Context and Continuity in an Atonal Work: A Set-Theoretic Approach

Author(s): Allen Forte

Source: Perspectives of New Music, Vol. 1, No. 2 (Spring, 1963), pp. 72-82
Published by: Perspectives of New Music
Stable URL: http://www.jstor.org/stable/832105
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 CONTEXT AND CONTINUITY
IN AN ATONAL WORK
A SET-THEORETIC APPROACH

ALLEN FORTE

WHEN Schoenberg abandonedtriadic tonality in 1908 and began

to compose so-called atonal music he introduced into the historical
flux certain problems that remain unsolved to this day. His own evi-
dent concern as to whether composing was a logical or a sensory
process may have obstructed any personal efforts to find solutions.
Whatever the case, we know that he did not explain adequatelythe
structural bases of his atonal works, but seemed to regard the dis-
covery and development of the "method of composing with twelve
tones"as a satisfactorydenouement.It now appearsthat although we
may have by-passed the problems of the atonal period quite success-
fully we are still left with a large body of problematicmusic from
that period-some of which is performed regularly, little of which
is understood.
In an effortto attackthe problemof atonalmusic more strategically
the following discussion departs from the familiar terms context and
continuity. One need only reflect for a moment upon the degree to
which both context and continuity were determinedby triadic tonal-
ity-indeed, were essential conditions-in order to realize that the
abandonmentof that musical system endangeredwhat many regarded
as fundamentalproperties of musical composition. Certain observers
respondedto the threat by denying the "musicality"of atonal works.
More recently others have attemptedto show that the logic of such
atonal works still resides in triadic tonality, so that one is to under-
stand atonal configurationsin terms of an implicit triadic norm. Both
responses have only further obscuredthe problems. Both have failed
to recognize Schoenberg'struly revolutionaryspirit, on the one hand,
and his remarkableintuitive grasp of musical essentials on the other.
But perhaps most misguided of all is the condescending observer
whose stock-in-tradeis that precious commodity "style,"for Schoen-
berg has indicated the fruitlessness of such an approach:
* 72 -
 CONTEXT AND CONTINUITY IN AN ATONAL WORK
In my music there has never been a concern for "style,"but rather
a constant concern for content [Inhalt] and its most precise repre-
sentation [Wiedergabe]. Therefore my youthful works preparefor
the understandingof my musical thought, and one would do well
to familiarizehimself with those works [written] before my means
of expression became so concise-as in my latest works. (From a
letter to Leo Kestenberg, 1939)
The above quotation will also serve to introduce the composition
which is used here as an example of atonal music: Schoenberg's
Sechs kleine Klavierstiicke, Op. 19. With the exception of the sixth
piece this work is dated February 19, 1911, at which time the
composer was thirty-six. The six famous miniatures form a single
work. They belong together, for they are all compositionalprojections
of the same relational system. The properties of that system are set
forth below, together with several sample passages from Opus 19.
As indicatedin the title of the present article, mathematicalset theory
underlies the analytical approach. The set-theoretic formulation, in
turn, reflects the general viewpoint that the analysis of a structural
system begins with the determinationof a set of elements and the
combinationalrelations which they exhibit.

DESCRIPTIONOF THE SYSTEM

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

"o ?
x
.0
^1 ,
2
$to
3 4
-
5 6 7
o
8
?9 #..
10 1
I
Ex. 1

This universalset contains a set of five subsets designated A whose

members are selected in the following way. First, a subset of two
elements x1 and x2 is defined as the "interval-of-reference."This sub-
set, designated X in Ex. 2, consists of the pitches G, B, which in
traditional parlance form the interval of a major third and in the
numericallanguage used here the interval4. The meaning of the term
interval-of-referencebecomes clearer when the selection of all the
elements of set A [the collection of subsets A1 . . . A5] has been ex-
*73 -
 PERSPECTIVES OF NEW MUSIC

plained. Each subset of set A contains the pitch elements of a single

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

A =A1 . A5]

XJ,r
X1 ^2

X = Interval-of-Reference [7,11]
A

A1 = set of all 1-relatlons on X 0o,6,8,10]

A2 = set of all 2-relations on X 15,s,9]

j$J- A3.= set of all 3-relations on X 2, 4]

3fiL u = set of all 4-relations on X [3]

A4

L
bJ

A5 = set of all 6-relations on X [1,5]

Ex. 2

* 74 ?
 CONTEXT AND CONTINUITY IN AN ATONAL WORK
Ex. 2 displays these subsets in musical and in corresponding
numerical notation. The musical notation will facilitate study of the
excerpts from the score, while the numerical notation enables us to
see certainpropertiesmore readily. These structurallyimportantprop-
erties are most efficientlydiscussed if we first extract anotherset B of
subsets assumedto have special interest.This set is displayedin Ex. 3.

