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'Tonal' Forms in Arnold Schoenberg's Twelve-Tone Music Author(s): Andrew Mead Source: Music Theory Spectrum, Vol. 9 (Spring, 1987), pp. 67-92 Published by: University of California Press on behalf of the Society for Music Theory Stable URL: . Accessed: 06/04/2013 05:08
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Twelve-Tone Music
Many of Arnold Schoenberg's twelve-tone compositions displaysurface featuresthat strikinglyinvoke large-scaletonal forms. This has led some to conclude that Schoenberg, like Moses, having broughthis followers to the edge of the promised land, could not bringhimselfto enter-that havingdiscovered twelve-tone composition, he used it as a means of filling the shells of tonal formsratherthan pursuingits own particular formal and form-generating properties.1 Analysis reveals, however, that even Schoenberg's most ostensibly "tonal" forms are not some sort of musical taxidermy-rondo and sonata-allegroskins stuffed and mounted with chromaticsawdust. On the contrary,the surfacesof his musicreveal compositional strategies animatedby relationsprovidedby the twelve'The following is typical: is composed of the fourmovements of the Beethovian "[T]heWindQuintet [sic] some to assertthatSchoenberg nata.Thatsimpleenumeration wasemploying permits to enclosepreclassic thenascentserialtechnique andclassic formsin the elaboration to thoseveryforms;the articulation of a worldruledby functions of an antagonistic not flowing architecture the hiatusbetweenthe strucentirelyfromserialfunctions, turaledifice of the work and the determination of its materialis clear." (Pierre Boulez,Notesof an Apprenticeship [NewYork:AlfredA. Knopf,1968]:255-256, translated fromthe Frenchby Herbert Weinstock.) This sort of criticism is also used to motivate the discussion in Martha Hyde, "The Roots of Form in Schoenberg'sSketches,"Journalof Music Theory 24/1 (1980): 1-36.

tone system. Despite surface similarities to tonal idioms, Schoenberg'stwelve-tone music representsa distinctlydifferent formof musicallife. I will attemptto demonstratethispoint in the present paper through analysisof two of the more dramaticallyimitative movements in Schoenberg'swork, the first andlast movementsof the WindQuintet, opus 26, andwill suggest some extensions by means of a few brief examples from some of his other twelve-tone compositions.2 Before proceeding, it is necessary to define brieflythe nature of relationsprovidedby the twelve-tonesystem. Relations in a twelve-tone compositiondepend on the varietyof relations

2Theinteractionof form and twelve-tone structurein Schoenberg'smusic has been a centralquestionin twelve-toneanalysisfromthe outset. Among the as a Compohistoricallysignificantwritingsare MiltonBabbitt, "Set Structure sitionalDeterminant,"Journalof Music Theory5/1 (1961): 72-94; David Lewin, "A Theory of Segmental Association in Twelve-Tone Music," Perspectivesof New Music 1/1 (1962): 89-116; George Perle, SerialCompositionand Atonality (London: Faber and Faber, 1962); and Schoenberg'sown essay, "Compositionwith Twelve Tones," in Styleand Idea (New York: Philosophical Library,1950). Recently there has been renewedinterestin this area, yieldinga numberof articles.An analysisof the entire Wind Quintet is found in LangdonCorson, Arnold Schoenberg's Woodwind Quintet Op. 26 Backgroundand Analysis (Nashville:GasparoCompany, 1984). Corson describessome of the row rela-

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Music Theory Spectrum

tions found below, and makes a number of general observations about the large-scaleformsof the work'smovements.His discussion,however, attempts to bridgethe gap between large-scaleformand twelve-tone structureby creating analogiesbetween rows used and tonal functions. Ethan Haimo and Paul Johnson, in "IsomorphicPartitioningand Schoen" Journalof Music Theory28/1 (1984:47-72, deberg'sFourthStringQuartet, velop variousinvariancerelationsamong rows based on non-segmentalpartitioning, and illustrate their consequences with examples from the first movementof the FourthQuartet MarthaHyde has explored the interaction of twelve-tone structure and formin a numberof articles,startingwith "The Roots of Form," and most recently in "MusicalForm and the Development of Schoenberg'sTwelve-Tone Method," Journalof Music Theory 29/1 (1985): 85-143. In the latter Hyde outlinestwo basictechniquesshe has discoveredin the Suite, Opus25, and suggests their significancefor later twelve-tone works. The first, initially developed in her earlieressays, identifiescollectionsprojectedin the musicalsurface derived from non-adjacentrow elements, or elements from more than one row, that belong to the same collection classes as the variouscollectionsfound segmentallywithin the members of the row class. These she calls secondary harmonies.For the most part, Hyde concentrateson collection class membership, ratherthan actual pitch class content. In order to deal with collections arisingin the musical surface that do not belong to collection classes represented segmentally,Hyde has identified a second technique, which she calls harmonies.These consistof collectionsbelongingto the same collecinvariant tion classes as collections assembled from various segments held invariant amongspecificmembersof the row classused in the movement, or the composition as a whole. As with the secondaryharmonies,collection class membershipis emphasizedover pitch class content. Hyde restrictsherselfto segmental invariants,and does not distinguishbetween those invariantsegments arising as propertiesof pitch class collections at a fixed set of order numbersin two membersof a row class, and those arisingfrom the presenceof more than one memberof a pitchclasscollectionclass associatedwith more thanone member of an order numbercollection class in the row. The two techniques serve to articulateand define formal sections in Hyde's analyses within and among movementsof Opus25, basedon the collectionclassesrepresentedin the musical surface. Note (Ph.D. Dissertation,BrandeisUniStevenMackey,in TheThirteenth versity,Spring1985), considersthe questionof registralplacementof tones in the unfoldingof materialat the outset of the firstmovementof the ThirdQuartet, and relatesthe resultingobservationsto the way the materialreturnsat the recapitulation.From this analysis he develops a discussion concerning the

among rows of the work's row class.3 A row is a specific ordering of the twelve pitch-classes, or in other words a specific assignment of the twelve pitch classes to the twelve order numfunctionof pitch class registralplacement in local and long-rangeunfoldingof aggregatestructures. While largely concerned with a detailed account of local progression, of Sets in MultipleDimensions:Notes on the StphenPeles, in "Interpretations Second Movementof Arnold Schoenberg'sStringQuartetno. 3," Perspectives of New Music22, nos. 1 and 2 (Fall-Winter1983, Spring-Summer 1984):303of the movement's 352, makes a numberof points crucialto the understanding large-scaleformalprocedures.First, he notes the projectionof multiplesimultaneous collections in the surface based on differentcriteriaof grouping, and furthernotes their partitionalderivations. His analysisreveals the recurrence of specificcollections, derived in a variety of ways from the underlyingrows, andsuggeststhe complexnetworkof interdependentstrategiesbased on different collectional invariance and order-relations among rows that forms the structureof the movement Bruce Samet, in HearingAggrgates(Forthcoming,PennsylvaniaState UniversityPress), tracesin minutedetail the use of rowrelationsthroughthe opening sections of the thirdmovement of the StringQuartetno. 4. Samet is rigorous in his perceptualcriteria,and is able to revealthe local andglobalstructural significanceof the way each of the aggregatesof the passageunfolds, individually and as partsof largerstructures.His accountingtakes in detailsof articulation, dynamics, register, note repetition and so forth to reveal the consequences of Schoenberg'scompositionalchoices to a profounddegree. My "Large-ScaleStrategy in Arnold Schoenberg'sTwelve-Tone Music," of New Music24/1 (1985): 120-157, traceslong-rangeconnections Perspectives amongsectionsof movementsof the Violin Concerto,WindQuintetand Piano Concertobased on the use of recurringpitch class collectionsheld invariantin variousways, both segmentallyand non-segmentallyamong rows and collections of rows, and examines the use of interdependentstrategiesto articulate large-scaleform. the paper I shall make the distinctionbetween an instanceof 3Throughout an entity and the equivalenceclass to whichit may belong. Notationally,a collection, whetherof order numbersor pitch classes, will be indicatedwith curly brackets:0, and a collectionclass with parentheses:(). This reflectsthe distinction made between sets and set-types outlined in Allen Forte, TheStructure of Atonal Music (New Haven: Yale University Press, 1973). Another outline of pitch class set theory is found in John Rahn, Basic Atonal Theory(New York: Longman, 1980).

