Society for Music Theory

Segmentation and Process in Post-Tonal Music

Author(s): Christopher Hasty
Source: Music Theory Spectrum, Vol. 3 (Spring, 1981), pp. 54-73
Published by: University of California Press on behalf of the Society for Music Theory
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Segmentationand Process
Post-Tonal Music
ChristopherHasty
This articlepresentsa brief outline of a theory of segmenta-
tion and an analytic method which I believe can be fruitfully
applied to many twentieth-centurycompositions. In order to
give as concrete an explanationas possible I will develop the
theorythrougha close analysisof the openingmeasuresof three
works.1 These works are the first of Schoenberg's Five Piano
Pieces, op. 23 (1920); the second movementof Webem's Con-
certo, op. 24 (1934); and StefanWolpe's StringQuartet(1969).
Althoughthese analyses are very detailedthey are not complete
and are intendedprimarilyto illustratetheoreticalpoints. For
reasons which will become clearerbelow, it will be impossible
in this limited space to present analyses of largersections of a
piece owing to the necessity of examining passages in great
detail before proceeding to larger, more inclusive levels of
analysis. Also we will proceedchronologicallyfrom the begin-
nings of pieces in imitationof the auditionof the work, assum-
ing thatthe meaningof a passage is conditionedto some extent
by all thathas precededit. I have chosen to begin with the Wolpe
because it is very clearin structureandwill illustratemost of the
A version of this paperwas read in Denver at the ThirdAnnualMeeting of the
Society for Music Theory in November of 1980.
1Inthis study I am indebtedto the work of many researchers,particularlyto
thatof Allen Forte whose nomenclaturefor pitch-classsets will be employed in
the following analyses.
in
essential aspects of segmentationin just a few measures. The
Weber and Schoenbergworks will illustratesome techniques
not found in the Wolpe and will offer a broaderview of the
possibilities of structuralformation.
Segmentationis generally understoodas the division of a
musical work into structuralcomponents. In the context of
post-tonalmusic it also refers more specifically to the selection
of structurallyrelevant pitch components or pitch-class sets.
While segmentationwill in the courseof thispaperbe developed
in the first, more general sense, I shall approachthis topic
throughthe more specific question of pitch relations.
The segmentation of a post-tonal work into constituent
pitch-class sets presentsthe analystwith a numberof important
and relatedproblems:the selection of relativelyfew pitch-class
sets fromthe greatnumberof possibilities;the treatmentof pitch
relationsexcludedfroma set-class analysis;the relationof other
parametersto those of pitch and interval;the significanceof the
selected relationships for musical hearing; and, finally, the
problems of musical development and form. Each of these
problemswarrantsmore attentionthancan be given in the space
of a single article.
Yet these topics are interrelatedto such a degree that it is
impossible to reach an adequateunderstandingof one without
dealing to some extent with all the others. For this reason I will
briefly address all these problems and suggest some possible

solutions beginning with the first-the question of selecting
structurallysignificantintervallicrelations.Due to the scope of
the subject the treatmentof segmentationpresented here will
necessarily be synoptic and in many ways incomplete. The
solutions which I shall propose are not intendedto be definitive
but are offered in the hope of providing a useful point of
departurefor the continued investigationof importantmusical
developments of our century which are still far from being
understood.
Before proceedingto an examinationof pitch relationssome
attentionshould be given to the analytic method employed in
this papersince the procedurefollowed here may not always be
apparentin the analyses themselves. This method comprises
two distinct steps. The first step is introspectivein natureand
entails listening to the music very carefully and noting various
structuralperceptions. In the second step rules are devised to
form a theorywhich mightaccountfor these perceptions.These
rules must not also accountfor interpretationswhich contradict
perception, but they may uncover perceptionswhich were ini-
tially missed. Thusthe rules may be testedfor theiradequacyby
being used to predictthe results of perception. In the analyses
presentedin this paper these two activities will not be treated
equally-emphasis will be given to the theoreticalcomponent
which predicatesimplicitmusicalperceptions.Herethe reader's
cooperationis solicited. If aftercarefulconsiderationthe reader
finds that an analytic statementcontradictshis hearing then a
refinementor renovationof the theory may be called for.2 The
theory I shall outline below will be useful to the extent thatit is
generalandflexible enoughto accommodatesensitive hearings.
To returnto the initial question of set-class segmentationlet
us begin with the assumption that the particularquality of a
2The readershould be remindedthat it is not the highly abstractedanalytic
objects per se (set classes, intervallicassociations, etc.) which should or even
can be heardin an experienceof the music. Rather,it is the perceptionof musical
articulatonswhich might resultfrom the analysesthatoffer a test of the validity
of analytic statements.
Segmentationand Process 55
pitch, its meaningas a tone, is in large measuredeterminedby
the intervals it forms with the other pitches with which it is
associated. The intervalswhich a single pitch forms with other
pitches in a given context I will call simply the intervallic
associations of thatpitch. The questionthat immediatelyarises
is that of segmentation, that is, with which other pitches is a
given pitch in fact associated and to what degree? In tonal
music, the music of the major/minortonalsystem, the answerto
this question is largely given throughan understandingof the
categories of consonance and dissonance. In the music we are
considering here this understandingis radically altered. With
the "emancipationof dissonance" any interval is capable of
being heardas self-sufficient;thus, in principle, any pitch may
be associated with any other pitch and any numberof pitches
may conceivably be heardsoundingtogether(con-sonans) as a
comprehensible harmonic unit. This being the case, we are
presentedwith a bewilderingnumberof possibilitiesin tryingto
ascertainthe intervallicrelations of pitches in this music.
This problemcan be confrontedmore concretely throughan
examinationof the firstmeasureof StefanWolpe's StringQuar-
tet, the opening of which is shown in Example 1. The first
measureis separatedfrom the music thatfollows by silence and
by a change of instrumentsand register. (This is, of course,
already a segmentationand we shall returnto it.) We are pre-
sented with six pitches forming the chromatichexachord, set
class 6-1. Each pitch in this collection has a unique set of
intervallicassociationswith the remainingmembersof the col-
lection. For example, the first pitch, F, forms the intervals
(assuming octave equivalence) 1, 2, 3, 4, and 5 with the other
pitches (that is, F forms the intervalof 1 semitone with Gb, 2
semitones with CG,3 with Ab, 4 with AOand 5 semitones with
Bb). The next pitch, G, has the intervallicassociations 1, 2, 3,
10, and 11 and so forth. To understandmore of the meaningof
these six pitches we will wantto know more abouttheirspecific
propertiesand relations within the abstractpitch-class set 6-1.
56 MusicTheorySpectrum

