Context and Continuity in an Atonal Work: A Set-Theoretic Approach Author(s): Allen Forte Source: Perspectives of New Music, Vol.

1, No. 2 (Spring, 1963), pp. 72-82 Published by: Perspectives of New Music Stable URL: http://www.jstor.org/stable/832105 Accessed: 12/01/2009 10:39
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CONTEXT AND CONTINUITY IN AN ATONAL WORK

A SET-THEORETIC APPROACH
ALLEN FORTE

WHEN Schoenberg abandonedtriadic tonality in 1908 and began to compose so-called atonal music he introduced into the historical flux certain problems that remain unsolved to this day. His own evident concern as to whether composing was a logical or a sensory process may have obstructed any personal efforts to find solutions. Whatever the case, we know that he did not explain adequatelythe structural bases of his atonal works, but seemed to regard the discovery and development of the "method of composing with twelve tones"as a satisfactorydenouement.It now appearsthat although we may have by-passed the problems of the atonal period quite successfully we are still left with a large body of problematicmusic from that period-some of which is performed regularly, little of which is understood. In an effortto attackthe problemof atonalmusic more strategically the following discussion departs from the familiar terms context and continuity. One need only reflect for a moment upon the degree to which both context and continuity were determinedby triadic tonality-indeed, were essential conditions-in order to realize that the abandonment that musical system endangeredwhat many regarded of as fundamentalproperties of musical composition. Certain observers of respondedto the threat by denying the "musicality" atonal works. More recently others have attemptedto show that the logic of such atonal works still resides in triadic tonality, so that one is to understand atonal configurationsin terms of an implicit triadic norm. Both responses have only further obscuredthe problems. Both have failed to recognize Schoenberg'struly revolutionaryspirit, on the one hand, and his remarkableintuitive grasp of musical essentials on the other. But perhaps most misguided of all is the condescending observer whose stock-in-tradeis that precious commodity "style,"for Schoenberg has indicated the fruitlessness of such an approach: * 72 -

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In my music there has never been a concern for "style,"but rather a constant concern for content [Inhalt] and its most precise representation [Wiedergabe]. Therefore my youthful works preparefor the understandingof my musical thought, and one would do well to familiarizehimself with those works [written] before my means of expression became so concise-as in my latest works. (From a letter to Leo Kestenberg, 1939) The above quotation will also serve to introduce the composition which is used here as an example of atonal music: Schoenberg's Sechs kleine Klavierstiicke, Op. 19. With the exception of the sixth piece this work is dated February 19, 1911, at which time the composer was thirty-six. The six famous miniatures form a single work. They belong together, for they are all compositionalprojections of the same relational system. The properties of that system are set forth below, together with several sample passages from Opus 19. As indicatedin the title of the present article, mathematicalset theory underlies the analytical approach. The set-theoretic formulation, in turn, reflects the general viewpoint that the analysis of a structural system begins with the determinationof a set of elements and the combinationalrelations which they exhibit.
DESCRIPTIONOF THE SYSTEM

We assume the usual partition of the available equal-tempered pitches, such that there is an equivalencerelationbased on the interval of the octave. The universal collection or set of our system, then, is the chromatic scale, and its elements are placed in one-to-onecorrespondencewith zero and the positive integers from 1 to 11 as shown in Ex. 1.
x

.0

^1

$to
3 4

"o
5

o
6 7 8

? #.. 1? 9 10

Ex. 1

This universalset contains a set of five subsets designated A whose members are selected in the following way. First, a subset of two elements x1 and x2 is defined as the "interval-of-reference." This subset, designated X in Ex. 2, consists of the pitches G, B, which in traditional parlance form the interval of a major third and in the numericallanguage used here the interval4. The meaning of the term interval-of-reference becomes clearer when the selection of all the
elements of set A [the collection of subsets A1 . . . A5] has been ex-