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'Tonal'Forms in ArnoldSchoenberg's Twelve-Tone Music


bers.4A row class is the equivalence class of rows generated from some row together with a specificationof operatorsand their ranges.5Row classes are closed systems:any operatorapplied to any memberof the row classwill yield anothermember of the row class.6Obviously, a compositionemploying a given row class need not exhaustthe row class. In classicaldescriptionsof twelve-tonetheory, the operators are Tx and Iy appliedto the pitch classes, with x and y ranging
from 0 to e (10 = t, 11 = e) mod 12 (where x is the constant of

transposition, and y the constant of inversion, or index numand Ie appliedto the ordernumbers,yieldingthe ber),7and TO and identity retrogression.8(In this paper, pitch classes and their operations will be notated in roman:Tx, Iy, 0, 1, 2, .. .;

4Thismannerof describingtwelve-tone rows originatesin Milton Babbitt, "Twelve-ToneInvariantsas CompositionalDeterminants,"MusicalQuarterly 46 (1960): 246-259, reprintedin Problemsin ModernMusic, ed. Paul Henry Lang (New York: Norton, 1962). 5Thismatches the approachused in Daniel Starr, "Sets, Invariance,and Partitions,"Journalof Music Theory22/1 (1978): 1-42. However, I define my operatorsin a slightlydifferentway. 6Thegrouptheoreticalimplicationshere impliedby the twelve-tonesystem are indicated in Babbitt, "Twelve-Tone Invariants," and are examined in depth by Robert Morrisin his forthcomingbook on group theory and twelvetone music. 7Indexnumberis firstdefined in Milton Babbitt, "Twelve-ToneRhythmic Structureand the ElectronicMedium," Perspectives of New Music 1/1 (1962): 49-79. It is the constantfrom which an element of a collection is subtractedin order to determine its inversion. Thus, for the operators described above, Tx{a, b} = {a + x, b + x} and Iy{a, b} = {y-a, y-b}. 8Theimplied isomorphismof pitch classes and order numbershas been explored in a number of articles, including David Lewin, "On Certain Techniques of Re-orderingin Serial Music,"Journalof Music Theory10/2 (1966): 276-282; Andrew Mead, "Some Implicationsof the Pitch Class/OrderNumber IsomorphismInherent in the Twelve-Tone System," Perspectivesof New Music forthcoming;Robert Morris, "On the Generation of Multiple-OrderFunctionTwelve-Tone Rows," Journalof Music Theory21/1 (1977): 238-263; Walter O'Connell, "Tone Spaces," Die Reihe 8 (1968): 35-67; John Rahn,

order positions and their operations will be notated in italics In practice, Schoenberg used both Tx, Iy, O, 1, 2,....) and row classes.9 smaller larger Relations among rows of a row class are basically of two types: those involving unordered pitch class collections held invariant in some way, and those based on ordered pitch class collections. Each of these basic distinctions contains a number of sub-types, and the two general types are highly interdependent. The concept of the mosaic is useful for discussing all types of row relations.10 A mosaic, notated W or W, is a parsing of the twelve pitch classes or order numbers into discrete collections. The collections of a mosaic are not ordered with regard to each other, nor are the elements of each constituent collection. Mosaic classes are equivalence classes of mosaics under Tx and Iy (or Tx and Iy).11 A mosaic may be mapped onto itself if for some operation at some value there exists in the resulting mo-

of OrderingOf and In PitchandTime," "On Pitchor Rhythm:Interpretations of New Music 13/2 (1975): 182-203; LarrySolomon, "New SymPerspectives metricTransformations," of New Music11/2(1973):257-264; MiPerspectives chael Stanfield, "Some Exchange Operations in Twelve-Tone Theory: Part One," Perspectivesof New Music23/1 (1984): 258-277, and "... PartTwo," of New Music24/1 (1985): 72-95. Perspectives 9Therowsof the Suite Opus 25 are a subset of the classicalrow classof that piece, but form a closed system underthe operators.This piece is discussedin MarthaHyde, "The Roots of Form."The WindQuintetemploysthe fullrange of operatorson the order numbersas well as the pitchclasses, yieldinga grand row class of 576 members. This is detailed in my "Large-ScaleStrategies." from the sketchesis offered in FusakaoHamao, "TheHistorical Confirmation Originof Schoenberg'sCombinatorialHexachord,"presentedat the 1986Society for MusicTheory annualconference, Bloomington,Indiana. "The term "mosaic" is introducedin Donald Martino, "The Source Set and Its Aggregate Formations,"Journalof Music Theory5/2 (1961):224-273. "An interesting feature of mosaic equivalence classes is that while two members of an equivalence class must have collections of the same classes, their havingcollections of the same classes is not sufficientto guaranteemembershipin a mosaic class. Considerthe followingmosaics:

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Music Theory Spectrum

saic a collection of identical content for each collection of the original mosaic.12 Note that this means that individual collections may map onto themselves or onto each other, in some combination. Figure 1 is an example of a mixture of collectional mappings. Figure 1 W: {3,7,9, e} {l, , t, 2} {4,6,8,5} {2,0, t, l}

Figure3 A: P: 379e|l I6(P): 3e9715 0t214685 684120t

{ ,0, t, 2} {4,6,8,5} 5 2 46 Ot 7 9e 1 2 4 8 {0, 5, 6, e} {,4,7, t} {2,3,8,9} {2,3,8,9} {1,4, 7, t} {0, 5, 6, e}

invariant at W: {3, e, 9,7} B: P: 3 7 T3(P): 8


t 1 9e 53

I6(W): {3, e, 9,7}


A mosaic of one domain applied to a row yields a mosaic of the other domain: W(P) is thus an order number mosaic, and W(P) is a pitch class mosaic. This is illustrated in Figure 2. Figure 2

invariant with P at W. {0, 5, 6, e} {1, 4, 7, t} {2, 3, 8, 9}


P: 0123456 379e10t24685 W:{3,7,9,e}


7 e {4,6,8,5}

53 1 46 2

Ot 8 9


invariant with P at the same W as in B above D: P: 379e 10t24685

W(P):{0, 1, 2, 3} {4, 5, 6, 7} {8, 9, t, e} W: {0, 1, 2, 3, 4} {5, 6} W(P):{3,7,9,e, l} {0,t} 7, 8, 9, t, e {2 4 6 8 5}

Ie,T2(P): 7 t 8 6 4 0 2 3 1 e95 invariant with P at W. {0, 1, 6, 7} {2, 3, 4, 5, 8, 9, t, e} Using mosaics, we can describe the various conditions of collectional invariance between two rows, P and H,H(P), where H,H is some combination of operators and values in the row class. Two rows are collectionally invariant for some mosaic, W (or some mosaic W) if W(P) equals W(H,H(P)). Four distinct patterns of this sort of relationship are illustrated in Figure 3. Each example in Figure 3 arises from a different set of conditions. In 3A, the two rows are related solely by pitch class operation, and their invariance is the result solely of the property of the pitch class mosaic that allows it to be mapped onto itself at

W1: {0,1,2} {e,3,4} {6,9,t} {5,7,8} W2: {0,1,2} {5,9,t} {7,8,e} {3,4,6} While both mosaics each contain a member of each of the collection classes (0,1,2), (0,1,3), (0,1,4), and (0,1,5), thereis no simpleoperationthat will map mosaicsandtheirinteractionwith hexachorW1onto W2.A studyof trichordal and theirTrichordalGenerdal mosaicsis foundin Steve Rouse, "Hexachords In TheoryOnly8/8 (1985): 19-43. ators:An Introduction," of collectional invariance properties are found in Forte, The 12Studies Structure of Atonal Music, Herbert Howe, Jr. "Some CombinationalProperties of Pitch Structures,"Perspectivesof New Music 4/1 (1965): 45-61, and Rahn, BasicAtonal Theory.