Example 1. Wolpe, String Quartet, mm. 1-8

Vr A

Ar Copyright? 1970 by British and ContinentalMusic Agencies, London.

E 'I J
 Segmentationand Process 57

To ask what the dominant intervallic relations are is to ask which
pitches interact with one another and to what degree.
Let us approach this problem by examining a few of the
different ways of interpreting the first measure. I have listed six
interpretations as Examples 2a, 2b, 2c, 2d, 2e, and 2f. In this
measure one might hear the intervals formed among the five
notes performed arco more strongly than the relationships of
these five tones to the timbrally anomalous G pizzicato of the
cello as is shown in Example 2c. Or, as in Example 2d, one
might hear with particular clarity intervals formed among the last
three pitches of the cello, the only pitches performed arco at the
dynamic level of forte. In Example 2e is shown the possibility
that one might hear the repetition of the whole-tone trichord, set
class 3-6. These two occurrences of set class 3-6 have the same
registral spacing and the second is expressed as a contour inver-
sion of the first. All these possibilities are examples of segmen-
tation. We have divided up this little bit of music into
subcomponents, but how exactly has this been done? First of all
we have invoked many musical properties, including timbre,
dynamics, intervallic associations, register, and contour. These
and many other properties I will refer to as musical domains.

Example 2a. Segmentation 1 Example 2b. Segmentation2 Example 2c. Segmentation3

+dynamics (P)
- instrumental voice set class 5-3
Via. PI /- , N/ \ Via. _- hI .
,---/-I -1 1 - I
.-T-x 1
Vcl. pi"jz. arco vci. arc Vcl. pizz. ,, arco
- dynamics (f) +set cass (2-2) +timbre (arco)
- instrumental voice +registral interval
+order

Example 2d. Segmentation4 Example 2e. Segmentation5 Example 2f. Segmentation6

2-4 2-4
set-class 3-1 -6 3-6
Vla. P I - N ^a \ Via. VIa. P1 -"

v t-
--q-:- I\ I
0
Vcl. pizz. arco vcl. pizz. w
ar Vcl. pizz. . arco
+dynamics and timbre (forte and arco) +set-class 2-4/2-4
+set-class 3-6/3-6
+registral interval 4 / 4
+registralinterval 10 10 +contour
+contour (inversion) +dynamic pattern Pf/ Pf
+dynamic pattern Pff / Pff +instrumental voice vla.vcl./vla.vcl.
+instrumental voice vla.vcl./vla.vcl. +order of intervals 4 / 4
-order of intervals 10 14/ 4 14 +contiguity
-contiguity +timbre (arco)
-timbre +registral proximity
58 MusicTheorySpectrum
Each domainis characterizedby the rangeof differentvalues
which we hear in a particularquality of musical sound. The
definition of each domainis largely a stylistic matter.Also the
relativeimportanceof certaindomainsis not universallyfixed.
For these reasonsthe works of a single composeror an individ-
ual piece or even a section withina piece may createa particular
definitionof variousdomains. Some generalizeddomains may
be brokendown into more specific categories or subdomains.
For example, the domain of intervallicassociation consists of
threesubdomains:thatof registralintervalor the actualdistance
between pitches measured in semitones; that of interval
modulo-12 based on octave equivalence; and that of interval
class in which an interval and its inversion are considered
equivalent. Some domains consist of qualities which are not
clearly related to one another. For instance in the domain of
registerat least three differentpropertiesmay be noted: that of
registral proximity, registral invariance and registral "func-
tion" (registralextremesor registralmid-pointdividing or fill-
ing in a registral expanse). Space does not permit a closer
examination of the structuralpropertiesof the domains, but
referenceto variousdomainsin the following analysesshouldbe
clear.
The domains, while not functionallyindependent,are trans-
parentof one another.For example, if presentedwith a single
tone we areawareof the definitequalitiesof, let us say, duration
andpitchbut not of two objects- a durationand a pitch. Forthis
reasonwe will say thatin a particularmusicalobjectthe various
domains are in principle mutually undifferentiated,as in the
examplejust given, wherea change of durationwill not alterthe
quality of pitch as pitch. For this reason we can treat the
structure of differentdomains separately.
The problem of structure can, I believe, be approached
throughan examinationof continuity and discontinuityin the
values of the variousdomains. Very briefly stated, a change of
value in a particulardomain creates a discontinuity-a differ-
ence which isolates distinct objects for our attention. These
distinct objects I will call elements. For example, in the first
measureof the Wolpe work, six tones occurone afterthe other,
each differentiatedfromthe othersas elementsby theirdifferent
values of pitch and temporalappearance.Such elements thus
differentiatedmay, however, come to be heardas a unity if in
some domainthey possess identicalvalues, thatis, they may in
turn become undifferentiatedin this domain. Thus these six
tones may be heardas a unityin thatthey all have the propertyof
being initiated at regular intervals of the eighth note. This
continuityof tones is, however, differentiatedfromthe tones of
measure2 by silence; that is, the last tone of measure 1 and the
first tone of measure2 do not sharethatpropertyby which the
tones of measure 1 cohere. If there were rests in measure I the
distinctionbetween these two phrasescould be destroyed. It is
this propertyof being simultaneouslydifferentiatedand undif-
ferentiatedwhich createsstructure.Thatis, the first six pitches
being differentiatedas elements become united as a structure
throughrhythmicnon-differentiation.This structureitself be-
comes an element throughits differentiationfrom the following
music. Though this may appearto be makingtoo much of the
ratherobvious reasonswe hearthe measureas a unity, I believe
thatthe factors involved here can form a frameworkfor under-
standingmore complex phenomena.
To repeat:a structurehas two aspects. First, it must have a
unitaryvalue in some domain, thatis, there must be no change
of value in this domainwhich wouldcause it to be brokenup into
subcomponents.Secondly, it mustbe distinguishedas an object
of our attentionby possessing a differenceof value in the same
domain compared with another object. Thus, to take a very
simple illustration,in Example2c the five circled tones cohere
as a structurebecause among themselves they are undifferen-
tiated in being bowed but at the same time are differentiatedas
an object of our attentionby the pizzicato G. It is this difference
which allows this aspect of the domainof timbreto emerge as a
distinctive feature.
On the basis of this concept of structure,a refinementmay be

