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Dissertation contains pages with print ata sian, filmed as received Other University Microfilms International" UNIVERSITY OF CALIFORNIA Los Angeles A Theory of Form and Proportion in Music A dissertation submitted in partial satisfaction of the requirements for the degree Doctor of Philosophy in Music b Allen Arthur Dorfman 1986The dissertation of Allen Arthur Dorfman is approved. Weaken Arkutedure Torehan Schwadron GICL— Paul Reale YZ Fiiiore Le whee foard Suber Wiliiem Hutchinson, Committee Chair University of Caliioraia, Los Angeles 1986 i©) conyesehe vy Allen Arthur Dorfman 1986INTRODUCTION. 2. eee ee TABLE OF CONTENTS ee) PART I MUSIC, PROPORTION, AND THE GOLDEN SECTION Chapter I I The Golden Section and Music: Historical and General Information.» +. e eee ee tees 2 ‘The Derivation of the Golden Section by Geometry (31)--The Derivation of the Golden Ratio by Arithmetic (36)--Terminology and General Applications (40)--Theoretical Applications of the Golden Ratio to Musical Pitch (56)--Theoretical Applications of the Golden Proportion to Musical Rhythm and Form (62)--Time Perception and Approximation (69) --Notes to Chapter I (76) Critical Review of the Literature concerned with Proportional Analysis, the Golden Section, and their Relationship to Musical Form... . . 8: "The Golden Section in the Earliest Notated Western Music" (87)--"Fibonacci and the Golden Mean: Rabbits, Rumbas, and Rondeaux" (90) "The Golden Section in Three Byzantine Motets of Dufay" (94)--"Proportions in Music" (97) "Some Aspects of Beethoven's Instrument Forms" (99)--"Golden-Mean Form in Music" (105) =-"Temporal Proportion: A Study of Sonata Forms in the Piano Sonatas of Mozart” (109)--"Golden Proportion in Musical Design" (114)--"The Ph Factor: Mathematical Proportions in Musical Forms” (124)--"The Golden Section in Musical Tim Speculations on Temporal Proportion” (131 =-Sunmery of Literature (140)--Notes to Chapter IT (153) aad111. Iv. PART II THE INTERPRETATION OF MUSICAL FORM BASED UPON PROPORTIONAL POSITIONINGS OF THE PATTERNS OF MUSICAL TENSION AND RELEASE Tension and Release: An Intrinsic Aspect of Musical Form. ee ee ee eee ee ee 159 Melody (167)--Harmony (176)--Dynamics (179) Rhythm (181)--Form (186)--Notes to Chapter III (200) Method for the Interpretation of Musical Form in terms of Structure and Shape . ~~~ » 207 Notes to Chapter IV (233) PART IIL INTERPRETATIONS OF THE FORMS OF THE TWENTY-FOUR PRELUDES, Vi. OPUS 28 BY FREDERIC CHOPIN Introduction see ee ee ee ee ee ee 236 Forms Utilizing Parallel Structures: Groups 1-5 cee ee eee ee ee ee DAD Group 1: Preludes #15, 17, 7 -Period- (242) =-Group 2: Preludes #7, 4, 8, 19, 14 -Whole~ (256) Group 3: Preludes #12, 11, 5 -Whole- (278) Group 4: Preludes #16, 3, 6 -Whole~ (291) Group 5: Prelude #1 -Period- and -Whole~ (306) Forms Utilizing Contrasting Structures: Groups 6-10 see eee eee ee ee ee SS Group 6: Preludes #8, 6, 13 -Period- #13 -Whole- (316)--Group 7: Preludes #10, 2, 24 -Whole- (335) “Group 8: Preludes #21 -Whole- #21, 20 -Period- (347)-~Group 9: Preludes #19, 3 -Period- (360) ==Group 10: Prelude #12 -Period- (369)VII. VIII. Forms Utilizing Three or Five-Part Structures Growpelle2 ihe 378) Group 11: Preludes #22, 18 -Whole- (374) =-Group 12: Preludes #23, 17 -Whole- (384) 13: Preludes #9, 20 -Whole- (394) =-Group 14: Prelude #15'-Whole- (403) Cummery ee. 409 BIBLIOGRAPHY 2 ee ee eee ee ee ee ee 450LIST OF FIGURES Figure 1 Baroque Shape -~ Classical Shape . . « 2. Form and Abstraction... see ees 1.1, The Ancient Quadrivium see eee 1,2. The Golden Section . +++ seers 1.3, Continuing Golden Sections... ++ + 1.4. The Convergence of Fibonacci Ratios « 1.5. The Golden Ratio, Mean and Proportion Expressed in Terms of Phi. +--+ ++ 1.6, Ratios of the Fibonacci Series in Terms of Static and Dynamic Symmetry . . ~ + 1.7. Logarithmic Progressions in Terms of Static and Dynamic Symmetry ... + 1.8, The Fibonacci Ratios Expressed as Musical Intervals s+ + +e eee e es 1.9. The Tones and Tonalities Derived from the Fibonacei Series According to Zeising. « 1.10. The Golden Proportion in Musical Form. . 1.11, The Golden Proportion in Musical Form with Smaller Section Preceding Larger. « 1.12. Formal Structures and Shapes Based on the Golden Proportion . +--+ +++ = 2.1, Kyrie with Golden Section Division from Larson ees ee ee et vi Page 1 29 32 35 39 43 33 55 58 60 66 66 68 a92.6. ale 2.8. 3.1. 3.2. 3.3. 3.4, ‘The Rhythmic Pattern 3+3+2 Expressed Using Fibonacci Numbers, from Powell . . 92 Proportions of the Sections of a Rondeau Expressed Using Fibonacci Numbers, com Povell te 98: Golden Section Divisions in a Motet by Dufay, from Sandresky. -..- +++ 95 Distribution of Ratios of the Two Sections in Sonata Form Movements by Mozart, from Camp ese se ee ee ee es 1S Golden Section Modules, from Pascoe .~ 116 Bach - Wachet auf: ruft uns die Stinme, from Rothwell «eee ee ee eee ee 127 Chopin - Prelude in E Major, Opus 28, No. 9, from Rothvell . +. + e+ ee eee es 129 Sonata Form Movement Proportioned According to the Golden Section, from Rogers see eee eee eee es 137 Melody as Motion... ee ee ee ee 168 Melodic Tension and Release based on High and Low Tones». ee ee ee ee + (172 Harmonic Tension and Release... . ++ 179 Tension and Release in a Single Measure of Four-Four Meter. ee ee ee ee + 18K Tension and Release within a Theoretical Eight-Measure Period... +--+ ++ ++ 190 Tension and Release within a Pattern -- Deviation Format... + eee ee es 195 Areas of Bilateral and Golden Section Symmetry se eet te ee ee ee AID Structural Divisions at the Level of the Period se ee ee eee ee ee ee 1b Proportional Positions of Structural Divisions at the Level of the Whole .. 415 vi8.4. Total Number of Structural Divisions within each Area of Symmetry at the Level of the Whole. +s. + +++ ++ 416 8.5. Areas of Release between .01--.25 at the Level of the Period 1... +--+ 418 8.6. Areas of Release between .26--.50 at the Level of the Period ---. +--+ 419 8.7. Areas of Release between .51--.75 at the Level of the Period ». +. +--+ 420 8.8. Areas of Release between .01--.25 at the Level of the Whole +. +... + 421 8.9. Areas of Release between .26--.50 at the Level of the Whole . +. e+ +++ 422 8.10. Areas of Release between .51--.75 at the Level of the Whole - +. ++ +++ 423 8.11, Areas of Release between .76--1.0 at the Level of the Whole .. +--+. ..