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plained. Each subset of set A contains the pitch elements of a single interval relation on X. Thus A1 contains all the half-step relations (1-relations), A2 contains all the whole-step relations (2-relations), . . Each element forms a pair (not ordered) either with G or with B or in a few cases with both. The basis of association will be evident in a moment. First it is important to state two limitations upon this relational process. 1) As a result of the principle of octave equivalence the process does not continue beyond the 6-relation. 2) The process observes what may be called the condition of proximity: Any pitch associated with xi must be either nearer to xl than to x2 or equidistant from both. The same condition holds for pitches associated with x2. As a result of this condition one otherwise possible subset is excluded, the subset [2, 4] which is based upon the 5-relation. In this way both xl and x2 are deprived of possible "dominant associates."
A =A1 . A5]

r XJ,
X1 ^2 X = Interval-of-Reference [7,11]

A1 = set of all 1-relatlons on X

0o, 6,8,10]

A2 = set of all 2-relations on X

15,s,9]

j$J-

A3.= set of all 3-relations on X

2, 4]

3fiL u
L bJ

A4

= set of all 4-relations

on X

[3]

A5 = set of all 6-relations

on X

[1,5]

Ex. 2

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Ex. 2 displays these subsets in musical and in corresponding numerical notation. The musical notation will facilitate study of the excerpts from the score, while the numerical notation enables us to see certainpropertiesmore readily. These structurallyimportantproperties are most efficientlydiscussed if we first extract anotherset B of subsets assumedto have special interest.This set is displayedin Ex. 3.
B =B1 . . . Bs

y' ~- ^'

*'

=?:~ ~~???-with ?~?;:,?~?

B1 = set of all elements associated 1 G only

[4, 6,8]

Lf

B2 = set of all elements associated with B only

[0, 2,10]

J1

J -^-V g - J~.,

= set of all elements associated " -==B3~either with G or B

[0,2,4,6,8,10]

^O- |;

J J B4 =

set of all elements associated with both G and B

[1, 3, 5,9]

' 'bltj

B5 = set with only one number

[3]

J|

|-| >tW

xj;

tJ}

A-tf J ~J'
Ex. 3

-X = complement of X [0,1,2,3,4,5,6.8,9,10] " (all pitch-classes not contained in X)

Set B may be of interestwhen we come to examinethe composition, since it sorts out in various ways the relations on x1 and x2, where xl and x2 are regarded as discrete elements, whereas set A shows the classes of interval relations on X without emphasizing the individual roles of its members. It should be remarkedhere that in the composition the interaction of elements associated exclusively with pitch G or with pitch B, contrastedwith the interactionof elements associated with both, is a significant aspect of continuity and of the controlled transformationof context. Both set A and set B are essential to an understanding of the relational system, and the explanation of important properties that follows will consider them individually and in combination.
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Equivalence Set A containsno two equivalent (identical) subsets. Set B likewise contains no two equivalent subsets. This suggests that each subset has in some way a special structure with respect to X. From the analytic standpointthis is advantageous,for we can deal with specific and differentiated relations rather than with an undifferentiated collection of pitch elements. Equivalence relations on A and B are as follows: A =B 1) A4 = B5 (That is to say, the set with only one member [Eb] 2) is the same as the set of all 4-relations on X. As might be expected, this unique property is exploited in the composition.) A=X 3) B=X 4) Inclusion Taking sets A and B separatelywe see that A5 c A2 (i.e. A5 is included in A2) 1) B2 c B3 2)
3) B1 CBs

Inclusion involving both A and B yields Al cB3 4) A2 C B4 5) A3 c B 6) A4 C B4 7) A5 cB4. 8) Intersection The operationintersectionperhapsis of more compositionalinterest since it suggests possibilities for connecting one subset to anotheror, conversely,detachingcertainelementswithoutendangeringcontinuity. Intersection follows naturally from the list of subsets immediately above, for in all cases the set resulting from intersectionis the same as the smaller subset of each of the pairs listed. That is, A2 n A5 = [1, 5], that is [Db, F], and A2 n B4 = [1, 5, 9], that is [C#, F, A],... One might raise a question at this point regarding intersection of more than two subsets of A and B, since presumablythis occurrence would tend to make certainpitch elementsmore redundantthan others. It happens that every element occurs in three different subsets, with the exceptionof the pitch-elementA, which occurs only in A2 and B4. 76-