introducedin the definition of segmentation. Segmentationis
the process of structuralformation, the action of structures
producingformalarticulations.Indrawingthe conceptsof struc-
tureand segmentationinto such intimateconnection, segmenta-
tion can be understood not as something imposed upon the
work, but ratheras something inherent-something to be dis-
covered. Still, the termsare not synonymous. Statedin another
way, segmentationmay be regardedas the formationof bound-
aries of continuity and discontinuity which result from the
structuresof various domains. It is importantto make this
distinction between the terms structureand segmentationbe-
cause, as can be seen fromExamples2e and2f, many structures
may sharea single segmentation.In these and otherexamples a
'plus" next to the nameof a domainindicatesa unityof value in
thatdomainanda "minus" indicatesa differenceof value. Each
of these six examples, 2a-f, representsa distinct segmentation
of this measure.
Having indicatedhow segmentationsarise, we must address
two importantand relatedquestions:first, how can we choose
among these six possibilities? And, secondly, how does this
relateto ourinitialquestionof the meaningof pitch?Ratherthan
to look for a single correct segmentation, let us consider the
possibility of ranking these segmentations. We can consider
strongerthose segmentationswhich aresupportedby the greater
numberof domains. Thus segmentationfive of Example 2e is
strongerthan segmentationthree of Example 2c, the strongest
being segmentationsix shown in Example 2f. This solution is
neverthelesssomewhatarbitrarysince all domainsor combina-
tions of domainsarenot equalin theirauralimmediacyandsince
we are primarilyconcernedwith qualitativeratherthan quanti-
tative distinctions. Nevertheless, as a general rule, stronger
segmentations are usually more apparentto the ear and are
usually borne out in the progress of the composition. Some
different segmentationsare not mutuallycontradictory,for in-
stance, Examples 2b and 2f (the strongestof the six) are more
specialized versions of 2e. On the otherhand, some segmenta-
Segmentationand Process 59
tions are quite incompatible, as between Examples 2d and 2e
where differentpitches are associated. However, I do not be-
lieve that contradictorysegmentationsentirely efface one an-
other. Rather,ambiguity,if it occurs, is an extremelyimportant
aspect of this music. Although, as we shall presentlysee, some
segmentationsmay have deep consequencesfor the work while
othersare quite ephemeral,the surfaceof the work supportsall
these structuresand the surface absolutely determinesthe ex-
pressive quality of the music.
To returnto our second question, an examinationof pitch
relationsmay help us to understandhow these differentsegmen-
tations exist simultaneously. For illustrationlet us turn our
attentionto just one of these pitches, the thirdnote, A, although
any of the pitches would serve equally well as an example. First
of all, A is heardin the contextof the six-noteset, set class 6-1; its
pitch quality is determinedby all the intervalsit forms with the
remainingpitches of the collection. But this observationalone
does not fully capturethe specific qualityof A in this context.
Thus A could be given a very differentquality by a rearrange-
ment of these six pitches. The uniquenessof this pitch is to be
found in the fabricof the pitch structuresrevealedin the various
segmentations.Thus in Example2c the intervalA forms with G
is suppressed-A becomes the A of set class 5-3. In Example2d
the intervallic association with Bb and Ab is heightened. In
Example2e on the otherhand, A is stronglyassociatedwith the
pitches F and G as a constituentof the whole-tonetrichord3-6.
Of course, it is impossibleto quantifyprecisely these intervallic
associations, to say, for example, that A is five times more
strongly associated with F than Bl because five times as many
domainssupportthis hearing.However, it is possible to say that
the predominancegiven to specific intervallicassociationsof a
pitch arises from the strengthof the segmentation.Thus I be-
lieve it can be maintainedthat the most distinct quality of the
pitch, A, is its soundingof the interval4 (or a majorthird)above
F as is shown in Example2f, the strongestsegmentation.This
can be maintainedwithout in the least denying that the very
60 MusicTheorySpectrum
subtle quality of this pitch resides in the combination(in their
various strengths)of all the intervallic associations that have
been examined.
Having considered rather exhaustively the interaction of
structuresin this first measure,I would like to examine in much
less detailthe continuationof this passagein orderto expandthe
concepts of structureand segmentation.In particular,I wish to
show how multiplesegmentationsof the same materialmay be
developed and how larger-scalestructuresarise.
In Examples3a, b, c, andd, four segmentationsof measure1
are listed, and below each is shown the reactivizationof that
segmentationin strong segmentationsof the following music.
Thus, for example, in 3c, segmentation five of measure 1
divides thatmeasureinto two statementsof set class 3-6. Below
this is shown the strongest segmentationof measures 7 and 8
which likewise results in the exposure of two statementsof set
class 3-6. Similarly, the otherthreesegmentationsof measure1
in Examples 3a, b, and d form other structuralconnections
within these measures. Segmentationsone and two are latent
possibilities in the materialwhich remainunrealizedin the first
eight measures.
The presence of ambiguityin segmentation,of the sort we
have seen in the firstmeasure,allows for manyinterrelatedlines
of developmentto take place and thus makes it possible for the
music to achieve a great structuralrichness and depth. As an
illustration,one of the most importantcourses of development
can be tracedfromthe strongestsegmentation,segmentationsix
(Example2f). In Example4a the firstfourmeasuresof the piece
are shown divided into three phrases. Each phraseis separated
by silence andeach is composedof six attacks.(The thirdphrase
is dividedinto two parts-the firstcontainssix attacks,butin the
second part the first attack though sensed is omitted in the
interestof rhythmicfluency.) Opposedto thisdivision is another
segmentationshown in Example 4b. Here these measuresare
divided into two parts. In the first part, the alternationof the
intervals4 and3 which arisesfromsegmentationsix of measure
1 and is continuedby the first two pitches of measure2 which
also continuethe eighth-notepulse. The secondpartbegins with
the thirdpitchof measure2 and initiatesa new registerandnew
values of duration.Interestingly,the intervalclass thatseparates
these two phrases, interval-class 5, is otherwise quite sup-
pressed in the first five measuresand is for this and the above
reasons non-structural(a dis-sonans), i.e., I believe we hearin
measure2 the intervalG to Bband the intervalF to A or F to Ab
much more clearly than the intervalBb to F.
The ambiguityof segmentationshown by the opposition of
tripartiteand bipartitephrasedivisions in Examples4a and 4b
illustratesone of the primaryfunctionsof multiplesegmentation
in muchpost-tonalmusic-the balancingof musicalarticulation
and continuity.Thus the stucturesnoted in Example4b prevent
the music fromcoming to a halt with the silences of Example4a
and in fact endow these silences with great energy.
Thus far we have consideredonly the most immediate, mo-
ment by moment continuities and discontinuitiesof domains.
The renewalin measures3 and4 of segmentationsix of measure
1 is shown in Example4c. The continuitiesof set class, order,
and contour create structuresof a larger temporalrange than
those notedin Example2 andfor this reasonpointmoreurgently
to the problem of musical form and its relation to structural
formation.To pursuethis problemit will be useful to employthe
conceptsof opening, which will referto a movementaway from
a specific value or quality, andclosing, a returnto thatquality.
(These termsare also used in tonal harmonictheorywherethey
characterizeharmonicprogression.In the context of the present
discussion "opening" and "closing" will be employed in a
much more generalsense and withoutany referenceto cadence
or progression.)The term'closing" is problematicandmustbe
examined more closely. In the definitionabove, the seemingly
innocent word "return," with all its spatial connotations, al-
ready indicates a contradictionfor there seems always to be a
movementirrevocablyaway in time. But this is a contradiction
only if time is consideredas a series of irretrievablemoments.It
 Segmentationand Process 61