+ + 424 8.12, Combined 'Moments' of Release within each Area of Symmetry at the Level of the NON ect ee 425 8.12A Combined ‘Moments’ of Release within each Area of Symmetry at the Level of the Witiiptee sere oS oggGaaa li 8.13. Proportional Positions of Primary Climaxes at the Levels of the Period and Whole . 428 8.14, Total Number of Primary Climaxes within each Area of Symmetry at the Level of the Whole see eee ee ee ee ee 429 8.15, Areas of Tension between .01--.25 at the Level of the Period »- +--+ +e ++ 432 8.16. Areas of Tension between .26--.50 at the Level of the Period » +--+ ++ e ++ 432 8.17. Areas of Tension between .51--.75 at the Level of the Period .. +--+ eee + 4338.18. 8.19. 8.20. 8.21. 8.22. Combined ‘Moments’ Area of Symmetry at the Level of the Period « Areas Level Areas Level Areas Level of of of of of of Combined Area of Symmetry at the Level of the Whole Tension between the Whole. . « Tension between the Whole Tension between the Whole *Moments' of Tension within of Tension within i 434 435 436 437 438ACKNOWLEDGEMENTS: Appreciation is inherent in this dissertation and has been continually with me throughout its process. Expressions of gratitude have been directed to the many composers and authors vhose works served to inspire, the teachers who patiently guided, and to many very good friends who assisted in countless vays from encouragement to humor to a timely home-cooked meal. To represent this goodly company I vould mention @ few whose specific contributions were indispensible: Professor Willian Hutchinson and the members of ay dissertation committee with whom I spent many hours in fruitful discussion; Dusi Mure, who demonstrates so very beautifully in her teaching that the process of music and the process of life are, in fact, one; Lady Exeter and Jean Roberts whose enthusiastic support for this project proved to be essential; and Deborah Schildt whose care in producing the dravings sade possible a faithful representation of a key aspect of musical experience.VITA 1950 Born, Chicago, Illinois 1972 B.A., University of Illinois 1976 M.M., University of Cincinnati 1980-1984 Teaching Assistant, Department of Music, University of California, Los Angeles xiABSTRACT OF THE DISSERTATION A Theory of Form and Proportion in Music - os Allen Arthur Dorfman Doctor of Philosophy in Music University of California, Los Angeles, 1986 Professor William Hutchinson, Chair The subject of form in music has, typically, been approached in terms of categorization. The relatively few considerations of musical form which focus on the proportional relationships amongst the parts and the whole of a composition have very often centered on the golden section relationship whereby a whole is divided into two unequal parts such that tHe ratio of the smaller to the larger is eqnal to the ratio of the larger to the whole. Questions related to the golden section and musical form have proven particularly useful in that they have allowed a door to be opened into a consideration of pacing, that is, when do events which give a composition xiiits unique structure and shape occur proportionate to the whole. The first part of this paper consists of a discussion of the golden section as vell as an examination of the literature on the subject. In Part IT a theory of ausical fore is introduced which characterizes form in terms of structure and shape. Structure is seen as relating to the sectioning of a whole into constituent parts. Shape is delineated by intensification tovard points of clinax and subsequent subsidence, In this sense, a musical form may be represented by a diagram which shows the proportional positions of the patterns of tension and release which determine the structure and shape of @ composition or some stable unit within a composition such as an eight-measure period. In Part III, a method for the interpretation of nusicel form as described above is applied to the 24 Preludes of Chopin, Opus 28. Diagrams representing the structure and shape of each of the Preludes as vell as the opening periods of 12 of the Preludes are presented. Based upon these 36 forms it is concluded thet structural divisions tend to occur within the ranges of .19-.33, .4u-.55, and .69-.84, proportionate to the whole, while points of climax generally occur within the range.56-.67. It is further suggested that pacing at the level of the opening period may represent a microcosm of the pacing of the whole composition. xivIntroduction Among the changes in world view which were precipitated by the shift from Newtonian physics to the physics of the Twentieth century is @ new view of matter, The Newtonian universe consisted of an infinitely empty space in which resided a multitude of ‘particles of matter.’ Although these particles with their varying degrees of solidity vere capable of acting upon one another, they were, at sone fundamental level, viewed as being separate, disconnected objects. It is this view of matter thet gave rise to the atomic theory of the nineteenth century as well as the many systems of classification by which these ‘disconnected particles'--both organic and inorganic--could be ultimately defined and categorized. The approach to musical form characterizing many texts presently in use stems from this Newtonian view of discrete particles within a ‘container’ of space. In the context of music, however, the particles become tones and the container is time. Separate tones are seen to join together, much as atoms combine, to form motives,phrases, periods, sections, movements and entire compositions. Further, compositions are deiined and categorized according to certain theoretical models, which are said to designate the form of the whole as described in the following by Carl Dahiheus, In the nineteenth century, the theory of musical form vas supported by the certainty--and one did not dispute this supposition--that the formal features considered