or how- the dissonances themselves function in Le Sacre, beyond being the basis for local extension. I have argued that, whether one's starting point is Forte's tables of set-complexes, Toorn's octatonicdiatonic interpenetration,Tarushkin's double inflections and added sevenths, Travis's dissonant tonic sonority, or Katz's 'totally unrelated' chords,what is most significantis the existenceand dominanceof discords. As a portraitof human savagery,the tragicpower of Le Sacremay depend precisely on the freedom for conflict to be expressed by the most immediateand effectivemeans. And it may indeed be the case that the 'rules' of the game can only be discovered if the discords are 'translated'into some other medium, in which they can be examinedwithout the psychological burdenof their true characterand quality. For Le Sacreremainsan explosive work, and analysis may be impossible unless the score is first defused. For many, the idea of a violent music for a violent age is highly appropriate. From ConstantLambert'sdescriptionof Le Sacreas 'a work which was merely the logical outcome of a barbaricoutlook applied to the technique of impressionism'(Lambert 1966: 34) to Adorno's feverishvision of a music which exists 'to embody the idea that there is no longer any life' (Adorno 1973: 181) the analogies between Stravinsky's subject-matter, style and symbolism,have trippedall too easily from a multitudeof critical tongues. So now is probablyas good a time as any to make analysisof the work more difficult. Certainly my own object has not been to offer an analysis,or even propose a technique. It has been to considerthe natureof analysis, and to examine what problems are created for analysis by the dominating presence of an inconvenient but inescapable psychological, aesthetic, element - dissonanceof a largely 'non-functional'type. Such an inversion of true tonal structuringdoes indeed seem in the strictest sense negative, an assault rather than a rejection, radicalismof a distinctively primitive kind. When it is allied to a comparable'inversion'in the rhythmic sphere, then the affront to tradition is even greater: dissonances are not merely given the prominencepreviously assigned to consonances,but they are grouped in patterns, in cells, which undermine the traditional phrase-buildingfunctionsof regularsuccessionand accentuation. In our search for a single, comprehensivetechnical statementabout Le Sacrewe may even choose to fall back on the assertionthat the most basic structuralelement in the work is icl (semitone), and its various projections, vertical and horizontal,immediateand longer-term.But the nature of the music would still depend on this structuralfeature being perceived as a dissonance. It is not a substituteor surrogatefor the octave or unison, and yet it retains the quality of an entity whose consonant resolution
50

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MUSIC ANALYSIS AS HUMAN SCIENCE?

would indeed be the octave or unison. Le Sacremay be one of the most cruciallyradicalmodern masterpieces,but it needs the perspectiveof tradition for its nature as well as its effect to be comprehended.Dissonance may indeed be emancipatedin that it is no longer subject to rules requiring and prescribingpreparationand resolution. But the effect of that emancipationwithin a work where consonancesremain to be heard from time to time is an enhancementof dissonanceas a structuralfocus, and not an elimination,an emasculationof that focal role, with dissonancesbeing transformedinto 'polychords',or some such neutral construct. Of course, it follows that it will always be possible to segment Stravinsky'sdissonances by separating out their consonant or diatonic components. But analysis should surely be more closely concerned with the ways in which the complete dissonancesthemselves function, as a means of establishing whetherconflictis indeed containedby rules. When Stravinsky spoke in The Poeticsof Musicof the 'gains in true solidity' which 'music . . . that does not succumb to the seductionsof variety' might possess, it might seem that Le Sacrewould be the very last work which he could have had in mind for criticism(Stravinsky1977: 32). It would certainly be extravagantto claim that the achievement of Le with which it succumbsto the Sacrelies precisely in the wholeheartedness seductions of variety. But Elliott Carter's reservations about neoclassicism, and its tendency to appear'too oblique and resigned' in face of the endemic violence of the modern world, indicate the essence of the issue (Edwards 1971: 61). Stravinsky'sneo-classicalworks are not devoid of all tension and excitement. But they do not follow on from Le Sacre with quite the ease and inevitabilitywhich is sometimesassumed. The analytical challenge of Le Sacreitself may indeed not be greatly affectedby exercises in comparativeterminology.But, as a technicalterm, 'dissonance'is a description which enshrines an interpretation.What we call something (and why) does affect, and even determine, those preliminary assumptions and expectations from which analysis stems, and represents an understandingwhich lies behind the analyticaldecisions which follow. In so far as focused dissonances override (but do not eliminate) their absorbed tonal and triadic segments, they drive the music into a peculiarlyintense state of explosive energy. It is for this reason- this vital connectionbetween character,texture, structure- that the recognitionand interpretationof focused dissonance seems to be more essential with respect to Le Sacrethan arguments about underlying tonality or explicit atonality: and these dissonances are, for the purposes of analysis, ultimately irreducible. This essay began by raising - then abandoning- the question of whether there was any illuminationto be gained from viewing music analysis as part of a portmanteau'human science'. The most attractivereason for doing so might well be nothing to do with the achievementsof those sciences, but with their limitations.Hayden White sees the primaryconcern
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ARNOLD WHITTALL

of Foucault'sThe Order of Things as 'the use and abuseof "authority" in the "humansciences".... Foucaultwishes to show that the disciplines whichdealwithmanas a socialandcultural beingareas little "scientific" as thoseconceptions of the "body"whichhavesuccessively informed medical practicefrom the sixteenthcenturyto our own day' (White 1979: 98). As long as music can be considered in relationto the 'absolutes' of analytically definedtonalityor atonality, we mightfeel satisfied that substantial progress towards a trulyscientific andauthoritative interpretation of all musichas been made.But the remarkable recentprogressin these areasshouldnot obscurethe difficultieswhich remain.The composer's creative freedom still presents analysis with its greatest intellectual challenge.