Example 3a. Segmentation3

5-3
m. 1 r - , h b-

5-3 'I
'
A m.6., $ , h.

)-) -.. b
_5-3
5-3 ,~1 ~ 5-3

Example3b. Segmentation4 (Pitch classes G and A-flat are differen-

tiated registrallyin all three statements.)

3-1 - m.5
_ I\ , A m.4 ~ b'- II -^
br / m77
m.
b
. --
A b_'- I - / I I-
---- i
f ,_ _-
__ __- L 3-1 3-1
I~~~~~~~~ . _,
_-
- L , -1
+ order 3-1
+order

Example 3c. Segmentation5

3-6 -6
M.1 PK-K"^ 3-6 3-6
- a t3- ^
-^: r -\l, . II 1I to 4
pizz.

A m.7k Im.8, 3-6 3-6

I Ii j
7t- /
w 7t/iFLUn-
pizz. I
it~~ ~ ~pizz., pizz.
3-6 -6
3-6
62 MusicTheorySpectrum

Example 3d. Segmentation6 Example 4c

2-4 2-4
-
M.
I'^ /t 4-7 4-21
m.1 . h t -0 - P _

P1~~~~~
~~7~~--~~
Ip3' I
f
2-4 2-4(t=l) 2-4 2-4 (t=2)
m. 3 - phrase 1 phrase 2 phrase 3
A A BA A
oper"----n -close
+set-class (2-4)
4!f? I I -,I
+order (retrograde)
+contour (inversion)
2-4 2-4
-register
-interval of transposition

Example 4a

segmentation 6 3.
1.
n"L') 7- T2. _10 __d .4 -
I .)

iI--
r
_- .r -~~~~~~~~~~~.... _
- _7_
<
sri r
f P-=::::,
Example 4b
intervalclass5
- - a
m. l I , _ : - T . I m. 3 b _(a) - 4

2zLzz I " ____ I_

3-3
:I_
intervals: 4 3 14 3 1 L_i 3-3
3-3 ___ 3-3 ++pitch class
~3-3 -register +registral extremes (F)
-duration etc.

