MUSIC THEORY AND ANALYSIS: THE LIMITATIONS OF LOGIC

ALASTAIR BORTHWICK

(Registered at KING'S COLLEGE LONDON)

SUBMITTED FOR THE DEGREE OF Ph. D

at the

UNIVERSITY OF LONDON

MAY 1993

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 ABSTRACT

The motivation for this thesis is rooted in the problems arising from
the lack of a single theoretical framework within which to assimilate
different analytical methods; whether they are applied to an
individual work, compositions embracing an underlying common practice
or to the study of stylistically remote pieces. By devising a series
of log1cal ax10ms and definitions, collectively referred to as a
metatheor~ and situating them - as an expression of the neutral level
originally proposed by Jean Molino - in the context of the
semiological tripartition, it is found that the metatheory can be used
to construct aspects of existing music theories. The precise extent
to which a specific theory of music can be derived from the metatheory
is not considered, but the many examples used to illustrate the
application of metatheoretical logic to music analysis clearly
demonstrate that meaning can only be ascribed to the structural
configurations so determined if the pOietic and esthesic dimensions of
the tripartition are invoked as a means of distinguishing the actual
from the logically possible. It is in this sense that logic is found
to be limited. Two important consequences follow from this conceptual
framework. Firstly, the involvement of the poietic and esthesic
dimensions in the final analysis potentially enables many diverse
theories to be derived from the metatheory, thereby preserving the
important differences that exist between analytical methods.
Secondly, the whole notion of a text-centred theory of music is
challenged since the importance of the poietic and esthesic dimensions
to the provision of meaning is such that these dimensions can
theoretically overwhelm the configurations established within the text
by the application of logiC.

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 CONTENTS

Acknowl edgmen t s 4

INTRODUCTION 5

CHAPTER ONE 1. 1 Background Issues 7

CHAPTER TWO 2. 1 The Etymology of the Term Metatheory 16

2.2 The Concept of the Metatheory 17
2.3 The Context of the Metatheory 23

CHAPTER THREE 3.1 Initiating the Content of the Metatheory 31

3.2 The Underlying Principles of the Metatheory 34

CHAPTER FOUR 4. 1 Terminology within the Metatheory 44

4.2 The Exposition of the Metatheory 45
4.3 The Methodology of the Metatheory 66
4.4 The Interpretation of the Metatheory 70

CHAPTER FIVE 5.1 Fundamental Entities 72

CHAPTER SIX 6.1 Entities in General 91

CHAPTER SEVEN 7. 1 Delineat ion and Assoc iat ion by Proximit y 115
7.2 ..................... Pitch and Interval 116
7.3 .......... " " " " " . Duration and Onset 126

CHAPTER EIGHT 8. 1 Del1neat ion and Assoc1at ion by Ident it y

and Non- I den tit Y 132
8.2 ... Examples from Existing Theories
of Music 132
8.3 ................................. Pitch 135
8.4 ......................... . . . .. Interval 145
8.5 ............................... Contour 150
8.6 ................................. Tempo 157
8.7 .................... Duration and Onset 163
8.8 ................................ Timbre 168
8. 9 .............................. Dynamics 171

CHAPTER NINE 9.1 Structural Divisions 177

9.2 Structural Nodes and Structural Levels 190

CONCLUSION 225

MUSIC EXAMPLES 231

REFERENCES 322

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 ACKNOWLEDGMENTS

I would like to thank the British Academy for their monetary support;
my supervisor, Prof. Arnold Whittall, for his mental and meta-
support(!)j and my wife, Rachel, for her moral and material support.

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 INTRODUCTION

Reason's last step is the recognition

that there are an infinite number of
things which are beyond it.

[Pascal, 1966: 85]

A title that includes the words 'The Limitations of Logic' resonates

with a series of negative overtones, only some of which are intended
in this thesis. The semiological strand that weaves its way through
the following pages indicates that a complete list of these overtones,
what the American philosopher Charles Pierce might have referred to as
the I interpretants' of the title [Peirce, 1931-1935: 2.92), is an
impossibility. Hence, the purpose of this brief introduction is to
describe the intended relationship between title and text in this
thesis.
In these post-structuralist days, few would doubt that logic -
the backbo~e of structuralism - is .in some sense limited in its
application to music. To some, the degree of limitation is so severe
that the negative overtones add up to a clanger; whilst to others the
application of logic, especially to music theory, has become a tune to
be whistled in its own right. The strategy adopted in this thesis
falls somewhere between these two extremes. The limitations of logic
are studied by devising a series of axioms and definitions that
collectively constitute what will be referred to as a metBtheor~ The
metatheory is intended to demonstrate the positive contribution that
logic can make to the analysis of music. However, in the many
examples employed to illustrate aspects of the metatheory, the
application of metatheoretical logic to musical texts continually