constitutive and essential in the individual work were precisely those characteristics whose emphasis, on the other hand, permitted the drawing up of schemata. Thus, a system of musical form was put together not unlike the system of zoology.! This view of musical form, with its two aspects of ‘discrete entities’ and ‘classification,’ is apparent in a text such as Wallace Berry's Form in Music. This work consists of an opening chapter entitled, "Snalle Structural Units" which contains sections on "the motive," "the phrase," "the period," and "the joining o: structural units," and is followed by chapters dealing with formal categories such as "Binary," "Simple Ternary," "Rondo," "Sonata," "Variations," "The Suite Such a taxonomic approach to musical form has proven useful as an initial step in distinguishing and relating certain characteristics of musical structure by which compositions may be compared and seen to have commonfeatures; however, taken by itself this approach provides a rather superficial treatment of a subject which warrants a much deeper and more expansive consideration. The present study of musical form will primarily make use of the systematic and theoretical orientations to the study of music. One important aspect of these two orientations relates to a specific focus on material Nyithout regard for historical sequence or continuity, or 3 historical cause and interpretation." Although considerations of musical form could certainly be undertaken with respect to several historical and cultural styles, the present study will be limited, for the most part, to the music of one style period and one cultural area--Western art music of the middle Nineteenth century as represented by the twenty-four Preludes of Frederic Chopin, Opus 28. The decision to focus on music of a single style was made because the method to be used in this study is untried. To attempt an application of this method to e diversity of musical styles would invite increased complexity at @ stege when clarity and simplicity ere needed. This, of course, restricts any statements vhich may be made regarding musical form to the particular works under consideration. At the sane time, hovever, it allows the subject of form, perceivedby means of these compositions, to be viewed in much greater detail; and as with any specific consideration, various general principles derived during the course of this study may well be applicable to musics of other historical and cultural types. The systematic and theoretical orientations to the study of music stem from the meaning of the terms ‘eysten' and 'theory.' The word ‘system’ comes from a root which literally means "to bring together" and is defined as "a complex unity formed of many often diverse parts subject to a common plan or serving a common purpose. "4 the word theory derives from the Greek "theoria" which literally means "to view." Using these terms, a musical composition could be seen as a system, and @ musical theory would present a certain 'view' of that system which would necessarily be taken from some particular angle. Because of this fact, no single theory can encompass or accuretely describe the whole of a system. Though a given theory may describe or explain certain aspects of a system with clarity, it will likely distort other aspects of that system and altogether ignore others. A theory may well be accurate with regard to the aspect on which it focuses, yet will ultimately represent a limited view with regard to the whole.The intent of this paper is to contribute to @ theory of musical form which derives from a view of ‘musical time'-- distinguished here from ‘clock tine’ a pliable ‘substance’ which is given structure and shape in the musical experience.” The form of this ‘substantial time' may be measured and expressed in terms of the proportional relationships found within its structure and shape. In any consideration of musical form, there exists an inherent difficulty which stems from the very nature of music as a temporal art. Unlike, for example, a painting, @ musical composition does not present itself ‘all at once’ but rather, reveals itself moment by moment and by the time it is complete, it exists only as a memory. To speak of the form of a musical composition, with its evanescent quality, requires a conception of the composition as a unified whole, and the establishment of such a conception is, most likely, the primary requirement for a theory of musical form, This is the aim of the classification approach, which was mentioned above, where compositions are ‘unified’ according to the category into which they fall. It is also the aim of certain other approaches such as Schenker's insights regarding foreground, middleground, and background, and discussions of thematic process and motivic development,as in the writings of Rudolph Reti.© It should be noted that the purpose of deriving such a conception is not, presumably, to serve as an end in itself but rather to enhance the experience of unity and wholeness known in the perceptica of the musical composition.” The conception itself should certainly not be taken as a substitute for the perception of the composition, but it can prove useful as a tool for the enrichment of the musical experience. The definition of form is given as “the shape and structure of something as distinguished from the material of which it is composed. 8 this definition brings out two factors which are particulerly relevant to musical form. One is the association of shape and structure vith form. Shape refers to the contour or outline of an object. In the case of music, shape is often used in connection with the contour of a melodic line in terms of its high and low points; however, this usage may be extended to include points of clisax in general. Thus, when Charles Rosen writes, "The climax of a Baroque work is to befound in the increase of motion towards the final cadence...