Example 4d

-): _ 4 3
7
3 4
4 3 4 3 _ (4) 4 _4!

is one of the great powers of music that it can present us with
another experience of time, one in which the past can exist
simultaneouslywith the present moment as connections with
what has occurredbefore are stored in the resoundingpresent.
In the case of the first four measuresof the String Quartet,
when the repetitionof certain qualities of phrase 1 is heard in
phrase3 (or at the beginningof phrase1 in the end of phrase2 as
in Example 4b) the two phrases are not actually comparedas
separateentities, for phrase 1 is gone-only phrase3 is heard.
This point is easily lost in analysis because we have the score in
front of us, and we can simply move our eyes back and forth
between these two events representedon the page. I believe,
rather,that in our hearingphrase 1 has to some extent become
phrase 3. The similaritiesbetween the two phrases (the struc-
tures we have noted) complete or close the form. The differ-
ences between the two phrasesopen the formto futuredevelop-
ments. While we have defined "opening" and "closing" in
termsof the recurrenceof particularqualitiesof the domains, it
would be a mistake to identify closure with simple repetition.
Closureinvolves also the developmentor fulfillmentof various
processes(as is impliedby the phrases"movementaway from"
and "returnto"). The forms of closure (the processes which
may lead to a return)are in their numberand complexity far
beyondthe scope of this paper.But two quitedifferentexamples
should suffice to indicatetheirgeneralnature.One such formis
shown in Example4d (cf. Examples4b and 4c). Here the third
phrasemay be understoodas the completionof a process begun
in the first phrase but broken off in measure 2. The second
example involves structuresof a largerscale. The segmentation
shown in Example 4c is weak in many respects-the two con-
stituents are dissimilar in register, dynamics and duration;the
tetrachordsformedby each (set classes 4-7 and4-21) have very
differentintervallicproperties;also the Bt of the thirdphraseis
the first occurrenceof a pitch class otherthan one of the initial
membersof the set class 6-1 of measure1; thus BOredefinesthe
intervallicassociations of all the other pitches. There is, how-
Segmentationand Process 63
ever, a larger-scale segmentation which reconciles many of
these differences.
As is shown in Example 5, the strongest segmentationof
measures7 and 8 also effects a closure. In measures7 and 8 the
dyadic structure of phrase 3 (set class 2-4) as well as the
anomaloustetrachordalstructure(set class 4-21) and the novel
pitch class (BO)areexpressedthroughthe trichordalstructureof
segmentationfive of phrase 1 (set class 3-6). One of the most
striking differences between phrases 1 and 3, the dramatic
change of register, is mediatedby measures7 and 8, which are
precisely equidistantfrom these registralextremes. Althougha
complete accountof this closure would involve a detailed anal-
ysis of the interveningmaterialthese remarksconcerning Ex-
amples 4 and 5 indicate some of the ways in which small-scale
structurescan become constituentsof larger-scalestructures.3
The next two worksto be considered,Webern'sop. 24/2 and
Schoenberg'sop. 23/1, again presentthe problemof tracinga
path through a great many possibilities. Since each of these
works develops in a very individual way, an examination of
theiropening measureswill help to broadenour investigationof
the process of structuralformation.
The opening of the second movementof Webern'sConcerto
is shown reducedto two staves in Example6a. This work limits
quite severely the values of many domains. Typically,
Webern's minimalism, by suppressing many qualitative dis-
3The six-note segmentoccurringat the end of measure7 andthe beginningof
measure8 andlabeled "B" in Example5 is derivedstructurallyfromsegmenta-
tion four of the first measure. (See Example 3b.) This figure functions to
articulatethe two statementsof set class 3-6 at the beginningof measure7 and
the end of measure8. It also connectsthe two statementsin a referenceto the first
four measures.The dyad G-B (set class 2-4) of measure7 descendsthroughthe
interveningGband Bbto the dyad F-A of measure8. This is a retrogradeof the
interruptedand registrallydisplacedmotion shown in Example4d. (For a more
thoroughanalysisof measures1-16 of the StringQuartetI referthe readerto my
doctoraldissertation,"A Theoryof SegmentationDeveloped from Late Works
of Stefan Wolpe" (Yale University, 1978), pp. 140-172. This study also
contains an extensive investigationof domains.)
64 MusicTheorySpectrum

Example5

+pitch class (retrograde)

4-21
~
Ut>0 r - " 4-21
., m'j n
. --3
m.
m l 2

2-4 3 -4
24
/2-4
A B A- ^'
t
,~^~ <r^ ?
i^^.^^^^~~....

-6 3-6 3-6 3-6

A B A'
AI

Example6a. Webernop. 24/2 (1934)

.3-3, . 3-3
.4-19. ,-1 419 4-19. 4-19 4194-
4- 19
sc 8-17 . 8 8-17 l
9 .

Copyright 1948 by Universal Edition A.G., Vienna. Used by permission of

EuropeanAmericanMusic Dist. Corp., sole U.S. agent for UniversalEdition.

tinctions, allows other very subtle qualities to emerge all the
morepowerfully. In this movementthereis a fairlyconstantrate
in the circulationof the twelve pitch classes, thereare only two
durational values (quarterand half note), and there is great
uniformityin textureand gesture. More remarkable,however,
is the homogeneityof set-class structure.As will be seen from
Examples6a and6b, therearemany set-class correspondences,
some of which resultfrom combinationsof differentrow forms
(these set names are circled in the examples).