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Every elementoccursin one subset of A and two subsets of B, with the exceptionof the pitch-elementF which occurs in A2, A5, and B4. Both pitches F and A are prominent in Opus 19. Complementation The complementof X has alreadybeen displayed (Ex. 3) and it has been remarked that X = A. Another kind of partition, one that is more important in the work, involves two whole-tone hexachords which arise within the system. This is explained in the next section. Union Unions are easily read from the numericalrepresentationin Examples 2 and 3 since a subset contains numbers drawn either from the set 0 and the even numbers, or it contains only odd numbers. Thus A U A3 = B3 (The union of the set of all 1-relations and 1) the set of all 2-relationsis the same as the set of all elements associated with either G or B.) (The union of the set of all 2-relations and A2UA4= B4 2) the set of all 4-relations is the same as the set of all elements associated with both G andB.) 3) B1UB2= B3, and 4) A1UA3 B1UB2 5) B4 U X B3 The last subset listed, B3, is so importantin the compositionthat it will be designated Y. In terms of pitch elements Y is the whole-tone hexachordwhich togetherwith B3forms a partitionof the universalset. It should now be apparentthat the relationalsystem offers a multitude of compositional possibilities, suggesting ways of combining elements into larger units as well as ways of extracting smaller units from larger. In addition, it provides effective analogues to harmonic progressionand voice-leadingin the tonal system. For demonstrations of some of these attributes let us turn now to the compositional projectionsin Opus 19.
COMPOSITIONAL PROJECTIONS

As we approachthe compositionin terms of the relationalsystem it is importantto regard the system as a formalized statement or summary of the structuralbasis of the composition.It is not an analysis of the work. In order to emphasizethis distinction and at the same time 77-

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relate the musical events to the abstract sets of the system the term
compositional set is here introduced.

It is also importantto realize that there are no "independent" elements in this composition, just as there are none in a tonal work. There are, however,elementswhich are less determinative than others, as may be inferred from the foregoing explanation of the system. Such elements stand forth in a variety of contexts and thus make clear a certain structural hierarchy, which, in turn, makes it possible to describethe structuralmeaning of a compositionalset in terms of the elements which dominate it. For instance, at the beginning of the fifth piece (Ex. 4) we discover that the first phrase is controlled by F, A, and D#, while the lower (accompanimental) part of the phrase is controlledby Db and G. These strategically placed pitch elements are the union of X and B4, the special subset Y.
Etwasrasch (b)

-zart,

voll

abet p

Ex. 4

To bring these preliminaryremarks to an end, a question: What, then, determinesthe structuralmeaning of a given note in this composition? Response: Its context as interpretedby the underlying relational system shown in Exx. 2 and 3. The first excerpt to be discussed is the opening phrase of the first piece.
Leicht, zart ( ) 1

Ex. 5

For the sake of convenient reference the compositional sets are enclosed and numbered to correspondto the remarks which follow. set 1. The first three pitches of this "melodic" belong to the special subset Y. The last element, F#, is associatedonly with G (as in B1),
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so that over the span of the phrase the directionof the melody is from B toward G. The concluding melodic succession F-F# is one of three similar pairs prominentin the work. These semitone successions may be interpreted as unions of two elements, one drawn from each of the whole-tonehexachordsB3 and Y. 2. This set provides a context for B of the melody, which we can take to be the controllingelement here. It departs from A, a pitch element from subset Y. Of the remaining elements of the set the pitch C associates exclusively with the pitch B (as in B2), G belongs to X, and G# associatesexclusivelywith G (as in B1). Taken together with B in the treble staff this compositionalset exhibits a characteristic feature which pervades the work: equal distribution or balance of In pitch elements with respect to the interval-of-reference. this case each element of the interval-of-reference its own exclusive associhas ate, while the pitch A associateswith both. Balancedsets of this kind, which occur at crucial structuralpoints, are analogousto fundamental harmoniesin the triadic system. 3. In terms of the relational system the fundamental pitch B is combinedwith two pitches from set B4 (the set of all elements associated with both G and B). The remainingelement E is one of the three pitches associatedonly with G; in this context it serves to preparethe progressionto the final compositionalset, which centers on G. In this connection it is important to recognize that, as a continuity factor, the repetitionof the melodic succession B-D# (in set 1) by the harmonic pair B-D# is secondaryin significanceto the transformationof context which takes place by virtue of the presence of the two additional elements E and F. 4. The final simultaneityof the phrase consists of the fundamental pitch G together with one exclusive pitch associate and one pitch exclusively associated with B, the other fundamental pitch. Unlike the balanced sonority at the beginning of the phrase this sonority is weighted toward G. In the second piece the interval-of-reference serves as a kind of ostinato against which various compositionalsets are projected. The closing part of the piece is shown in Ex. 6. 1. Here again the elements of this initial compositional set are distributed equally with respect to the interval-of-reference. Only register and rhythmic accent differentiate.The emphasizedpair C-Eb, in particular,is importanthere (and throughout the first part of the piece). The pitch C associates exclusively with B, while Eb is the only set with only one member and associates either with G or with 79