[whereas] The climax of a classical work is closer to its center,"® he is speaking, in 8 very general way, about musical shape and his ‘Baroque shape’ and "Classical shape’ may be diagramed and compared as follows: Baroque Shape TSS Classical Shape Figure 1Structure refers to the various relationships amongst parts and whole which, in music, would relate to the theoretical division of a conposition into movenents, sections, periods, phrases, and motives. When, for example, considerations of sonate form differentiate amongst three sections-~exposition, development, recapitulation--and further divide these sections according to thenes or key areas, it is musical structure which ds being discussed. Both musical shape and musical structure are aspects of musical form and a comprehensive theory of musical form would necessarily take both of these aspects into account. The second factor in the definition of form which is pertinent to musical form is the idea that form is something which is distinguished or abstracted from material. In this regard, Susanne Langer writes, "All forms in art...are abstracted forms"! end the notion of abstraction is expanded upon in the following by an author on the psychology of art, Rudolph Arnheim. Traditionally, abstraction is a withdrawal from direct experience. This view assumes a dichotomy between perceiving and thinking. One perceives only particulars, but one thinks in generalities, and therefore, in order to think one must sweep the mind clean of perceptual material. Abstraction is supposed to perform this function.1!The material from which form is abstracted has been spoken of both in terms of content and in terms of process. Langer, for example, speaks of the distinction between "mathematical form" and "qualitative content.” Our scientific convention of abstracting mathematical forms, which do not involve quality, and fitting them to experience, always makes qualitative factors "content"; and as Scientific conventions rule our academic thinking, it has usually been taken for granted that in understanding art, too, one should think of form as opposed to qualitative "concent ."!? Content has been spoken of as the basic materials of music such as rhythm, pitch, dynamics, and timbre--the "stuff of which music is made.' In this context, however, the expression, ‘musical content’ fails to bring out the dynamic qualities which are inherent in the very elements of music themselves, For this reason, the term, ‘musical process,’ has been substituted in that it more aptly describes the constantly fluctuating quality of music. Music, as characterized by process, is an ever-changing, dynamic activity, and 2 form abstracted from such a process would 'freeze' the process, express it as a whole, and allow a view of the composition as it would appear ‘all at once.’ Thus, in speaking of form and process, we have a static form abstracted from a dynamic process. The diagrams given above to expressRosen's generalizations of shape vith regard to Baroque and Classical compositions are examples of abstraction. Although it is possible, and indeed useful, to express a musical form as a static diagram, it is important to note that if form is seen as being separate from the musical experience, it ceases to have meaning. This fact is underlined by Langer with regard to ‘form ‘and content’ and by Leonard Meyer with regard to ‘form and process’ in the following passages. The solution of that paradox [the relationship between form and content] is, that a work of art is a structure whose interrelated elements are often qualities, or properties o qualities such as their degrees of intensity; that qualities enter into the form and in this way are as much one with it as the relations which they, and they only, have; and that to Speak of them as "content," from which form could be abstracted logically, is nonsense.!? As a rule, formal organization--the part-whole relationships of a composition--and Syntactic processes support and complement one another in the articulation of musical structure. !4 In the quote by Meyer, "formal organization" could read ‘structural organization’ and "musicel structure” could read ‘musical form! in order to correspond with the usage of these terms in this study. The point remains--form 10and process are not seperate entities but tvo orientations which may be taken with regerd to one whole. What emerges is a complex system of interaction which is the musical experience and which includes musical process, perception, conception and musical form with its aspects of shape and structure. This system may be seen in terms of a continuum in which the act of abstraction shifts the view along a line from dynamic, perceptual process to static, conceptual form, ABSTRACTION, DYNAMIC STATIC shape PROCESS FORM structure PERCEPTION CONCEPTION EXPERIENCE, Figure 2 A working definition of musical form, then, which stems from the definition of form (page 6), may be expressed a5 follows: The shape and structure of a composition which are abstracted from musical process for purposes of MWdescription and insight into the unified nature of the composition. The diagram given above expresses the musical experience in terms of a system from within which differing orientations are possible. Depending upon the orientation adopted, differing modes of representation will be called for. If the orientation is from the erea of perceptual process, then the mode of representation may well take the form of descriptive language as well as gesture and movement, and the resulting expression will be primarily qualitative. If, on the other hand, the orientation is from the area of conceptual form, then the mode of representation will be primarily quantitative and could take the form of numbers and proportional neasurements, or of language in its categorizing function, As Arnheim writes, "There are, then, two quite different ways of ascertaining a quantity,--by counting and measuring, and by the grasp of perceptual 15 structure."