The details of all these structuresneed not concern us here;
suffice it to say that there is a surfeit of set-class structures.
Movementwould seem to be minimizedthroughoutmost of this
piece by the homogeneityof harmonicor set-class qualities-at
almost any momentthere is some sort of structuralclose in this
domain. Nevertheless, because of this homogeneity, that is,
since there are so few set classes involved, one can become
highly awareof registralandothersubtlequalitativedifferences
withinsets of the same class. All these structuraldistinctionsare
importantand can help us to understandwhy these measuresdo
not sound as static as the homogeniety of the material might
imply. The process of segmentation,by creatinga hierarchyof
weak and strong relationships,allows us to follow a particular
path through this music. Strong segmentations lead us to an
experience of the piece in which weaker structuralconnections
are suppressed.
In Example7a the first section of this movement(measures1
through 11) is shown divided into three parts, measures 1-2,
measures 3-7, and measures 7-11. This segmentationis sup-
ported by the silences in the upper orchestralline and by the
registraldiscontinuitiesin the piano. Notice that in the second
part(measures3-7) the successive tetrachordsof the piano are
connected by semitone, the minimal registraldistinction. Ex-
ample 7b indicates a furtherdivision of measures3-7 into two
smallerpartson the basis of retrogradesbetween the two voices
Example6b
Orch. line: 3-3_ 3-3I I'
A ., I._ _ f- A4
iZ IK T pIt 1 - I- i 1
'
3-3* (3* , 3-3*
4-17 4-17
(5-2 *
Segmentationand Process 65
of the piano. This division is supportedin Example 7c by the
rhythmicretrogradeof the piano and orchestracombined. The
segmentationof Example 7a is, however, weakenedby timbre
and dynamics.
In the analysis of the orchestralline shown in Example 8, it
will be seen that in measures 4 and 5 the first three notes of
measures 1 and 2 are presentedtransposedin retrogradeorder.
This reorderingis, I believe, of specialsignificance.The general
form of closure was given as ABA. This arrangementreveals a
retrograde-the opening, A to B, reversedin the closing, B to
A. I believe thatby generalizingthis fact we can understandthat
moreextendedretrogradesalso effect a type of closure. In many
of his works, Webern relies heavily on retrogradeas a formal
device. Of course, he is not alone in this; for example, in almost
all the closuresin the Wolpe thereareretrogradeson the surface
of the music which intensify these closures. In the present
examplethe intervallicretrogradeis supportedby the retrograde
of durationsand timbre,thatis, trumpetthen viola answeredby
violin then clarinet.
The next set-class correspondence occurs in measures 4
through6. In measures5 and6 the set 3-3 of measures4 and5 is
transposed.The two formsareelided throughthe sustainedEl of
measure5. This elision and the closure we just noted of mea-
sures 1 and 2 by measures 4 and 5 both weaken this
segmentation-the pitchesD andF#of measure6 could be heard
~ calando te lipo
33
,- I
__1t t-- - _- _--1 --k
3-3*
4-17
66 MusicTheorySpectrum

Example 7a

calando - tempo
r A Orch. m.3 I~I- m.7 , - j..,,----g m. 11

If ~^4_
Tpt. Via.
}.- V__i.
Cl.
n
~__ :rI -L
.!__ T_.
Vn. Fl. Ob. Vn. Tbn.
Piano t1l -t=l (t=3) -t=l

4i~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~1
f;V p
p
vI i I1'
PJ +regste n7-
- _ _egs er
+register I
. ! .
+register I reglster I-
V p
Ies
-register -register
- A

IL ;[' 1 - '
;--- ...- # . ,.
Example 7b Piano r---
___V-
.11

p __-------- pp- mp===

Orch. J J
Example 7c
Piano r F F r F
r

rhythmic retrograde

Example 8

close R

,31 -3 ',_3-3? _ ?3-3 _

TL
......--

)--
4k~~~7HIi~~~FLJ
I__ - ~~~~jr~~
r
- i~_7-:-
....r
--
-.....
_
Tpt. Via. Vn. Cl. Fl. Ob. Vn.

+set-class (3-3)
+registral interval
+timbre (retrograde)
+order (retrograde)
 Segmentationand Process 67

to begin something new. Also D and F# introduce a change in things, that the pitches connected by lines in the example have
dynamic level. It is important to remember that merely locating identical interval-class associations and that Eb forms the same
a correspondence in some domain does not in itself tell us interval classes with the lower three pitches that it forms with the
anything about the structural importance of the correspondence. upper three pitches. The pitch G# of measure 10 disturbs this
Of course, here the length of the note Eb and the timbral connec- equilibrium.
tion of clarinet and flute help us to hear the second trichord. Also There is another segmentation related to the structures we
supporting and supported by this segmentation is the division of have been following which should be mentioned here since it
measures 3-7 into two parts created by the retrogrades that we accounts for a number of important details. The first six pitches
observed in Examples 7b and 7c. There is yet another factor that of the piece form set class 6-20 (Example 6a). This set class is
strengthens this hearing. Example 9 points out the similarities in one of three hexachords in which all six constituent pitches have
intervallic association among the pitches of these two trichords. identical interval-class associations and therefore are in this
As can be seen in Example 9a, the first pitch in measure 4 of the domain mutually undifferentiated. The homogeneity of this set
first trichord, C, forms the set 5-21 with the piano. In the context (mirroring the larger-scale homogeneity of set-class structure
of this set, C forms the interval classes 1, 3, 4 and 5 with the noted above) is disrupted by the appearance of E which forms
remaining members of the set. Likewise the first pitch of the 7-21, a comparatively heterogeneous set that introduces two
second trichord, the sustained Eb, forms on the second beat of interval classes not present in 6-20 (i.e. 2 and 6).4 Note also that
measure 5 the same set class, 5-21, with the piano and likewise E does not form the set class 3-3 with the piano as do the other
forms the interval classes 1, 3, 4 and 5 with the remaining two pitches, G and D#. As a result of this, E is excluded from
pitches of this collection. Thus the first pitches of both trichords important structures of the first phrase and, I believe, sounds
in the orchestral line are given a similar sound through the disruptive and somehow out of place. (In this way E serves a
harmonic agency of the piano. Further harmonic support for this function very similar to the function of the final G# which
segmentation is shown in Example 9b. The first pitches of each disrupts the intervallic equilibrium of the trichordal segmenta-
trichord of the orchestral line form set class 3-3 with the piano tion as was shown in Example 10.) Of course, this E is con-
and the third pitch of each trichord forms set class 3-4 with the nected in other domains-in timbre the viola plays D# and E
piano. In Webern's highly refined harmonic world, all these under a slur and the E continues the quarter-note pulse preceding
factors, subtle as they are, serve to strengthen the segmentation the silence. Its discontinuity with the first phrase nevertheless
of measures 4 through 6 noted in Example 8. Returning to that
example, a fourth trichord 3-3 in measures 7 through 9 closes the 4The interval-classassociations of each of the pitches of the set 6-20 are as
trichord of measures 5 and 6 by intervallic retrograde and closes follows, the intervalswhich E forms with these pitches in the context of 7-21
measures 4 and 5 by an exact pitch retrograde. This is in a sense being shown in parentheses:
the end of the first phrase. The next pitch, GO, in measure 10 Bb - 1 3 4 4 5 (6)
does not enter into these structures. Also GOdisturbs the inter- B - 3 4 4 5 (5)
D - 11 3 4 4 5 (2)
vallic homogeneity of the orchestral line thus far. In Example 10 -
Eb 1 3 4 4 5 (1)
all the pitches of the melody in measures 1 through 9 are FE - 1 3 4 4 5 (2)
displayed together in order from lowest to highest. These G - 1 3 4 4 5 (3)
pitches are symmetrical around Eb. This means, among other (E - 1 2 2 3 5 6)
68 MusicTheorySpectrum