REFERENCES Adorno, T. W., (trans. A. G. Mitchell and W. V. Bloomster), Philosophyof ModernMusic.London: Sheen and Ward, 1973. Berger, Arthur, 'Problemsof Pitch Organizationin Stravinsky'.First published in Perspectives of New Music, Vol. 2, No. 1, 1963, pp. 1142. Reprinted in Perspectiveson Schoenberg and Stravinsky, ed. B. Boretz and Edward T. Cone, Princeton:PrincetonUniversity Press, 1968, pp. 12355. Boretz, Benjamin, 'Meta-Variations,Part IV: Analytic Fallout', PNM, Vol. 11, No. 1, 1972, pp. 14S223; and Vol. 11, No. 2, 1973, pp. 15S203. Boulez, Pierre, 'StravinskyDemeure'. First published in MusiqueRusse, I, Paris 1953. Translatedby Herbert Weinstockas 'StravinskyRemains'in Notes of an Apprenticeship, New York: Knopf, 1968,pp. 72-145. Boulez, Pierre, Conversations with Celestin Deliege.London: Eulenberg,1976. Cone, EdwardT., 'AnalysisToday' in Problems of ModernMusic, ed. P. H. Lang, New York: Norton, 1962, pp. 34-50. Cone, Edward T., 'Stravinsky:The Progress of a Method'. First published in PNM, Vol. 1, No. 1, 1962, pp. 18-26. Reprintedin Perspectives on Schoenbergand Stravinsky,pp. 156-164. Craft, Robert, 'Genesis of a Masterpiece'and 'Commentaryto the Sketches' in Igor Stravinsky. The Rite of Spring. Sketches1911-13, Boosey and Hawkes, 1969. Edwards,Allen, Flawed Wordsand Stubborn Sounds.A Conversation with Elliott Carter.New York: Norton, 1971. Forte, Allen, The HarmonicOrganization of The Rite of Spring.New York: Yale University Press, 1978. Foucault, Michel, (trans. Alan Sheridan), The Orderof Things.London: Tavistock Publications,1970. Katz, Adele T., Challenge to Musical Tradition:A New Concept of Tonality.New York: Knopf, 1945; Da Capo, 1972.
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Kerman, Joseph, 'How We Got into Analysis, and How to Get Out', Critical Inquiry,Vol. 7, Winter 1980, pp. 311-31. Lambert, Constant,Music Ho! A Study of Music in Decline.London: Faber and Faber, 1966 (third edition). Laufer,Edward,reviewof Heinrich Schenker,Free Composition, in Music Theory Spectrum, Vol. 3, 1981, pp. 158-84. Moevs, Robert, 'Mannerismand Stylistic Consistencyin Stravinsky',PNM, Vol. 9, No. 2; and Vol. 10, No. 1, 1971, pp. 92-103. Moevs, Robert, review of Forte 1978 in gournalof Music Theory,Vol. 24, No. 1, Spring 1980, pp. 97-107. Morton, Lawrence, 'Footnote to Stravinsky studies: Le Sacre du Printemps', Tempo, No. 128, March 1979, pp. 9-16. Schoenberg,Arnold, 'Opinionor Insight?' (1926), in Style and Idea, ed. Leonard Stein, London: Faberand Faber, 1975. Sheridan, Alan, Michel Foucault. The Will to Truth. London: Tavistock Publications, 1980. Smith, FrederickJ., The Experiencing of Musical Sound: Preludeto a Phenomenologyof Music.New York: Gordon and Breach, 1979. Stravinsky,Igor, (trans. A. Knoedel and I. Dahl), Poeticsof Music in the Formof Six Lessons.Cambridge,Mass: HarvardUniversity Press, 1977 (fourth edition). Stravinsky,Igor and Craft,Robert, Expositions and Developments. London: Faber and Faber, 1962. Stravinsky,Vera and Craft, Robert, Stravinskyin Picturesand Documents. New York: Simon and Schuster, 1978. Tarushkin, Richard, review of Forte 1978 in CurrentMusicology,No. 28, 1979, pp. 114-29. Tarushkin,Richard,'RussianFolk Melodies in The Rite of Spring',ffournal of the AmericanMusicological Society, Vol. 32, No. 3, Fall 1980, pp. 50143. Toorn, Pieter van den, 'Some characteristics of Stravinsky'sdiatonicmusic'. Part One, PNM, Vol. 14, No. 1, 1975, pp. 104-38; Part Two, PNM, Vol. 15, No. 2, 1977, pp. 58-95. Travis, Roy, 'Towards a New Concept of Tonality?',gMT, Vol. 3, No. 2, 1959, pp. 257-84. White, Hayden, 'Michel Foucault'in Structuralism and Since: FromLevi-Strauss to Derrida,ed. John Sturrock,Oxford: OxfordUniversity Press, 1979.

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