!5 again, the two modes of representation, qualitative and quantitative, are not separate; they are merely ways of representing differing aspects of one experience. The unified nature of the differing orientations within the musical experience becomes particularly 12evident in considerations of synnetry, proportion, and balance. These factors pervade every aspect of music and in their expression, quality and quantity merge. Thus it is that certain specific quantitative relationships result in perceptions of a harmonious quality. This fact, which has been recognized since, at the latest, the time of the Pythagoreans, is expressed in the following by Paul Hindemith. The ear...is the one sense organ that is unerring in its sense of measurement and proportion. The eye is like a mirror that reports faithfully and disinterestedly on what is before it, But the ear is like a fabulous sieve, that not only sorts what it receives into large and small, but measures it exactly. It hears simple ratios as beautiful and correct sounds, and it recognizes perfectly that the purity of the octave, the fifth, or the fourth is clouded when the proportions of length or vibration frequency are not in the ratios of 1:2, 2:3, or 3:4...This basic fact of our hearing process reveals to us how closely related are nunber and beauty, mathenatics and 1 art. ‘The above passage is concerned with our experience of pitch, however, the situation is comparable with respect to rhythm as expressed in the following by psychologist, Paul Fraisse. -schearing is the main organ through which we perceive change: it is considered as the "time sense" just as sight is that of space..."Hearing only locates stimuli very vaguely in space, but it locates them with admirable precision in time. It is par 13excellence the sense which appreciates tine, succession, rhythm and tenpo."!” For both pitch and rhythm, there is a perception of proportional regularity which may be expressed as a conception of simple numerical ratios in the case of pitch, and regular metrical relationships in the case of rhytha. It has been suggested that form is, in a sense, ‘nacro-rhythm,' in other words, formal relationships correspond to rhythmic relationships which occur over a longer time interval.!® Thus, the proportional regularity of the upbeat-dovnbeat in a simple metrical pattern would be translated into the symmetrical regularity of an antecedent-consequent phrase relationship in a simple formal pattern, This being the case, the proportional relationships involved in these longer formal patterns would have significance for the musical experience as expressed in the following by Leon Stein. Form expresses proportions which we sense and to which we respond, although we often lack the technical knowledge and terminology to define the relationship involved. Some of these proportions and relationships are simple and immediately grasped. Others are more complex, and although we may be less able to analyze or immediately identify the nature of these relationships, ve react no less to the more complex than we do to the simple.!? 14Though it is certainly acknowledged that a keen sense of ‘timing’ or ‘pacing’ is an important attribute for the composer, the theory of music has tended to focus more on questions of what events occurs and less on questions of when events occurs. As a result, matters of proportion in musical form have received very little thorough study and statements in this regard have tended to be of a very general nature. The relatively few investigations into musical form and proportion which have been undertaken have, almost without exception, focused on one particular proportional relationship of a whole and its parts. This relationship, known as the golden section, has been the subject of certain articles and dissertations which raise the question of whether the golden section is, in some way, a determining factor for musical form. The symmetry which is most apparent in musical form, as well as in musical rhythm, represents one very specific type of symmetry, that is, "bilateral symmetry.' A whole which has been divided according to bilateral symmetry consists of two parts, each having equal measure. If the measure of the whole vere given as 1, then the ratios amongst the parts and the whole could be expressed as follows: 15PART : PART = oS ies: PART : WHOLE == 1.0 ‘The term symmetry encompasses many other proportional relationships beyond simple bilateral symmetry. One of these relationships is the symmetry of the golden section with its tvo unequal parts, The irrational ratios of the golden section are as follows: SMALLER PART : LARGER PART +381... +618 LARGER PART : WHOLE = .618 The charm of the golden section relationship is that the ratio of the smaller part to the larger part is equivalent to the ratio of the larger part to the whole, des, +381...7,618... = -618...: 1.0, (This will be considered in detail during the course of Chapter I.) If, in fact, the syanetry of the golden section does play a part in ausical form it vould have to do so in concurrence with bilateral syametry which is so very pronounced. A beautiful example of these two symmetries working together may be found in the well-known drawing 16of the human form by Leonardo Da Vinci, In this drawing, Da Vined inseribes his man in both a square and a circle which have distinct centers with regard to the man, The center of the square is marked at the man's genital region while the center of the circle is the man's navel. These two distinct centers denote the two syametries spoken of above. The center of the square divides the man's height according to bilateral syametry; the center of the circle divides the height in accordance with the golden section. ‘The present study of musical form and proportion serves the following dual purpose: 1) to examine possible applications of the golden section relationship to certain aspects of music; 2) to develop a theory of nusicel fora which focuses on the proportional relationships exhibited by the structure and shape of a composition. The first part of this paper, chapters I and II, is concerned with the golden section and music. Chapter I consists of a general discussion of the golden section, including its derivation, historical background, and an introductory consideration of its possible applications to music. Chapter I continues the discussion of the golden section by examining in detail the literature dealing with the golden section and 7nusical form, In this chapter, problems of methodology which