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Twelve-Tone Music 71 'Tonal' FormsinArnold Schoenberg's

the appropriateoperatorvalue. Similarly,in 3B, the two rows are related solely by an order numberoperation, so that their invariancerelationdepends on the fact that the constituentcollections of the order number mosaic in question map onto themselves or each other at the operatorvalue. In other words, the relationshipin 3A is not dependent on the order number collections at which the collectionsof the pitch classmosaic appear, and in 3B, the relationshipdoes not depend on the nature of the pitch class collections arising at the order number mosaic's collections. Thus, relationsof these two types do not depend on a row's ordering. However, the relationshipsin 3C and D are dependent on the specific association of order number collection with pitch class collection in a row and its row class. In both 3C and 3D, the two rows are related by operations in both the pitch class and order number domains. In 3C, the invariancerelationship depends both on the properties of the order number mosaic and the pitch class mosaic, such that each may map onto itself under the appropriateoperation. This, in effect, combines the restrictionsof 3A with 3B, and in all three cases invariancedepends on the invariancepropertiesof the mosaicsin question.13 Figure3D, on the other hand, depends on a completely different aspect of the relationsof order numbermosaics with pitch class mosaics in a row. In this case, there must be two instances of a member of some pitch class mosaic class associatedwith a member of some order numbermosaic class in a row for there to be an invariancerelationshipwith a transformationof the row.14Thus, in 3D, we find that the row P contains two in-

stancesof the associationof a memberof the pitchclassmosaic class (0,1,5,8) (2,3,4,6,7,9,t,e) with a member of the order number mosaic class (0,1,6,7) (2,3,4,5,8,9,t,e). Note that the sort of relationshipfound in 3D is not dependenton invariance propertiesof the mosaics. The fact that the mosaicsused in this example have particularinvariancepropertiesmerely means that a wide variety of rows may be relatedto P based on all of the relationaltechniquesoutlined in Figure3, at this particular pairof mosaics. case of anotherformof collectional Figure3D is a particular relationshipbetween rows of a row class, based on the various order number collections associated with a pitch class collection class, and the variouspitchclasscollectionsassociatedwith an order numbercollection class. (Collectionsmay be thought of as de facto two-partmosaics, the collection and its complement. All of the following discussion may of course be extended to multi-partmosaics as well.) Figure 4 illustratesthe catalogueof pitch class collections associatedwith a particular ordernumbercollection class, and the catalogueof ordernumber collections associated with a particularpitch class collection.15 In Figure4A, we find two instancesof the pitchclass collection classes (0,1,2,3,4,6) and (0,2,3,4,6,8) at members of the same order numbercollection class: that whichyields segmental hexachords.In 4B, we find a numberof instancesof membersof the pitchclasscollection class (0,1,5,8) appearing at two membersof some order numbercollectionclass. As one might imagine,it is possible to set up a wide varietyof relationalstrategies involving pitch class collections found at similar order number collections, or dissimilarpitch class collections found

13The precedingdiscussionis a way of formalizingsome of the kindsof relationshipsoutlined in Haimo and Johnson, "IsomorphicPartitioning,"and can be used as the basis of generalizingfrom segmentalto all order numbercollections the ideas in Lewin, "A Theory of SegmentalAssociation." idea is extended with segmentalcollections in Robert Morris, "SetA4This type SaturationAmong Twelve-tone Rows," Perspectivesof New Music 22, nos. 1 and 2 (Fall-Winter 1983, Spring-Summer 1984): 187-217.

'5A technique for generating catalogues of pitch class collections over an order number collection class and vice versa is found in the author's"Some Implications."It entails the constructionof a matrixof ordernumberrows arrayedagainstnormalizedpitch classes.

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Music Theory Spectrum

Figure4 A: P: 379e10t24685
W:(0, 1, 2, 3, 4, 5) (6, 7, 8, 9, t, e)

I I _ji


(0,2,3,4,6,8) (0, 1,2,3,4,6)

(0, 1,2,3,4,5) (0, 1,2,3,4,6) (0, 2, 3, 4, 6, 8)


at similarordernumbercollections, or dissimilar ordernumber collectionscarryingsimilarpitch class collections. Orderrelationsoccur between two rows when one or more collectionsof some pc mosaic are orderedthe same way in each row.16 This may occur when a given collection may be mapped onto itself in order under some non-zero operation,'7or because two membersof a given pitch class collection class in the row are ordered the same way to within the prescribedoperations. These two situationsare illustratedin Figure5. Figure5 A: P: 379e 0t24685

(0, 2, 4, 6, 8, t)

Ie,5I(P): 09e1375468t2 B: P: 379e10tt2 468 4531 e7

Ie,T4(P): 90t862
B: P: 379 e10t24 685
* *

C: (0, 1,5,8) (0, 1, 6, 7) (0, 2, 5, 7)

0 0


(0, 1, 6, 7)

relationsin The foregoinggives us a basis for understanding a twelve-tone composition. As any row may be sliced into any mosaic, either of ordernumbersor pitchclasses, the criteriaby of rows become whichwe decide on the mosaic interpretations

(0, 2, 4, 7) (0, 3, 6, 9)
16Order relations are discussed in the following articles, among others: Philip N. Batstone, "MultipleOrder Functionsin Twelve-Tone Music," Perspectivesof New Music 10/2 (1972): 60-71, and 11/1 (1972): 92-111; David Kowalski, "Constructionand Use of Self-Deriving Arrays," Perspectivesof New Music25, nos. 1 and 2 (Fall-Winter1986, Spring-Summer 1987); Morris, Rows"; Daniel Starr, "Derivation and Polyph"Multiple-Order-Function ony," Perspectivesof New Music 23/1 (1984): 180-257; Peter Westergaard, "Towarda Twelve-Tone Polyphony," Perspectivesof New Music 4/2 (1966): 90-112. 17Thisis discussedin FusakaoHamao, "On the Originof the Twelve-Tone Method:Schoenberg'sSketches for the UnfinishedSymphony(1914-1915)," presentedat the conferenceof the Societyfor MusicTheory, Vancouver,B.C., November 1985.

(0, 2, 5, 7) (0, 2, 6, 8)

(0, 2, 3, 7) (0, 2, 3, 6)

(0, 1, 5, 8) (0, 3, 6, 9) (0, 2, 4, 7)

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FormsinArnold 'Tonal' Twelve-Tone Music 73 Schoenberg's criticalto our analyses. If groupingstrategiesare not based on the way the surfaceof the music is perceived, then the analysis ceases to reflect the music as it is heard, and becomes purely self-referential.I shall rely on common sense for groupingfor the purposesof thispaper, but clearlywe need a formalizedand systematic investigation of grouping strategies, based on the perceived surfaceof the music.18 In Schoenberg'spractice,rows appearin the musicalsurface projecting several different mosaic interpretationssimultaneThis allowsa given ously, based on differentgroupingcriteria.19 musicalpassageto participatein severaldifferentrelationaltrajectories at once, both long-range and local. Furthermore, significantpitch class mosaics and collections frequently arise from combinationsof several rows. This occurs within aggregates formedfromsegmentsof more thanone row, or by means of surface groupingacross spans of two or more aggregates.20 We must therefore extend our use of pitch class mosaics to include multiple-rowgroupings.As we shall observe, pitch class mosaics derived from more extended groupings are usually members of pitch class mosaic classes that have received specific treatmentwithinsingle rows. By tracingrelationsthrough a movement, we can gain an insightinto its compositionalstrategy. WindQuintet,Opus26, FirstMovement,Schwungvoll The firstmovement of Schoenberg'sWind Quintet, op. 26, is perhapsthe most notorious example of a twelve-tonemovement imitating a tonal form. It appears to be a text-book sonata-allegro,with a repeatedexpositioncomplete with "first theme," "second theme," and a transitionalpassage connecting them; it also contains a development section, and, most in whichthe "secondtheme"is damningof all, a recapitulation transposed up a perfect fourth, the appropriateinterval had this indeed been a tonal work with the second key area the dominant. All this looks mighty suspicious, but we shall see that each feature, even the transpositionin the recapitulation, reflects relations within the piece's row class working in an overridingcompositionalstrategyfor the whole movement. When we examine the rows used in the exposition, we find they exhibit a number of collectional and order relationships involvingrow segments. The principalcriterionfor projecting rows in the exposition is the assignmentof rows or row segments to individual instruments. Virtually all of the haupstimmeare either complete rows, or discretehexachordsfrom the row. Row use changeswith the sections;the three sections of the exposition are distinguishedin the musical surfacenot only by the change of rows used, but also by the use of ritardandi and change of motive. Figure6 is a list of rows found in the exposition, and a chartof their segmentalrelations. As may be seen, all of the rows found in the expositionare closely related by row segment, both by collection and by order. Each of the two primarysectionsuses a principal row:P for the first section, and It(P) for the second section. These two rows are conjoined only in the transitionalsection. They also have the greatest degree of connectednesswith the other rows used in the exposition. The subsidiary rowsused are frequently connected to the principalrows by means of an orderrelation, suggestingthat they act as motivic extensions of the principal

18Such a need has been addressedby C. F. Hasty, most recentlyin "Material and Form in Webern'sTwelve-Tone Music," presented at the annualconference of the Society for Music Theory, Bloomington, Indiana, November, 1986. An outline of a formaltheory of segmentationhas been recentlyoffered by Fred Lerdahland John Covach in "A Generative Approach to Set Theory and Analysis," presented to the MichiganMusicTheory Society, Ann Arbor, Michigan,January1987 '9Thisfeature, among others, is addressedin detail in Peles," Interpretations of Sets," and is demonstratedto a profound degree in Samet, Hearing Aggregates. 200ne instance of groupingacrossspans of aggregatesentails the notion of secondarysets, as outlined in Babbitt, "Twelve-ToneInvariants."