Example9a
+intervallic association
1(C 2 T1 2 3
' '
Orch.. , T -_
sc3 s3-3 a-3 . tR \

Piano - _
[

3-3 3-3
interval-class associations in the context of set-class 5-21:
C: 1,3,4,5 E 1,3,4,5

Example 9b
3-3 3-3

_
T tT _ _
(9:
Piano

sp
P p
-3r3 3-41- 3-3
M
mp
3 -4 iv
I_ 1_ ~~~c~~
-~~~~--' 1-1-.&

Example10 unconnectedqualityof the E.) This segmentationof the orches-

tralline into dyads of set class 2-4 (bracketedbelow the line in
mm. 1-9 3 m. 10
A I A <q <^
io- / A Example6a) gains ascendancyduringthe course of the section,
v
Orchestral line: 3 ''75
I beginningwith the suddenchangeof dynamicsin measure6 and
culminatingin the connectionof C andG# in measures9 and 10
contradictingthe trichordalsegmentationnoted in Example 10.
creates an opening. The pitch E does however form an instance This dyad is repeatedby the piano in a cadential figure used
of the homogeneousset class 6-20 with the next five pitchesand throughoutthe movementand preparesfor new segmentations
is connectedby registerto the pitch, F (measure3), in the piano. of the materialin the next section.
(This device of carryingthe music across the division by a rest In Example6a the sets 6-20 which aremarkedby asterisksare
is, of course, the same we noticedin the beginningof the Wolpe, displayed in identical registral ordering with the result that
butherethe silence seems filled with moreenergybecauseof the correspondingpitches have identical registralintervallicasso-

ciations (the strongest, most audible intervallic relationship).
Thus the pitches G and D# of measures 1 and 2 have the same
qualityin this domainas have the pitchesof measure6, F#andD
respectively. This relationshipmay explain the appearanceof
the two forms of set 3-3 in measures4-6 (Example8)-since G
and D# have the same quality as F# and D, the retrograde,
Eb-D-F#, creates a stronger closure of the initial trichord,
G-D#-E, than does the retrograde,C-B-Eb.
Though there is more to be said about the structureof these
measures,both internallyand in termsof the continuationof the
piece, I hope to have shown how the great numberof possible
hearings are limited by the interactionof structuresin various
domains. Thus, in Example 6b it can be seen that not all the
set-class correspondences are of equal significance. Those
markedby asterisksare the ones we have been following, and
the strengthof their connections virtually negates most of the
other correspondences.
One last point should be noted: in Example 6a, the dotted
lines indicatethe division of these measuresby the appearance
of different statementsof the row. The segmentationwe have
found does not correspondto row division. It is importantto
rememberthatthe structureswe have followed areby no means
automaticconsequences of the series.
Webern's op. 24/2 offered a great abundanceof possible
set-class correspondences,ordered and unordered.Similarly,
the last work we shall examine, the openingmeasuresof the first
of Schoenberg's Five Piano Pieces, op. 23 (Example 1la),
presentsus with the problemof selecting significant structures
from a great wealth of "motivic" correspondences.Some of
these correspondencesare shown in Example lb. There are
otherswhich could not be fitted into this example;for instance,
the firstfive pitchesof the tenorvoice are a retrogradeinversion
of the bass. Again, merely to list all these repetitionswould not
bring us to an understandingof these first three measures. A
catalogingof motivic correspondencesis a staticrepresentation
of structureboth in terms of temporal development and of
structuraldepth.
Segmentationand Process 69
Forreasonswhich will become apparentbelow, the firstthree
measuresform a phrasewhich can be divided into three parts,
each comprisinga measure.(The D$ of measure2 belongs to the
thirdmeasureas an anacrusis.)Of the trichordsformed by the
three voices only one set class emerges as particularlysignifi-
cant. This trichord,3-5, is shown in Example 12a. Althoughthe
second statementof 3-5 is invertedwith respectto the first and
third,the bass andsopranocontinueto move in paralleltritones.
Whenthe openingmaterialfirstreappearsbeginningin measure
16 (Example 12b) it is these pitchesof the same collection in the
right hand (F$, F and G) which are emphasized.
In the first measureonly the lower voices move-the bass up
three semitones and the tenor down one semitone (Example
13a). The eighth-notepulse is here haltedby the quarternote G
in the tenor.In measure2 the sopranonow moves in a retrograde
orderingof these intervals-down one semitoneandup threein
the same rhythm as these motions appear in measure 1. Al-
thoughthere is no set-class correspondencehere, the transposi-
tions by the sopranoof the tenor and bass motions are through
the same interval class, 5, as is shown in Example 13b. The
retrograderelationshipcreatesa weak closureas the two accom-
panying voices coalesce into the leading sopranovoice. Mean-
while, the tenor has broken across the phraseboundary,com-
pleting its motion under the slur of descent by semitone and
ascent by three semitones. To this the soprano is an exact
transpositionat twice the speed. The bass in these two measures
forms a retrogradeinversionof the upperlines, but this connec-
tion is weakened by the phrasing.
In following the relationshipsindicatedabove no mentionhas
been made of the initial Ft of the soprano.It is not connectedto
any of this andseems to have fadedfromourawarenessif we are
attendingto the structuresjust noted. F#does formthe important
set 3-5 at the end of the measure, but at this point in our
experience of the piece we do not know the significance of this
sonority. It is only in the thirdmeasurethat this F# is absorbed
into the structureof the piece, and this effects a closure of the
70 Music Theory Spectrum