are inherent in proportional analysis are considered as they occur in musicel examples drawn from this literature, The second part of this paper is <-ncerned with the development and application of a theory of musical form which focuses upon the proportional relationships revealed by the structure and shape of @ composition. Musical structure, as seen here, refers to the inner coherence found amongst the whole of a composition and its constituent parts; or simply stated, how the various parts of a musical vork--e.g. sections, periods, phrases--combine to forma ausicel whole. Musical shape is concerned more specifically with the varying degrees of intensity present and the processes which bring about areas of lesser and greater intensity. Musical structure and shape are inherently bound together through their nutual dependence upon the ever-shifting patterns of tension and release of tension which occur during the course of a composition, A structural division is typically accompanied by a cadence which, by its very nature, brings about a release of musical tension. On the other hand, an area of increased intensity may result in a musical climax and such climactic points are @ 18significant factor in determining the shape of a work. Musical form, then, as expressed in terms of structure and shape, is seen here, ultimately, as result of patterns of tension and release. Chapter ITT of this paper will consider tension and release as they occur in rhythm, melodic contour, hermonic progressions, dynamics, and finally in the simple form of the eight-measure period. In chapter IV a method is introduced by which the structure and shape of a musical whole may be diagraned and presented. Chapters V-VIT will further develop the theory of musical form introduced in chapter IV by means of its application to the twenty-four Preludes of Frederic Chopin, Opus 28. In these chapters, the forns of the preludes will be considered both at the sualler level of the four, eight, or sixteen-measure periods which open many of the works and at the larger level of the whole composition. This will be done by describing the patterns of tension-release in teras of when they occur proportionally through the course of the musical period or composition under consideration. In the final chapter an overview of the Preludes is taken and tendencies regarding the pacing of varying patterns of tension and release are discussed. At this time it will be seen that 19certain proportional areas are more conducive to increased tension while others tend toward the release of tension, The golden section proportion is then considered as it relates to these areas of tension and releas: One important aspect of this study is an expansion of the scope of the subject of musical form beyond the traditional schenes of classification. The approach to be presented here may be set forth as follows: Music articulates intricate patterns of tension and release and these patterns, which may be expressed with regard to their proportional arrangement relative to the musical whole, give rise to the form of each individual composition. The conceptions of bilateral end golden section symmetry have been employed here as a useful model against which the unique forms of individual compositions may be considered. The twenty-four Preludes of Chopin were chosen as principal examples because the forms of these works do not easily fall into the traditional models of classification, The Preludes ere also suitable in that their structural divisions and shapes, as revealed by points of cadence and climax, are, for the most part, quite easily ascertained. This study makes no attempt to generalize with 20regard to the golden section per se as a determining factor in musical form. The sany variables inherent in proportional analysis appear to make any such broad statements extrenely tenuous, The question of the golden section is, hovever, seen as a valuable starting point, first because of the existing literature on the golden section and ausic, and second because it opens into @ more general consideration of pacing in music, thereby leading to further insights regarding the fundamental relationship of music and time. 21Notes to Introduction 1, Carl Dahlhaus, "Some Models of Unity in Nusicel Journal of Music’Theory, Vol. 19 (1975), p. 3. Form, 2. Wallace Berry, Form in Music, Englewood Cliffs, N.J.: Prentice Hall Inc., 1966. 3. Abraham Schwadron and William Hutchinson, “Systematic Musicology: Aspects of Definition and Academe," Council for Research in Music Education Bulletin Number 54 (Spring 1978), p. 2. 4, Webster's Third New International Dictionary, 1981 ed. + Naystem.” 5. The idea of "two times" is a common cne. The subjective time of experience has been refered to as “psychological time,” "personal time," "lived time," and "virtual time." The objective time of clocks has been spoken of as "physical time," "absolute time," "abstract time", and "scientific time." Susanne Langer writes of the effect of music on the experience of time in the following. "...music spreads out tine for our direct and complete apprehension, by letting our hearing monopolize it--organize, fill, and shape it, all alone. It creates an image of time measured by the motion of forms that seem to give it substance, yet a substance that consists entirely of sound, so it is transitoriness itself. Music is time audible, and ite form and continuity sensible. Langer, Feeling and Form, New York: Charles Scribner's Sons, 1953, p. 110. 6. Reti speaks of the following three methods by which thematic material unifies a composition. "(1) Motivic Unity: meaning that the content of a composition is formed from one motivic material. (2) Thema Consistency: demonstrating that the motifs are combined into larger units, so that such a combination forms the pattern according to which all the groups and especially the decisive thematic groups of a work are modelled. (3) Architectural Planning: pointing to the method of shaping 22the motifs and thenes from the beginning in such a way that, by transforming them in an appropriate manner as the work progresses, and finally leading them to a resolution, @ kind of story or ‘architectural plot’ is evolved which makes all the shapes of a composition a part and expression of one higher unity." Rudolph Reti, Thematic Patterns in the Sonatas of Beethoven, London: Faber and Faber, 1967, p. 141. 