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Music Theory Spectrum Figure6 continued P: 379e10t24685



I5(P) a/
-c -


Firstmain section (bars 1-28): P, I6(P), also Ie(P), plus their retrogrades (Ie) and some rotations(T) Transitional section (bars29-41): P, It(P), and retrogrades Second main section (bars 42-73a): principallyIt(P) and its retrograde;also I5(P), I6(P), I3(P), T5(P) and some of their retrogrades. Segmentalrelations: Tx(P), I(2x+5) (P) (a): P: 379e 10t24685 I5(P): 2t86457 31 e90

d I6(P)

b T5(P) /


d \e(P Ie(P)

Tx(P), T(x+5) (P) (b): P: ,379e 0t24685 T5(P): 80 2 4 6 53 7 9e 1,t

Tx(P), I(2x-2) (P) (c): P: I379e1 0t24685 11 1t

The prevalenceof projected discretesegmentalhexachords in the musical surface suggests a particularaspect of the relationshipbetween the two principalrows of the exposition. The greatest intersection between two inversionallyrelated hexachords of the segmental collection class (0,2,3,4,6,8) is five pitch classes. This occurs in two ways, as exhibitedby the two different inversionally symmetrical five element collections found in Figure 6c. Thus there will be two rows with maximal hexachordalintersection with P: It(P) and IO(P).It(P), used here, not only has maximalintersection, but also displaysthe high degree of segmentalinvariancefound in Figure6. The musical surface at the opening of the first and second sections emphasizesthe relationshipbetween P and It(P). This is illustratedin Example 1. Example 1

7 31e9t08 It(P): 1 It Tx(P), I(2x+6) (P) (d):

P: 379el

..6425 ,

i Ir






I6(P): 3e975684120tl


Ir fb



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Music 75 Twelve-Tone 'Tonal' FormsinArnold Schoenberg's In both passages, the sharedcollection is projectedin a narrow span, with the differing pitch class separated by a large skip. As will be seen at the end of the exposition, the resulting emphasisof the finalpitch class of the hexachordwill itself become motivicallysignificant.In addition, each passage opens with the same unordered dyad, {3,7}, presented in a similar manner. While the two main sections of the exposition project row segments based on the discrete hexachords, the transitional section, in contrast, opens with a segmental hexachordspanning the discretehexachordalboundary,acrossordernumbers 3-8. The role of this new hexachord, projected in the same manneras the discretehexachordsof the main sections (by inof the expostrumentalline) will become clear in the summary sition. The passageis illustratedin Example2. Example2

line has yieldedrowsandhexaThe criterionof instrumental chordalrow segments, for the most part. Withinthis criterion, we have seen registralshift articulatecollectionallyinvariant

L_ -








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Music Theory Spectrum

segments.When we shift to additionalcriteria,we shall see additionalmosaic-forming groupingsthat operate in the music. 3 the contains Example opening six bars of the movement. As with many of Schoenberg'sworks, the opening reveals a numberof clues to the way the musicwill progress. The opening passage consistsof a statementof P in the flute, accompanied by T6(P) in the other instruments,and finallyby its own trichords in bar6. In additionto the hexachordallyand trichordallypartitioned presentationof P in the flute, we can observea numberof interestingpitch class mosaics and collections. The opening aggregate, through the third beat of bar 3, can be parsedby discretetimespansinto a pair of hexachordsbelonging to the (0,1,2,5,7,8) collection class. This is equivalent to combiningalternatediscretetrichordsof P. If we considerthe accompanimental presentationof T6(P) as a trichordalmosaic parsedby individualinstrumental part, we find that the resulting hexachordalmosaicsformedby takingthe variouspairings of trichordsare either segmental, or belong to the same hexachordalcollection class as the hexachordfound temporallyin the passage(see Figure7). Figure7
{2, 5, 3} {t, 8,9} {4, 6, 7} {e, 1, 0} (0, 1, 2, 3, 4, 5) (0, 1,2,3,4,6) (0, 1,2,5,7,8)

vic juxtapositionof the last note of the horn with the firstnote of the bassoon; and so on. We may also note in the passagethe delay of the finalnote of the bassoon, allowingus to groupthe pitch class t with the precedingfive pitch classes, 3, 7, 9, e, 1; this yields the collectionof the firsthexachordof It(P), in the collectionalpartitionfound at the opening of the second main section. Still anotherdetail is worthnoting. The downbeatof bar 6 is the firstplace in the piece where more than two instrumentsattack simultaneously. The resulting collection is a member of the collectionclass (0,1,5,8), found at ordernumbers(0,3,6,9). One more significantcollection is derived from among row statementsat the end of the exposition. The passage consistsof statementsof the hexachordsof T5(P) with a significantalteration of the last pitchclass, It(P), and I3(P), all projectedso as to accent the final notes of the hexachord, either by dynamicinflectionor by registralseparationin the mannerof the opening of each of the mainsections. The passageis illustratedin Example 4, and the row parsingis found in Figure8. Figure8 T5(P): 802465 I3(P): 086423
It(P): 731e9t

379e10* 51e97t

* note the alteration from the expected pitch class t

Each pairingmay be perceptuallyargued. The oboe may be conjoined with the bassoon because of their shared timbre; likewisethe clarinetwith the bassoonas bottom edge of the ensemble; the oboe with the clarinetas lower half (note that the horn does not crossthe oboe partuntil the pairingof oboe and clarinetis completed);and the hornwith bassoon by the moti-

This passage produces an emphasis on the collection {0,3,5,t}. Note the collectionalassociationsproducedby the remainingpitches, and the resultingquotation of P's firsthexachordthroughthe alterationof the second hexachordof T5(P). Spanningthe entire expositionis a series of high pointsillustratedin Example 5. As may be seen, the resultingcollectionis a member of the (0,1,2,3,4,6) collection class, the class of the hexachordfound twice segmentallyas noted in Figure4.

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'Tonal' FormsinArnold Twelve-Tone Music 77 Schoenberg's

Example 4
h r.


1' fl>





Example 5
6 7 23 24 45 57 60 61 68


- bi

^ & -0 v - -- - #~~_

Before examiningthe ways the collections and mosaics discussedabove behave in the restof the movement, I will summarize the way the expositionunfolds. In the firstsection, primary material articulatedby individualinstrumentprojects a series of row and discrete hexachordal statements from a limited number of rows. These rows are related by segmental invariance. At the outset of the transitionalsection, not only do we have a new row, It(P), but the customarymode of projection, by individualinstrument,yields a parsingof the row heretofore not found as primarymaterial.It is true that duringthe opening section we have had examples of the hexachordfound as the conjunctionof the firstand last trichords,or the middle two trichords, but it has arisen as subsidiarymaterial, ratherthan as material.However, with the adventof the second main primary section, the role of the primarymaterialof the transitionalsection is made clear (see Ex. 6). As may be seen, in the passage characterizedby the close melodic connection with the opening, the primarymaterialof V
bsn. I

C. r



the transitionalsection is repeated almost literally,within the of the transiaccompaniment,demonstratingthe subsumption tional section within a largerargumentspanningthe exposition as a whole. In other words, our first impressionof the transitional section, both in its use of a new row and in its promotion of formerlysubsidiarymaterialto primarymaterial, is recontextualizedby the emergence in the second major section of a specificassociationof the new rowwith the opening,employing the same mannerof projection, and includingthe same subsidiaryrole for the materialfound at the surfaceat the outset of the transitionalsection. Throughoutthe exposition, and spanningit, are projections of material not associated with the primarymaterial drawn from discrete hexachords. This additionalmaterialis grouped in the musicalsurfaceby differentcriteriaas well, creatinga si-