Example 1 a. Schoenberg op. 23/1 (1920)

Sehr langsam (b: 108)

I 2 3 4 ----
I------ I
/I 1
. I . I I h ^ ? 3h4 ==

5r -I'
0J4vl 1- <~ 1 :- ,- i 1" '
8`- 8 /I '
8L I. J- O ^1
*^*' ^-
I' If n?r
r
pp

Copyright1923, EditionWilhelmHansen, Copenhagen.Used by permissionof

Magnamusic-Baton,St. Louis, sole U.S. agent for EditionWilhelm Hansen.

Example 1b

Example 12a

# ,J .. $> I-- A m. I
7p II
I I II
3-5 3-5 (I) 3-5

t ;s - bo---1-
p 11
-,I _- I II-I - L-f_--
-- - I

) i----;J --- --t

 Segmentation and Process 71

Example 12b

14 15
A. VP

(.4 -,. 3_, 3_

^{^^^^^^Jgj^~~~~~~YP ----------' 4

Copyright1923, EditionWilhelmHansen, Copenhagen.Used by permissionof

Magnamusic-Baton,St. Louis, sole U.S. agent for Edition Wilhelm Hansen.

Example 13a
Example 13b
-1 +3
A

F L 3-2 i
-2 1
'
a^ 'S
1
+3 +3 b?J
b - 1_ ~.J'T~_I-'7/ _
'f ^ |y
d3I
3-5 (-1) 3I
3-5
+interval succession (1,3)
+order (retrograde)
+durationpattern(fn )
72 MusicTheorySpectrum

firstpartof the phraseas is shown in Example14. The firstthree simplification, Example 15 indicates some of the connections
pitches of the sopranoare closed throughretrogradeby the last between the two phrases. In the first phraseinterval-class4 is
three pitches of the soprano, but it is the suddenlyactive tenor stronglysuppressed-it does not occur as a melodic adjacency
whichcloses the whole andstronglyconnectsthe initialF#of the or as an intervalof transpositionbetween sets and appearsonly
opening sopranoline. As the tenor in a kind of voice transfer four times among the thirtyharmonicintervalsof the first three
now renews the initial soprano,the sopranoandbass in measure measures. This interval does occur however as the registral
3 reenact the initial motions of bass and tenor-again in the limits of the importantinstances of set 3-3. Phrase 2 rather
eighth-notepulse the bass descendsby semitoneandthe soprano unexpectedlyexpandsuponthis featureof phrase 1 sequentially
ascendsby threesemitones. As a resultof these developments,a multiplyingthe two occurrencesof intervalclass 4 in the second
bipartitedivision of the first phrase emerges as the stronger half of phrase1 to produceset class 3-12, a very homogeneous
segmentation,the point of division being artfullyconcealed by set suitable for this sort of fluid, transitionalpassage.6 This
the B in the bass.5The next phrase, which begins very abruptly methodof overlappingphraseswas seen earlierin the firstthree
in measure4, is very complex and not at all as lucid in structure measures and is a characteristicof the first part of this piece.
as the first phrase. Although it involves considerable over- The level of detail encounteredin the above analyses indi-
cates the difficulty of applying this sort of analysis to a large
section or to the whole of a work. Until we know enough about
the natureof structuralformationin this music to be able to take
more for granted, there seems to be no way of avoiding this
Example14 difficulty. It is importantto remember that higher levels of
structurein a sense subsume the detail of lower levels, but
^-^ ~~RI '
^^ cannot exist independentlyfrom that detail. In confrontingthe
A~~~~~~~++3
4-3 +
?3N
problemof segmentationusing as examplesjust a few measures
from the beginnings of these three pieces, problems of large-
3-3 3- 4-3 scale structurepresentedby the analysisof an entirepiece have
34A
-u2? L ^
"
3-33
been avoided. Frommy experiencein analyzinglargerportions
_ _ _W_ - 0-- of music I cannotpretendthatthis analytictechniquein all cases
-1 y- producesa clear, unequivocalbackgroundstructure.There are
+3 -I often highly ambiguouspassages with many segmentationsof
equal strengthand passages which make no gesture of closure.
In these cases it may be that the opposition of clarity and
ambiguity, or the opposition of the dynamic and the static,
constitutes a domain and so can have a structuralfunction.
5Thepitch, BI, in the bass forms the importantintervalof the tritonewith the
soprano,F of the firstpart(cf. Example12aabove);butwith the following D and
C#in the bass it also preparestheentranceof the tenorin the secondpart,the first
three sixteenthsof which are a transpositionof the bass moving four times as 6In set class 3-12, the "augmentedtriad," the threeconstituentshave identi-
fast. cal intervallic associations modulo-12 and hence are highly undifferentiated.
 Segmentationand Process 73

Example15

3-12 (D#,G,B)

3-3 _ 3

3-3 , (G#,C,E)

The means by which musical meaning and form can be

createdin post-tonalmusic representa vast topic owing to the
immense number of structuralpossibilities which have been
discovered in the musical material during the past seven de-
cades. In this preliminarystudyit has been impossibleto devote
sufficient attentionto the domains--their number,theirvarious
structuralproperties, or the ways in which specific domains
interactwith one another.Clearly this informationis crucial to
the analytic method presented here. Since the domains are
defined throughtheir interactionsin the creationof segmenta-
tions, I believe that careful attention to the articulationsof
representativeworkscan lead to a betterunderstandingof many
of the redefinitionswhich have taken place in the music of our
century.