B =B1 . . . Bs

B1 = set of all elements associated [4, 6,8]

~-
y' ^' *' 1
=?:~
?~?;:,?~?
~~???-with G only

i Lf f ~
B2 = set of all elements associated [0, 2,10]
with B only

J J1 J J = set of all elements associated

" -==B3~either [0,2,4,6,8,10]
g - J~.,
-^-V with G or B

^O-- |; i J=
J B4 set of all elements associated [1, 3, 5,9]
with both G and B

'
* B5 = set with only one number
'bltj [3]

J| |-|
>tW
J
1
xj;
tJ}
A -X = complement
~J' -tf J
" of X [0,1,2,3,4,5,6.8,9,10]
(all pitch-classes not contained in X)

Ex. 3

Set B may be of interestwhen we come to examinethe composition,

since it sorts out in various ways the relations on x1 and x2, where
xl and x2 are regarded as discrete elements, whereas set A shows the
classes of interval relations on X without emphasizing the individual
roles of its members. It should be remarkedhere that in the composi-
tion the interaction of elements associated exclusively with pitch G
or with pitch B, contrastedwith the interactionof elements associated
with both, is a significant aspect of continuity and of the controlled
transformationof context. Both set A and set B are essential to an
understanding of the relational system, and the explanation of im-
portant properties that follows will consider them individually and
in combination.
* 75 -
 PERSPECTIVES OF NEW MUSIC
Equivalence
Set A containsno two equivalent (identical) subsets. Set B likewise
contains no two equivalent subsets. This suggests that each subset
has in some way a special structure with respect to X. From the
analytic standpointthis is advantageous,for we can deal with specific
and differentiated relations rather than with an undifferentiated
collection of pitch elements.
Equivalence relations on A and B are as follows:
1) A =B
2) A4 = B5 (That is to say, the set with only one member [Eb]
is the same as the set of all 4-relations on X. As
might be expected, this unique property is ex-
ploited in the composition.)
3) A=X
4) B=X
Inclusion
Taking sets A and B separatelywe see that
1) A5 c A2 (i.e. A5 is included in A2)
2) B2 c B3
3) B1 CBs
Inclusion involving both A and B yields
4) Al cB3
5) A2 C B4
6) A3 c B
7) A4 C B4
8) A5 cB4.
Intersection
The operationintersectionperhapsis of more compositionalinterest
since it suggests possibilities for connecting one subset to anotheror,
conversely,detachingcertainelementswithoutendangeringcontinuity.
Intersection follows naturally from the list of subsets immediately
above, for in all cases the set resulting from intersectionis the same
as the smaller subset of each of the pairs listed. That is, A2 n A5 =
[1, 5], that is [Db, F], and A2 n B4 = [1, 5, 9], that is [C#, F, A],...
One might raise a question at this point regarding intersection of
more than two subsets of A and B, since presumablythis occurrence
would tend to make certainpitch elementsmore redundantthan others.
It happens that every element occurs in three different subsets, with
the exceptionof the pitch-elementA, which occurs only in A2 and B4.
76-
 CONTEXT AND CONTINUITY IN AN ATONAL WORK

Every elementoccursin one subset of A and two subsets of B, with the

exceptionof the pitch-elementF which occurs in A2, A5, and B4. Both
pitches F and A are prominent in Opus 19.
Complementation
The complementof X has alreadybeen displayed (Ex. 3) and it has
been remarked that X = A. Another kind of partition, one that is
more important in the work, involves two whole-tone hexachords
which arise within the system. This is explained in the next section.
Union
Unions are easily read from the numericalrepresentationin Exam-
ples 2 and 3 since a subset contains numbers drawn either from the
set 0 and the even numbers, or it contains only odd numbers. Thus
1) A U A3 = B3 (The union of the set of all 1-relations and
the set of all 2-relationsis the same as the
set of all elements associated with either
G or B.)
2) A2UA4= B4 (The union of the set of all 2-relations and
the set of all 4-relations is the same as the
set of all elements associated with both
G andB.)
3) B1UB2= B3, and
4) A1UA3 B1UB2
5) B4 U X B3
The last subset listed, B3, is so importantin the compositionthat it
will be designated Y. In terms of pitch elements Y is the whole-tone
hexachordwhich togetherwith B3forms a partitionof the universalset.
It should now be apparentthat the relationalsystem offers a multi-
tude of compositional possibilities, suggesting ways of combining
elements into larger units as well as ways of extracting smaller units
from larger. In addition, it provides effective analogues to harmonic
progressionand voice-leadingin the tonal system. For demonstrations
of some of these attributes let us turn now to the compositional
projectionsin Opus 19.
COMPOSITIONAL PROJECTIONS
As we approachthe compositionin terms of the relationalsystem it
is importantto regard the system as a formalized statement or sum-
mary of the structuralbasis of the composition.It is not an analysis of
the work. In order to emphasizethis distinction and at the same time
77-
 PERSPECTIVES OF NEW MUSIC
relate the musical events to the abstract sets of the system the term
compositional set is here introduced.
It is also importantto realize that there are no "independent"ele-
ments in this composition, just as there are none in a tonal work.
There are, however,elementswhich are less determinativethan others,
as may be inferred from the foregoing explanation of the system.
Such elements stand forth in a variety of contexts and thus make clear
a certain structural hierarchy, which, in turn, makes it possible to
describethe structuralmeaning of a compositionalset in terms of the
elements which dominate it. For instance, at the beginning of the
fifth piece (Ex. 4) we discover that the first phrase is controlled by
F, A, and D#, while the lower (accompanimental) part of the phrase
is controlledby Db and G. These strategically placed pitch elements
are the union of X and B4, the special subset Y.