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MusicTheory Spectrum

multaneousseries of differentcollectional and mosaic projections. Because this additional material is drawn either from non-segmental sources crossing the discrete hexachordal boundary,or segments crossingthe same boundary, it has a very differentintervallicqualityfrom the discretehexachords. Each discretehexachordconsistsof five pitch classes from one whole-tone scale, and one pitch class from the other wholetone scale. Thus, all odd intervalswithin discrete hexachords must employ the single pitch class from one whole-tone scale. Sucha conditionrulesout a wide varietyof collections, and it is not surprising that the secondarymaterialdrawnfrom crossing the hexachordalboundaryaboundsin discretedyads with odd intervals.The distinctionbetweenthe hexachordaland secondary materialsis of course dependent on the hexachord theoof even intervalswithinthe hexabut the preponderance rem,21 chords and odd intervals between the hexachordsmakes the distinctionin this case extremelyvivid. In contrast with the exposition, the development section makesuse of non-segmentalrow parsingsfor its primarymaterial. Whilerow segmentsdo appear,they tend to be subsidiary to the non-segmentalmaterials.The change of emphasisis elegantlymade at the outset (see Ex. 7). The statementof P is unmistakeable,but its mode of projection underlinesthe change of instrumental roles. The firstcollectionclass to receive attentionin the development section is the one whose memberswere found segmen-

Example 7
)^ 76



| I







-r w



tally crossing the hexachordal boundary in the exposition. The passage illustrated in Example 8 is saturated on the surface with members of this collection class, derived both segmentally and non-segmentally from the rows present. Figure 9 illustrates the means of derivation. Figure 9 Is(P): .4 t0 1 c 9 7 3 5 8 6

31 ,Lj, tO2486579e 10,16(P): I ,L ,I Note that in contrast with the passage in Example 7, the passage in Example 8 is composed of the other set of discrete dyads in the row. A later pair of passages contrasting the two discrete dyad parsings of the row brings to the surface collections we observed at the opening and close of the exposition. The first of these two passages pairs the three discrete dyads of each discrete hexachord of T8(P). The passage is illustrated in Example 9, and the resultant mosaic revealed in Figure 10.

hexachordswill contheorem states in part that two complementary 21The tain the same index of intervalclasses; a straightforward corollaryof this says that intervalsnot found within the hexachordsmust therefore be found between them. Given the propensityfor the discretehexachordsof P to contain that the collections formed beeven (whole-tone) intervals,it is not surprising tween hexachordswill tend to have odd intervals.A clear presentationof the hexachordtheorem is found in Rahn, Basic Atonal Theory.It is additionally found in Eric Regener, "On Allen Forte'sTheory of Chords,"Perspectives of New Music13/1(1974): 191-212, amongother places.

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'Tonal' FormsinArnold Music 79 Schoenberg'sTwelve-Tone

Example 8

Example 9

Example 10


, */ \ /



: $7121 I r^_

?J I.. rg (mbanSS

Figure 10 T8(P): c3

Figure 11 57

41 1,5,8) P: 3 7 0 e 0 t 24 6 8 5

(0, 1,5,8)(0,2,5,7)(0,

The resultant mosaic conjoins members of the two fourelement collection classesrepresentedat the beginningandend of the exposition. Furthermore,the firstmemberof (0,1,5,8) is the same collectionas thatfound at the downbeatof bar6. Note that the order numbercollection associatedwith the pitch class

collection at bar 6 is differentfrom that associatedwith it here. The following passage features a member of the (0,2,5,7) collection class, in fact the same one as found at the end of the exposition. This is illustratedin Example 10, and the mosaicis offered in Figure 11.

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Music Spectrum Theory


Example 12




-(^^r^^3 3



. ,i -_
, J


'r ? 9.r V)

j? P"3 7^ 1" I 1


sc 7t



Thus, the specific transpositionsof non-segmental collections found in the exposition appear featured in the development, arisingfrom differentordernumbersources. Membersof the (0,1,5,8) collectionclasscontinueto appear in the developmentsection, as illustratedin Example 11. In the exposition, the second main section produceda reinterpretationof the relationshipbetween the firstmain section and the transition,by providinga context in which the two disparatepassageswere subsumed.In a similarmanner,the recapitulationreveals a higher strategywithin which the differing strategies of the exposition and the development are subsumed.Thisis done both in detailand in the large. The strategy of the expositionis to presentprimarily segmentalmaterialsrelated by differentdegrees of collectionalinvariance.The strategy of the developmentis to draw a variety of non-segmental refmaterialsfrom the rows used, with certain transpositional erencesto the exposition'ssecondarymaterial.In the recapitulation and coda, the primaryinvariancelink between principal

areasis based on instancesof collectionalinvartranspositional iance whose order number mosaics do not representrow segments. Thus the strategy of invariance in the exposition is meshed with the strategyof drawingout non-segmentalmaterials in the developmentsection to produce the recapitulation. The initialreturnof the opening of the work at the beginning of the recapitulation helps to underlinethe unificationof stratethe gies by presenting recognizablysegmentalmaterialdivided amongthe instruments.In contrastto the openingof the develprofiledto suggest opment section, the passage is rhythmically the return of the opening, rather than a move away from the proceduresin use (see Ex. 12). Of far greatersignificanceis the relationshipbetween P, the principalrow of the firsthalf of both the exposition and the recapitulation,and I3(P), the row that replaces It(P) as the principal row of the second major section in the recapitulation. Here at last we arriveat that most suspiciously"tonal"move, the transpositionof the second half of the recapitulationup a

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Music 81 Twelve-Tone FormsinArnold 'Tonal' Schoenberg's

Example 13

perfect fourth. But consider the two mosaic relationsbetween P and I3(P) as shown in Figure 12.22 These two mosaics represent the four element collection found at the end of the developmentand in the recapitulation, and the hexachordalmosaicfound temporallyin the very opening of the movements. Lest this seem just a theoreticalconceit, considerthe passagein Example 13. Clearlythe pitch class mosaics used to relate P with I3(P) are stronglyprojected in the surfaceof the music at the close of the movement. To summarize,we can see that an underlyingstrategyof this movement is the gradualextension of modes of extractingmaterial from the rows combined with a gradual extension of modes of establishinginvariancerelationshipsamong rows, articulated in ways such that elements that seem initially highly contrasted(the firstsection of the expositionand the transition section;the expositionas a whole andthe developmentsection) are revealed retrospectivelyto be parts of larger overarching strategies. Even the repeat of the exposition works within this

scheme. By allowingthe version of P found dividedamongthe instrumentsat the outset of the developmentto replacethe return of P heard in the flute at the repetitionof the exposition, in its mode of projecwe can see the expected row transformed tion as a departure;and the eventual returnof the same row similarlyprojected at the beginning of the recapitulationreveals all the more stronglythe synthesisof the diversestrategies of exposition and development. Figure 12 P: 3 7 9 e 13(P): 0864235 t 4685

13(P): 0 8 6(



22The firstof these mosaics is related to the patternthat underliesthe third movement of the Wind Quintet. This pattern has been noted in Arnold Schoenberg, Style and Idea (New York: PhilosophicalLibrary,1950) and discussed in MarthaHyde, "The Roots of Form."

WindQuintet,Opus26, FourthMovement,Rondo Many of the parsingtechniques used in the firstmovement are also used in the finale, but they are used to animatea mark-

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Music Theory Spectrum

Example 14
A I 1,


I ,I

II ' L_ 1' I i


, ^ i I

' , I .V I

A hb A 6 1b 7.

ob.^ Lr


I.I ' 1



I t

edly differentoverallstrategy.The finalelives up to its name in thatit containsa patternof majorsectionsdistinguished motivithat fall into the rondo of scheme A, B, A', cally comfortably C, A", B', A-Coda. Closer inspection reveals that not only are these sections distinguishedmotivically,but they are also both by the wayrowsare projectedin the surface, distinguished andby whatrows are used. As we shallsee, there is also a longrange series of collectional invariancerelationships at work over the span of the movement, with implicationsthat extend into the earliermovementsof the quintetas well. The firstmajor section, runningto bar 39, employs the faof I8(P) miliarP andI6(P) almostexclusively,with infiltrations and I1(P) at the end. Ie and T6 are also employed on some of the rows. The primarystrategyof rowprojectionin the firstmajor section and its subsequentvaried returns is analogous to thatfound in the expositionof the firstmovement, with the addition of rotation. Instrumentsproject complete rows of segmaterialof these sections mentalhexachords.Thusthe primary is segmental. As with the firstmovement, secondarygrouping strategiesreveal additionalmaterial. A statementof P in the clarinetis followed by an identically parsed statement of T6(P) in the oboe in bars 1-10, as illustratedin Example 14.