7, Concerning the importance of a conception of the whole with regard to a composition, Schenker writes, "In the very extended works, only the greatest composers have been able to envision the form as a totality,” He then quotes remarks by C.P.E. Bach, Haydn, Mozart, Beethoven, and Brahms which demonstrate their awareness of this fact. An example, from C.P.E. Bach is "One must have a vision of the whole piece." Weinrich Schenker, Free Composition, trans, and ed. Ernst Oster, Vol. III, Wew York: Longman, Inc., 1979, pp. 128-29. 8. Webster's Third New International Dictionary, s.v. “form.” 9. Charles Rosen, The Classical Style, New York: W.W. Norton and Co., Inc., 1971, p. 75+ 10, Langer, p. 50, 11, Rudolph Arnheim, Visual Thinking, Berkeley, University of California Press, 1969, p. 188. 12. Langer, p. 51- 13. Ibid., pp. 51-52. 14, Leonard Meyer, Explaining Music, Chicago: The University of Chicago Press, 1973, pp. 9 8. 15, Arnheim, p. 212. 16. Paul Hindemith, The Graft of Musi Composition, Trans. Arthur Nendel, London: Schott & Co., Btd., 1962, pp. 23-24. 17, Paul Fraisse, The Psychology of Time, Trans, Jennifer Leith, New York: Harper & Row, 1963, pp. 82-83. 18. This idea is developed in Grosvenor Cooper and Leonard Meyer, The Rhythmic Structure of Music, Chicago:The University of Chicago Press, 1960. pp. 144-67. See also Meyer, Explaining Music, pp.80-105. Karlheinz Stockhausen speaks of the parameters of pitch, rhythm, and form as existing within differing temporal durations in "How Time Passes," Die Reihe. Vol. 3 (1957), pp. 10-40, 19, Leon Stein, Structure and Style, Evanston, T11.: Summy-Birchard Company, 1962, p. 229 267 PART I MUSIC, PROPORTION, and the GOLDEN SECTION 25Chapter I The Golden Section and Music: Historical and General Informatica The expression of music in terme of numbers is an ancient tradition, In the Western world, some of the earliest knovn considerations of music are those of the Pythagoreans, which date to the sixth century B.C. The Pythagoreans believed all things to be not only determined by numbers but literally to be numbers. This view of number as a substantive entity, with its ovn nature and quality of being, persists throughout Pythagorean thought. It is apparent in the writings of Archytas (£1, ca, 400-365 B.C.), Plato (ca. 427-347 B.C.), and in the writings of Neo-Pythagoreans such as Nicomachus of Gerasa (£1. ca. 100 A.D.) and Proclus (410-485 A.D.). For a Pythagorean, the blending of two musical tones into the harmony we know 2s the perfect fifth is a manifestation of the harmonious blending of two qualities of Number--three and two. 26With Euclidean geometry, the Pythagorean view of Number as substance was challenged and eventually superseded by a view of number as an avstraction which represents the quantitative aspect of an object. The implications of @ representational view of nunber for music are expressed in the writings of Arixtoxenus where the musical consonances are not thought of as manifestations of substantive Numbers, but are capable of being represented by numerical proportions. Aristoxenus “portrays musical space analogously to geonetric space” and the musical proportions, as expressed by numbers, represent the divisions of @ physical, corporeal string. The two views of number presented above are not, necessarily, mutually exclusive, but may be seen as two perspectives on a universe which includes material and immaterial aspects. For the Pythagoreans, it is the immaterial aspect which is primary and music, from this perspective, is seen as an incorporeal ‘dance of numbers,' a manifestation of an ever-present ‘music of the spheres.’ The material aspect of number dominates in the view represented by Aristoxenus and music is seen as a physical form which is tangible as a string is tangible and which may be measured as the length of a string may be measured. 27Number, in both senses, was seen in early times as comprised of two distinct aspects which form the basis of the four branches of mathematics known as the quadriviun. These two aspects are spoken of as ‘multitude’ and ‘magnitude’ and are distinguished by Nichomachus in the following: Things...are some of them unified and continuous, for example, an animal, the universe, a tree, and the like, which are properly and peculiarly called ‘magnitudes’; others are discontinuous, in a side-by-side arrangement, and, as it were, in heaps, which are called ‘multitudes,’ a flock, for instance, a people, a heap, a chorus, and the likes? Nichomachus considers the infinite nature of both nultitude and magnitude "for multitude starts from a definite root and never ceases increasing; and magnitude, when division beginning with a limited whole is carried on, cannot bring the éividing process to an end but ud proceeds therefore to infinity..."" and defines "quantity" as a finite multitude and "size" as a finite magnitude. Two of the brenches of the quadrivium ere distinguished through a further differentiation of quantity. ss.since of quantity one kind is viewed by itself, having no relation to anything else, as “even,” "odd," "perfect," and the like, and the other is relative to something else and is conceived of together with its relationship to 28= another thing, like "double," "greater," "smaller," "half," "one and one-half times," None and one-third times," and so forth, it is clear that two scientific methods will lay hold of and deal with the whole investigation of quantity; arithmetic, absolute quantity, and nusic, relative quantity.> The remaining two branches are distinguished through @ differentiation of size. And once more, inasmuch as part of "size" is in a state of rest and stability, and another part in motion and revolution, two other sciences in the same way will accurately treat of "size," geometry the part that abides and is at rest, astronomy that which moves and revolves.