Etwasrasch (b)

-zart, abet
voll p

Ex. 4

To bring these preliminaryremarks to an end, a question: What,

then, determinesthe structuralmeaning of a given note in this compo-
sition? Response: Its context as interpretedby the underlying rela-
tional system shown in Exx. 2 and 3.
The first excerpt to be discussed is the opening phrase of the first
piece.
Leicht, zart ( ) 1

2 3 4
Ex. 5

For the sake of convenient reference the compositional sets are

enclosed and numbered to correspondto the remarks which follow.
1. The first three pitches of this "melodic"set belong to the special
subset Y. The last element, F#, is associatedonly with G (as in B1),
* 78 ?
 CONTEXT AND CONTINUITY IN AN ATONAL WORK
so that over the span of the phrase the directionof the melody is from
B toward G. The concluding melodic succession F-F# is one of three
similar pairs prominentin the work. These semitone successions may
be interpreted as unions of two elements, one drawn from each of
the whole-tonehexachordsB3 and Y.
2. This set provides a context for B of the melody, which we
can take to be the controllingelement here. It departs from A, a pitch
element from subset Y. Of the remaining elements of the set the
pitch C associates exclusively with the pitch B (as in B2), G belongs
to X, and G# associatesexclusivelywith G (as in B1). Taken together
with B in the treble staff this compositionalset exhibits a characteristic
feature which pervades the work: equal distribution or balance of
pitch elements with respect to the interval-of-reference.In this case
each element of the interval-of-referencehas its own exclusive associ-
ate, while the pitch A associateswith both. Balancedsets of this kind,
which occur at crucial structuralpoints, are analogousto fundamental
harmoniesin the triadic system.
3. In terms of the relational system the fundamental pitch B is
combinedwith two pitches from set B4 (the set of all elements associ-
ated with both G and B). The remainingelement E is one of the three
pitches associatedonly with G; in this context it serves to preparethe
progressionto the final compositionalset, which centers on G. In this
connection it is important to recognize that, as a continuity factor,
the repetitionof the melodic succession B-D# (in set 1) by the har-
monic pair B-D# is secondaryin significanceto the transformationof
context which takes place by virtue of the presence of the two addi-
tional elements E and F.
4. The final simultaneityof the phrase consists of the fundamental
pitch G together with one exclusive pitch associate and one pitch
exclusively associated with B, the other fundamental pitch. Unlike
the balanced sonority at the beginning of the phrase this sonority is
weighted toward G.
In the second piece the interval-of-referenceserves as a kind of
ostinato against which various compositionalsets are projected. The
closing part of the piece is shown in Ex. 6.
1. Here again the elements of this initial compositional set are
distributed equally with respect to the interval-of-reference.
Only
register and rhythmic accent differentiate.The emphasizedpair C-Eb,
in particular,is importanthere (and throughout the first
part of the
piece). The pitch C associates exclusively with B, while Eb is the
only set with only one member and associates either with G or with
79
 PERSPECTIVES OF NEW MUSIC

Ex. 6

B depending upon context. Here it associates with both since both

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

i I-opp v -

a b d

Ex. 7

Both in Ex. 7 and in Ex. 8 the different elements of the controlling

sets are distinguishedby notationalmeans. The interval-of-reference
is
notated in half notes and the pitches associatedwith it are shown as
8th notes. The other controlling set F-A is given in quarter notes,
while its pitch associates are shown as 16ths. The complementof the
80 -
 CONTEXT AND CONTINUITY IN AN ATONAL WORK
union of sets a and b is designated d. Let us now see how these sets
interact in the composition. Example 8 is a sketch of the first four
bars. Secondary harmonic notes (from subset d) have been omitted
in order to show the controlling sets more clearly.

I b:r,i:- ^tj I b^tB J4 -^-J-,

^
(-d bg^
Ex. 8

Observethat the same elements of the subsets are consistentlycounter-

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

i y" r -
'jp -4. ' ^- ' -i
pp23 _^==>
^-1* 7 1 _ _ ___,
p r7 ^1U

Ex. 9

The closing passage of the third piece, shown in Ex. 9, begins

with another balanced harmony, exploits the unique pitch set B5
(Eb) and ends with melodic emphasis placed upon the pairs Eb-G
and F-A. The final harmony is weighted toward G, yet two of the
four elements, D and Bb, associate only with B.
As a final illustrationEx. 10 shows the closing set of the last piece.
Not only are the elements of the complete compositionalset perfectly
balanced with respect to the interval-of-referencebut each of the
81 .
 PERSPECTIVES OF NEW MUSIC

Ex. 10

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

* 82 ?