The two rows are parsedin such a way as to groupthe opening dyads, the subsequent hexachords, and the final tetrachords. The grouped hexachords are members of the (0,1,2,3,4,5) collection class. When we associatethe two initial dyadswith each other, we get a memberof the (0,1,5,8) collection class, familiarfrom the firstmovement. Bars 15-17 yield a different segmental hexachord. Here, the segmental member of the (0,1,2,3,4,6) collection class found at order number mosaic {1,2,3,4,5,6} {7,8,9,t,e,0} is played in the horn, as shown in Figure 13. Figure 13 FI.,C.: Hrn.: I6(P): 3 e9 756 8 420t l

The followingpassage at bar 18 resumesthe parsingscheme of the opening bars, but applied to Ie(P) and I6(P), presented in canon. The resultingmosaicsare presentedin Figure 14.

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Twelve-Tone Music 83 'Tonal' FormsinArnold Schoenberg's

Figure 14 Ie(P): 58 16(P): 01 642t01 e97358 e973 642t

Example 16


-IVn F19 e,

Once again, the pair of dyads at the head of each row, now musically juxtaposed by the canon, form a member of the (0,1,5,8) collection class. Note that the availabilityof members of this collection class from the same parsingscheme appliedto two transformationsof the row is in this case dependent on there being two pairingsof membersof this collectionclasswith two members of a particularorder number collection class in the row. The segmental hexachords now exposed in Figure 14 are membersof the same collectionclass as the discretehexachords of P, and therefore may themselves be found as discretehexachords of two inversionallyrelated transformations of P. One of these is I1(P), found in the bassoon at bar34, the last portion of the opening section (see Ex. 15). Example 15
~o.L _.
usn. _

The other missingsegmentalhexachordalpairis that found

at order number mosaic {3,4,5,6,7,8} {0,1,2,3,4,5}, which


35.,ttifb~o o


The remainderof the first section deals with materialsoutlined above, in similarways. In this section four of the six possible segmentalhexachordalpairsderivedthroughordernumber transpositionare exposed. One of the two omitted pairs, the whole-tone collection found at order number mosaic {5,6,7,8,9,t} {e,0,1,2,3,4}, is eventually derived in the same manner as the passage in bars 15-17 during the A' section (see Ex. 16).

played a role in the firstmovement. This rotationformsthe basis for the middle section of the finale, andis also used in a brief transitionalpassage into the next section. The next section, labeled B in the rondo scheme, runsfrom bar 39 throughbar 77, and is distinguishedfrom the initialsection both by the principalrow used, I0(P), and its principal mode of projection, the extraction of two pitch class mosaics involving pairs of members of the (0,1,5,8) collection class. This is illustratedin Example 17, and explicatedin Figure15. As may be seen, I0(P) has the greatestpossiblehexachordal intersection under inversion with P, as did It(P) in the first movement, but the change in mode of projectiondoes not emphasize this. Despite the high degree of differentiationbetween the first and second sections, there are a numberof detailsthat effect a smooth transition.As part of the accompanimental figuration of bars 30-31, Ie,I6(P) is parsed between the clarinetand the oboe so that the oboe has order numbers{2,5,8,e}. By inspecting the constituent collections of W2 and W2(I0(P))in Figure 15, we can see that each mosaicwill be preservedunderthe two operations that transformI0(P) into the retrogradeof I6(P). This collectional invariance,which will play a large role later, integratingdiversesections of the movement, is here intimated in the accompaniment. A second local linkagemay be observedin the passageconnecting the two sections, in bars 39-42. Here, rather than I0(P), we find T9,I3(P) parsedas illustratedin Figure16.

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84 Music Spectrum Theory

Example 17

43 )A Fl. Ob.


Ir -ti.

I rf
I '


tt t*4tArr




Ob. Cl.


~ ~~




Hrn. Bsn.



Bsn. )v


, r4J?' J --I-


I "-

-" - I MF

Figure 15



IO(P): 9531e02t8647
Mosaic Collection Classes: WI: {9, 5, 2, t} {3, 1, 8, 6} {e, 0, 4, 7} (0, 1,5,8) (0,2,5,7) (0, 1,5,8)

Wi(IO(P)): {0, 1, 6, 7} {2, 3, 8, 9} {4, 5,

t, e}

(0, 1, 6, 7)x3 (0, 1,5,8) (0, 1,6,7) (0, 1,5,8)

W2: {9, 1, 2, 6} {5, e, t, 4} {3, 0, 8, 7} W2(IO(P)):{0, 3, 6, 9} {1, 4, 7, t} {2, 5, 8, e}

(0, 3, 6, 9) x 3

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FormsinArnold 'Tonal' Twelve-Tone Music 85 Schoenberg's

Figure 16 Fl: T9,I3(P): 42 C1: Hrn: 3 51 e97



The change frombold to plain type in the clarinetindicatesa change of motivic projection allowing us to associate its first continudyadwith the horn'sdyad. However, the instrumental ation of the clarinetpart yields the firstfour elements of I6(P), found in the preceding section. The resulting tetrachordbetween the clarinetandhorn, however, bringsto the fore a latent collectional invariancerelation between P and I3(P) not composed out in their interactionin the firstmovement. Note that the collection is the same as that found at the down beat at bar6 in the firstmovement. The relationship,dependenton the parsing scheme of W2in Figure 15, is illustratedin Figure 17. As shown there, the operation maps the contents of each collection onto itself or each other preservingthe mosaic. Figure 17
P: 3 7 9 e 1 0 t 2 4 6 8 5

I3(P): 0
8 6

2 3

1 7 e t

I omit the analysisof section A', except to say that it resumes the projectional strategies and rows of A, with certain interestingchanges of detail, intimatedby Example 16 above. Of all the sections of the finale, the middle section is at the greatest remove from the others both by ways materialis pro-

jected and by the rows used. There are two basicmodes of projection found in this section. The first, found in bars 116-124, extracts every third segmental trichordin a concatenationof statementsof Ie,Tt(P) in the bassoon to constructan aggregate equivalentby trichordaland hexachordalmosaic to T9,Tt(P). This is illustratedin Figure 18.23 It is interestingto note that this manipulationof the local row forms an invariancerelation with materialfrom the third movement. The centralsection of the thirdmovementemploys T3 and T9 transformations of I5(P), whichyieldsthe same hexachordal mosaic as that found in the passage under inspection.24 The second principalmode of projectionin the central section consistsof canonicstatementsof the discretesegmental hexachordsof the row in use, accompaniedby its own dyads. This centralsection alternatesmodes of projection,firstemployingTt(P) and its retrograde,and then employingI8(P) and its retrograde.Note that Tt(P) and I8(P) are in the same relationshipas are P and It(P) in the firstmovement.DuringI8(P)'s presentationof the first mode of projection, the scheme is altered slightlythroughcanonic presentationto juxtaposealternate discrete trichordsof the row in the music's surface. Not this passage is immediatelyfollowed by the use of surprisingly, of the T5(P), whichis relatedto I8(P) throughthe preservation hexachordalmosaic produced by alternatetrichords,as illustratedin Figure 19. This section employsin miniatureandwith a differentbatch of rows the relationshipsfound spanningthe entire first movement, linking P first with It(P) and then with I3(P). The transitionback to the A materialat the end of the centralsection containsmanyinterestingdetails,butin the interest of pursuingthe overview of the movement, I will leave its in-

23This is discussedin Schoenberg, Styleand Idea. 24Ananalysisof the third movement of the Wind Quintet is found in the author's"Large-ScaleStrategy."