® Nichomachus' differentiation of the four branches of the quadrivium is outlined in the following wunaer (Infinite) MULTITUDE MAGNITUDE (Finite) QUANTITY SIZE N 7 a apsouite —RevaTIve © REST MOTION ARITHMETIC. MUSIC «GEOMETRY —_ASTRONOxY Figure 1.1, The Ancient Quadriviue 2The above discussion of the quadriviun is pertinent to a discussion of music and the golden section, not only because it demonstrates the historical and, indeed, inherent bond between music and numerical values, but because the distinction between "nunber as magnitude" and “number as multitude" provides a foundation for two distinct derivations of the golden section, One derivation originates in the view of umber as magnitude," or more particularly, geometry, and refers specifically to the golden section. The other derivation originates in the view of “number as multitude," or arithmetic and should properly be spoken of as the golden ratio. The distinctions in terminology will be considered later in this chapter as well as implications which these two derivations may have with regard to possible applications to music. 30The Derivation of the Golden Section by Geometry The seventeenth century astronomer and mathematician, Johannes Kepler, wrote: Geometry has two great treasures: one is the theorea of Pythagoras; the other, the division of a line into extreme and mean ratio. The first we may compare to a measure of gold; the second we may name a precious jewel.” "The division of a line into extreme and mean ratio" is given by Euclid in the Elements, Book VI, Proposition 30--"To cut a line in extrene and mean ratio."© Another way of stating this proposition is: to cut a line segment, or @ whole, in two unequal parts in such a way that the ratio of the whole line (the extreme) to the larger part (the mean) is equal to the ratio of the larger part to the smaller part (the other extreme). This division is illustrated below in Figure 1.2. a17 , : Figure 1.2. The Golden Section The numerical solution to this proposition is found by letting the magnitude of the whole line equal a unity or 1, If the larger segment is represented by x, then: xex:t(1-x) or A/x = x/(1 ~ x) 32Solving for x results in the following:® - 145 y/2 x = 6180339... The derivation of the golden section given above is related to a view of number as magnitude in that an n this case the whole of the line--was original unity divided into smaller parts, or sections. Because the irrational square root of five is included in the solution, the numerical value of the golden section is, necessarily, irrational. This fact points to a further quality of number as magnitude by which, "magnitude, when division beginning with a limited whole is carried on, cannot bring the dividing process to an end but proceeds © the numerical value of the therefore to infinity golden section carried to eleven places is 61803398875... The numerical value given above for the golden section refers to the length of the longer section of the divided line, The length of the shorter section is 331 - .6180339... +3819660 It should be noted here that because the ratio of the shorter section to the longer is equal to the ratio of the longer section to the whole, the ratio of the shorter section to the longer is also the golden section. +381.../.618. +618.../1 or 2 +618 = 381... Because the golden section relationship is maintained in the ratio of the smaller to larger sections, it is possible to establish ‘continuing’ golden sections by taking the larger section of each proportion and letting that be the whole for the next proportion. 341381..4/.618... = 2618... /1 +236.46/.381... = -381.../,618... +145, /s236 004 = 6236006/.381.05 ete. Figure 1.3. Continuing Golden Sections 35ae The Derivation of the Golden Ratio by Arithmetic When Plato, in the Timaeus, portrays the division of the "World-Soul"--a division which corresponds to what is now called the Pythagorean diatonic scale--he does so using three "means:" the arithmetic mean, the harmonic mean, and the geometric mean.!! In his Introduction to Arithmetic, Nicomachus, writing more than four hundred yaers later, speaks of these three means as “the three proportions celebrated by the ancients." To these original three, Nicouachus adds three more which are derived from the first three and then introduces four proportions “presented by the moderns,"!> which brings the number of proportions to ten in all. The tenth of Niconachus’ proportions is given es follows: samong three terms, as the mean is to the lesser, so the difference of the extremes is to the difference of the greater teras.' Algebraically, this tenth proportion may be expressed as 36(a-c)/(a-b) = d/e (a> b>) azbee In a progression generated from Nicomachus' tenth proportion, each subsequent term would equal the sum of the two preceeding terms. One example of such a progression may be generated by letting 0 and 1 serve as the first two terms. 0, 2, 3, 8, 13, 21, 34, 55, 89, 144, 233, 6. The above progression, which is an additive series, results from Of = 1, 141 = 2, 142 = 3, 24355, 345 = 8, etc. The progression of nunbers which is generated by the tenth proportion of Nicomachus was not seen as being significant by Nicomachus, The progression, however, reappeared in a different context in @ ork issued in 1202 A.D., by Leonardo of Pisa, also called Fibonacci. 37This book, which was entitled Liber A 4 and has been cited as being important as a seans by which the system of Arabic numerals was introduced into the West, contains a certain mathematical puzzle concerned with the breeding of rabbits.!> The solution to Fibonacci's puzzle is the same series of numbers which resulted from Nicomachus’ tenth proportion and which is now known as the Fibonacci series. ‘The relationship between the Fibonacci series, or any such additive series, and the golden ratio mey have been unknown to Fibonacei but it was acknowledged four hundred years later by Kepler, who wrot For we will alvays have as 5 is to 8 so is 8 to 13, practically, and as 8 is to 13, so is 13 to 21 almost./6 Kepler's statement refers to the fact that as the Fibonacci series increases, the ratios of adjacent terms approach .6180339,..--the golden ratio. 38