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Ex. 6

B depending upon context. Here it associates with both since both are present. 2. At this point the progressionculminates in a harmonywhich is weighted in favor of the pitch B. Observe that although the pair C-Eb descends to the pair D-B in the upper part, it is retained (notated enharmonically) in the lower part of the harmony. 3. The restatementof the interval-of-reference the beginning of at this phrase represents the final "resolution" the pair C-Eb. This of entire set is a completeprojectionof Y. 4. The final set consists of an almost complete statement of B3, the complement of Y. Only Gj is lacking. The complementationis expressed instead by the juxtapositionof two trichords, a distribution consistent with the texture of thirds that characterizesthis piece. In the third piece we encountera differenttexture as well as different techniques of projection. Ex. 7 summarizesthe controlling compositional sets.
i I-opp a v b d

Ex. 7

Both in Ex. 7 and in Ex. 8 the different elements of the controlling sets are distinguishedby notationalmeans. The interval-of-reference is notated in half notes and the pitches associatedwith it are shown as 8th notes. The other controlling set F-A is given in quarter notes, while its pitch associates are shown as 16ths. The complementof the 80 -

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union of sets a and b is designated d. Let us now see how these sets interact in the composition. Example 8 is a sketch of the first four bars. Secondary harmonic notes (from subset d) have been omitted in order to show the controlling sets more clearly.

(-d

I b:ri, :- ^tj

bg^

I b^ J4 -^-J-, tB ^
Ex. 8

Observethat the same elements of the subsets are consistentlycounterpointed (vertical arrows), guaranteeing continuity over the longer which controls the span. Observe also that the interval-of-reference, first part of the passage, gradually yields to the interval F-A, in a manner reminiscentof tonal modulation.To extend the analogy, this might be called a natural modulationsince F-A belongs to the set B4, the set of all elements associatedwith both G and B. The entire passage terminatesin a whole-tone context consisting of the trichord F-A-Db played by the right hand and a disjunct tetrachord (partial statement of the complement) in the left hand. (The separateness of the two subsets is emphasizedin this instanceby an idiosyncraticperformance instruction: "Throughoutthe first four measures the right hand is to play f, the left hand pp.") This whole-tonecontext prepares the first pitches of the following phrase (not shown), the interval-of-reference.

'jp r y"
pp23
1

-4. _^==>
_
_ ___,

' ^-

'
p 7 1U r ^

-i

^-1* 7

Ex. 9

The closing passage of the third piece, shown in Ex. 9, begins with another balanced harmony, exploits the unique pitch set B5 (Eb) and ends with melodic emphasis placed upon the pairs Eb-G and F-A. The final harmony is weighted toward G, yet two of the four elements, D and Bb, associate only with B. As a final illustrationEx. 10 shows the closing set of the last piece. Not only are the elements of the complete compositionalset perfectly balanced with respect to the interval-of-referencebut each of the
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Ex. 10

subsets is also distributed in that way. Thus the first subset, which an containsthe pitch B, contains as counterbalance associate of G and an element of B4. The elements of the second subset are similarly balanced off against G. The third subset contains one element of B2 and one element of B1. Had this piece been composed some fifteen years later this final gesture would have been followed by the wholetone dyads E-D and Eb-Db, the complement of the final set, so strongly suggested by the concludingpair. It is hoped that the foregoing has indicatedthat with the assistance of new techniques atonal music can be studied effectively. To explore other aspects of the particular system unfolded here or to draw conclusionsregardingthe historicaldevelopmentof the art based upon the materialpresentedwould exceed both the physical bounds as well as the intent of the article.

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