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Music Theory Spectrum

Figure18 Ie,Tt(P): Bsn.: 364 Fl., Ob.: 208te9 364208te9751 751


T9,Tt(P): 4631579et802
te9 751364


Figure19 I8(P): 51e978t64203 T5(P): 802465379e t

Example 18


spectionto the reader.Similarly,I shallgloss over the returnof the A materialexcept to point out that it once again returnsto the rows of the opening, and similarmodes of projection. One point worth noting, however, is the postponement of the presentationof P in the mannerof the opening to the very end of the passage, in bars 218-225. This passage marks the sole appearancein this movementof the piccolo (used throughoutthe second movement, and nowhere else in the work), which adds extra emphasis to the first reappearancein the entire movement of the presentationof P found at the outset. There follows now a returnof the B section, initiatinga series of events revealinginvariance relationshipsthat tie diverse sectionsof the movementinto an overarching strategy.The initial row used in the returnof B is I5(P), the row that exchanges discretehexachordalcontents with P. This row also preserves the mosaic with P that parses out initial dyads of each discrete not only invokes the mohexachord,so that its firstappearance tivic surfaceof the initial appearanceof B, but also the initial dyads of the two opening phrasesof the movement. This is illustratedin Example 18.

The other primaryrow of the returnof B is I6(P), whose relationshipwith P has been discussedabove. I6(P) is also T6 of I0(P), as mentioned earlier, and thus preserves the tetrachordal mosaic labeled W2 in Figure 15. This connection is made explicitin the music, as shown in Example 19. Example 19

b.f A^ -661 , IW A k LUjP



f -t-


W ^

A n

-' I"?

4f : Iia,g

M rb(

" i score)

Fromthe returnof B to the end, a numberof passagesserve to link disparateportionsof the movement and the quintetas a whole. Beginningat bar259 we finda resumptionof the motivic shape of the A material used to project a special relationship

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Twelve-Tone Music 87 FormsinArnold 'Tonal' Schoenberg's

Example 20
= Ie (P) _IV Ob. 4)/ Bsn. ->: t \ / \/ \\ etc. Bsn.

A Fl.

* _




b~ ^'J~~~~~~~#01

"'^j IgJ


between P and T6(P), a row found in the thirdmovement. The passagein question dependson the ordernumbercollectionsof two pitch class mosaics that are related by T6 to one another. The hexachordalcollection class is (0,1,2,5,7,8), a member of whichwas found at the very openingof the firstmovement, and served to link P and I3(P) in the recapitulationof that movement. The mosaics are depictedin Figure20. Figure20 P: 3 7 9 e P: 3 7 9 e 0 1 t 4 0 2 6 t 24 685 8 5 T6(P): 9 3 1 5 T6(P): 9 1 3


\ -


4 - I

^: (



7 6

t 8 0

2 c Beginning in bar 282, a double referenceto the procedures of the B materialand the centralsection takes place, using the of of the retrograde retrogradesof P and I6(P). Concatenations P are treated in the mannerfound at the outset of the central section, yielding a line in the clarinet equivalentby both trichordaland hexachordalmosaicsto T3(P),one of the rotations yielding discrete hexachords of the (0,1,2,3,4,6) collection class. The retrogradeof I6(P) is registrally parsedin its projection by the bassoon so as to repeat the mosaicemployedto link the two B sections together. The coda continues with P and I6(P), projectingin variousways collections that have participated in the relationsacrossthe span of the composition,nota-


The tritone relationshipmapsthe two mosaicsinto each other's ordernumbercollectionsin the two rows. The relationship is spelled out in the surfaceof the music, and illustratedin Example 20. Lest there be any mistakingthe relationship,there is present shortly after this passage a quotationof the opening of the firstmovement (see Ex. 21).

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Music Spectrum Theory



vU ~Jv; 6

M9-!!iz rif 'b

1 -


I$i f


t t

"r '



bly members of both the (0,2,5,7) and (0,1,5,8) collection classes, derivedin the variousmannersdiscussedabove and illustratedin Example22. We can now summarizethe overall strategy found in the finale of Opus 26. The first B section represents a departure both in termsof rows and projectionfrom the opening A section. This is composed to be a smooth departure,but B's connectionwith A is tenuous, and dependenton secondarydetails ratherthan primarydetails. The returnto A's materialin A' does not seem an absorptionof B, as did suchreturnsin the first movement;on the contrary,despitethe smoothnessof the connections,we get the impressionthatB is left hanging.The centralsection, while elaborateand self-contained,gives initiallya similarimpression,despite its integrationinto the composition as a whole by means of collectionalinvariancewith the central sectionof the thirdmovement. Once again, the returnof the A materialseems to be the resumptionof an earlieractivity, but

the centralsection is better integratedwith the resumptionof A through the interpenetrationof its end with the beginning of the A material.Comparebars 187-193 (the close of the central section) with bars204-208 (withinthe returnof A, but replacing motivic material formerly found in analogous places earlier). The integrationof the centralsection with this passage is further enhanced by the postponement of the clearest reference to the opening of the movement until the very end of the section, in the passageemployingthe piccolo. The returnof the B section, with its local connection to the A materialallows us locally to integratethe materialof B and A; the preservedmosaic between I6(P) and I0(P), articulatedin the surfaceof the music, allows us also to integrate retrospectivelythe initial appearanceof B into the overridingscheme. The coda providesus with still more means of integratingrows and modes of projection found not only withinthe finale, but also acrossthe span of the compositionas a whole.

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Music 89 FormsinArnold 'Tonal' Schoenberg'sTwelve-Tone

Conclusions The analysis of the first and last movements of the Wind Quintet suggests a number of conclusions. First, examination of the surface reveals that the surface signals of change that have been associatedwith the pejorative descriptionsof these movementsdo in fact signalchanges, both of the rowsused and their modes of projection. Examination of the resultingrows and their projected mosaic interpretationsreveals ways that rows are relatedby variousmeans, includingcollectionalinvariance of different kinds, and order invarianceto various degrees. It is importantto note that the variousways two rows are related in the precedingdiscussionhave been dependentupon the ways the rows are projected in the surface of the music. Thus, for instance, the potential collectional invariance between P and I3(P) based on a preserved mosaic containinga pair of members of the (0,1,5,8) collection class at a pair of membersof the (0,3,6,9) collection classwas not invokedin the discussionof the recapitulationof the firstmovement, as it was not manifested there; discussionof the relationshipwas withheld until the analysisof the finale, where at last it appearsin the surfaceof the music. Examinationof the surfacehas also revealed that rows participate in a variety of different relationshipssimultaneously, dependingon the variousmosaicsresultingfrommultipleinterare pretationsof the row'sprojection. Multipleinterpretations based on various common-sense means of groupingevents in the musical surface. Assembling the network of row relationshipsprovidesus with a means for describingthe compositional strategyof a section or a movement, suchas the ever-expanding strategyof the firstmovement, or the retrospectively-absorbing strategyin the finale. Fromthis we can concludethat the musicalsurfacesof these movements are not just superficialimitations of tonal forms filledout with paddinggeneratedfrom a row class, but that they reveal networks of relationshipsfundamentallybased in the

the twelve-tonesystemfromwhichwe may come to understand their own terms. works on of these strategies compositional Although we have dealt with only one of Schoenberg's twelve-one compositions, a look at a few examplesfrom other works helps to confirm the impression that the large-scale forms are articulatedby twelve-tone relations. The first and second movements of the StringQuartetno. 3, opus 30, have been discussed by Steven Mackey and Stephen Peles, respectively, in ways that confirmthe articulativesignificanceof the An examplefromthe rondo relationsin that work'srow class.25 finale will suffice here. The row class of the quartetdisplaysa variety of mosaic-preservinginterpretations.Figure 21 illustrates a familiarassortment.26 Figure21 Q: 7 43 90 5 6et 5(Q): t 1 82

e 6 7 49 3

T6(Q): 1 9 3 6 e 5 0"74"28 Ie(Q): 4 7 8 2 e 6 5 0 1 t 3 9 Like the finale of the Wind Quintet, the last movement of the StringQuartetno. 3 is marked"Rondo,"anddisplaysthose surfacechangesof motive and texture associatedwiththe form. Analysisreveals that, like the finale of the Quintetthe changes of surfacearise as changes of row use and mode of projection. The first major section runs through bar 12 and employs four rows; Q, I7(Q), and their retrogrades.I shall trace only one
of Sets." The Thirteenth Note, and Peles, "Interpretations 25Mackey, and relationsare describedin Babbitt, "Twelve-ToneInvariants," 26These to the Music George Perle, SerialCompositionand Atonality:An Introduction of Schoenberg,Berg, and Webern,(Berkeley: Universityof CaliforniaPress, 1962).

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Music Theory Spectrum

chain of relations, dealing with Q and its transformationsas listed in Figure21. In doing so, I ignore a numberof relations that operate across this and subsequent passages, and the movementas a whole, in orderto make a specificpoint. It must be noted thatthis is a farmore complexmovementthanthe followingdiscussionwill suggest. The secondmajorsection, startingwith the pickupto bar23, is precededby a transitional paspassage.Both the transitional sage and the second major section employ modes of row projection differentfrom each other and from those in the initial section. However, among the rows they employ are Ie,T6(Q) in the transition,and Ie(Q) in the second majorsection. These motwo rowsarerelatedto each otherby a sharedtetrachordal saic, and theirmode of projectionenables one to make the associationwith ease. They are partof the dyad-sharing complex with Q, andso one maymake an additionalassociationof these rows with the firstsection. The firstsection is articulatedover the dyadsof Q, alongwith a number its spanto revealgradually mosaics.Another transitionalpassageleads of other important to the returnof the openingmaterialin a slightlyvariedform at bar 41. The firstrow to appearat this point is I5(Q), the final memberof the complexof rowsin Figure21. However, the importantpoint is that Q andI5(Q) are related acrossthis spanby a differentmosaicassociationprojectedin the musicalsurface, in Figure22. as illustrated Figure22
Q: 7439056et

and the ways they are projectedin the surfaceof the music. Selected passages are illustratedin Example 23. Laterworksreveal even more complex series of interlocked strategiesto delineate and relate formal sections. Passages of returnin the Piano Concerto and Violin Concerto reveal rich Bruce Samethas demcomplexesof completedrow relations.27 onstratedto a profound degree the way details on the surface and largerspans of music arisefrom row use in the firstportion of the thirdmovement of Schoenberg'sStringQuartetno. 4.28 The returnof the opening melody in the firstmovementof that work, at T6, reflectsthe tritonerelationshipof the long dyadsof its initial appearance,29 as well as the preserveddouble mosaic formed by pairs of discrete dyads at like order numbers between a member of that work's row class and its inversional combinatorialcomplement. The preceding are but a few of the examples we may draw from Schoenberg'smusic to confirmthe significantinteraction among row relations, the perceived musical surface, and the compositionalstrategiesthus created.

Post Script It is interesting to note in the preceding discussion of the Wind Quintet that while both movementswe examineduse essentially the same sorts of row relationships,each movement manifestsa markedlydifferentstrategy, and producesa markedly differenteffect when heard. It is here that perhapswe can


I5(Q): t 12850e67493
27Mead,"Large-ScaleStrategies." 28Samet, HearingAggregates. 29Thisis described in William Lake, "StructuralFunctions of Segmental Interval-ClassI Dyads in Schoenberg'sFourth Quartet, 1st Movement," In TheoryOnly 8/2 (1984): 21-29.

Thus, the varioussectionsare made distinctfromeach other androwuse, but differentdegreesof associationarecrerow by ated by the relationsamong the various rows of this complex

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'Tonal' FormsinArnold Twelve-Tone Music 91 Schoenberg's Example 23

1I Vn. 1


1 9 -1



r~ f~f

5 2~~~ K



! c~~~~~~~~~~~~

Vn. 2



' ??~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ,r, r' LL3~~ 00



'?lgT: t S~~~~A

* 00 0


ts 3 f ~~~~~~~~~~~~~~~~.

begin to understand the source of the surface similaritiesto tonal music that initiated the investigation. While the forms of tonal music are dependent upon tonal relationships,the varietyof formalstrategies,as well as the varietyof strategiesmanifestedin movementsof like form, attests to the flexibilityof the tonal system to articulatecompositional strategies. Tonalityprovidesa system of measurementand differentiation along with a hierarchyof relationshipsthat allows one to create a variety of differentstrategiesfor makingmusic. These strategies in particularare the pieces themselves; their tend to get abstractedas "forms." sharedcharacteristics Properly understood, the twelve-tone system can also provide a system of measurementand differentiationalong with a hierarchyof relationshipsthat allowsone to projecta varietyof differentstrategiesfor makingmusic. In the case of the twelvetone system, that which is differentiatedis not the triad or the scale degree, but the aggregate-the totality of twelve pitch classes parsed multiply by the various modes of projection in

the musicalsurface.30 Different aggregatesare relatedby their mosaic interpretations,and may themselves be grouped into largerspans based both on shared mosaic interpretation,and the formation of mosaics from surface groupingsthat extend over several aggregates. The row class of a compositionprovides the means of controllingrelationships amongaggregates. It contains the potential for a wealth of relationshipsamong rowsand groupsof rows, andprovidesthe mechanism whereby one may constructhierarchiesamong rows. Sucha hierarchy is suggested in the preceding discussionof the Wind Quintet in the way the rows have been chosen so thatthe greatestnumber of invariancerelationshipsare manifestedbetween the variety of rows and P.

30A related discussion may be found in the opening pages of Milton Babbitt, "Since Schoenberg," Perspectivesof New Music 12, nos. 1 and 2 (197374): 3-28.

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Music Spectrum Theory

As with tonal music, formsin twelve-tone music are dependenton twelve-tonerelationships, but are not inherentin those as in tonal the twelve-tone system Just music, relationships. maymanifesta varietyof formalstrategiesin general, and a varietyof strategieswithincompositionsof similarform. I do not wish to suggest, however, that the twelve-tone system is simplya replacementfor tonality. That would be far too mechanical,anddepressingly simplistic.Clearly,tonal formsas they have developed reveal an extraordinary sensitivityto the possibilitiesof the tonal system, to the point where certain asfromtonality.Similarly,the pectsof tonalformareinextricable twelve-tone system possesses its own particular formgeneratingtendencies,basedon the sortsof relationshipsavailable within it. However, given the wide range of strategies availablein each system, it is not inconceivablethat there may be an intersectionof the two systems' strategieswhich might lead to a degree of similarity thatwouldnot bely the integrityof eithertonalityor the twelve-tonesystem. Forexample, the developmentsection of the firstmovement of Beethoven's Piano Sonata, opus 31, no. 1, opens with the samemusicat the same transposition level as the opening of the exposition.At the development,the passagefunctionsas a V of IV, as opposed to a true tonic. Partof the compositionalstratof this music, firstheard egy of the piece is the reinterpretation as a true tonic in this same post-expositioncontext with the rebecomes part of peat of the exposition. The reinterpretation the formalstrategyof the piece, and a strikingpartof our hearing of the piece.31In the SchoenbergWind Quintet, as noted
Adrianis currentlyworkingon a dissertationat the EastmanSchool 31Jack of Musicinvestigatingsonatamovementswhose developmentsections open in the tonic.

above, the development section of the first movement opens withthe row heardat the opening of the expositionprojectedin the mode of the development section. Part of the compositional strategyof the Schoenbergis the reinterpretation of this row, previously heard in this same post-expositioncontext in the repeat of the exposition projected in the mannerof the exof principalmateposition. In both pieces, the reinterpretation rial becomes part of the compositional strategy, and both pieces proceed to offer larger contexts in which the two interpretationsare reconciled. While each piece depends on its reand spective musical system for creatingboth reinterpretation reconciliation,in the abstract,both pieces are doing very similar sorts of things. In this light, we can begin to understandthat those surface featuresof Schoenberg'stwelve-tonemusicwhichresemblethe surfaceof tonal forms might indeed arise from similaritiesbetween the compositional strategies of twelve-tone and tonal musics, but that the means whereby they do so can still maintain the integrityof the twelve-tone system. Just as in nature, two differentlife forms of radicallydifferentphysiologymight neverthelessdisplayon some level remarkably similarpatterns of behavior, so may a twelve-tone compositiondisplaycompositionalstrategiessimilarto tonal music, despite the fundamentally different forces animating tonal and twelve-tone music. Schoenberg'sgenius was not only in seeing the twelve-tonesystem as a livingmusicalsystem, but also, in an act of radicalconservatism,in perceivingthe possibilitiesof its sharingstrategic potentialswith tonality.

Excerpts from Schoenberg's Wind Quintet and Third String Quartet are used by permissionof Belmont MusicPublishers.

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