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encounters boundaries that are unsurpassable without reference to non-
logical criteria, and it is in this sense that logic is limited. The
conceptual framework that emerges in this thesis enables musical
texts, when seen through the lens of logic, to interact with extra-
textual elements: such as a text's underlying musical tradition; its
historical context; and the listener's psychological perception of it,
either through performance or in the mind's ea~

If these objectives have the ring of grand design about them,

then the reality is quite different, and corresponds more to a
preliminary sketch. The confines of a thesis, in terms of both time
and space, combined with the enormity of the subject, result in the
following discourse being little more than a springboard for fUrther
research, albeit a springboard that is securely attached to a
comprehensive foundation. This shortcoming is most evident in the
balance between theory and analysis. Only towards the end of the
thesis do more SUbstantial analyses appear, and even then their
substance is concerned more with the positive applications of logic
than with extra-textual matters. Consequently, they are presented as
illustrations of theory rather than as specimen analyses, in
acknowledgment of their incompleteness. Despite the inevitable
frustrations that follow from this limitation, any other form of
presentation would have been premature: the thorough study of a
musical work, as proposed in these pages, is a thesis in itself;
hopefully it will be my next one.

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 CHAPTER ONE

The beauty of the cosmos derives not only from

unity in variety, but also from variety in unity.

[Eco, 1984: 16]

1. 1 Background Issues

Heinrich Schenker once wrote that 'Philosophers and aestheticians will

be able to establish a general theory of music as an art only after
they have absorbed my concepts' (Schenker, 1979: xxiv]. The sixty or
so years that have passed since Schenker asserted the centrality of
his concepts to the formation of a general theory of music have given
rise to few, if any, prospective general theories. Indeed, those
musicologists who reject the strictures of the Schenker canon - in
which, according to Schenker folklore, music is deemed to have vented
its last breath at Brahms' deathbed - must now contend with the entire
compositional output of the twentieth century in their attempts to
find a general theory of music. The severity of this requirement
casts doubt on the very posSibility of such a general theory because
not only would it have to absorb Schenker's concepts of tonality, but
also some or all of the concepts contained within the many other
theories of music - both tonal and atonal - that have been developed
this century. Rather than contemplating speculative general theories
of music, musicologists have tended to analyse diverse musical
languages by employing correspondingly diverse theories. In fact, it
is often the case that diverse or even allegedly antithetical theories
have been used to analyse the same composition. This multiplicity of
approach presents the music analyst with a number of significant

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problems, problems that will be illustrated in the course of this
chapter in order to suggest the motivation for the thesis as a whole.
Two analyses of Beethoven's Piano Sonata Op.2/3-I, one by
Schenker and the other by Schoenberg, suggest that analytical
diversity derives partly from differences in the natures of the
analytical issues being addressed. Schenker uses the movement to
demonstrate how the 'differences in prolongations lead to differences
in form' [Schenker, 1979: 131-4]. He rejects the concepts and
terminology of conventional theory since they all 'involve the
"motive" and are therefore imprecise'. The resulting analysis might
well have prompted Schoenberg to ask where 'the "germ" of the idea'
[Schoenberg 1970: 8J behind the composition is to be found, since his
analysis of Op.2/3-1 is concerned with the' liquidation' (Schoenberg's
term) of the opening motive [:58-9] and the motive, for Schoenberg, is
the very "germ" of the musical idea. These two analytical appoaches
raise the question of whether it is possible to devise a single
theoretical framework that exhibits both prolongational and mati vic
characteristics. David Epstein, in Beyond Orpheus (1979), has made
some progress in this direction by exploring a synthesis of
Schoenberg's Grundgest~lt concept with Schenker's prolongational
techniques in which the two approaches are seen as complementary - a
strategy that has since been further developed in 'Grundgestalt as
Tonal Function' [Carpenter, 1983] and Brahms and the Principle of
Developing Variation [Frisch, 1984], Although Epstein's work lacks
the comprehensiveness of Schenker'S Der freie 5BtZ - the sheer volume
of Schenker's output, of which Der freie 5BtZ is but the culmination,
makes this shortcoming almost inevitable for any writer - it does
offer a basis for considering the relationship between two different
analytical approaches. Clearly, a theoretical framework that enabled
the comparison of many more analytical methods would be a further

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significant advance in our understanding of multiplicity, pluralism
and relativism in music analysis - issues that inevitably arise in the
absence of a single general theory of music.
The inability to make direct comparisons between different
analytical methods is potentially more serious if the musicologist is
attempting to situate a work within the context of an evolving and
diversifying musical tradition, an approach to analysis that will be
repeatedly encouraged and endorsed in this thesis, particularly in the
analysis of twentieth-century music where the lack of a common
compositional practice militates against the consideration of pieces
as self-contained entities. Incidentally, the relationship between
common practice and the concept of pieces as self-contained entities
is paradoxical. In one sense, a work's association with an external
common practice implies that the work is not self-contained, whereas a
work without such associations has the potential to be self-contained.
However, in another sense, an external common practice can define what
it is to be a self-contained entity - Schenker's UrsBtz could be said
to do this - whereas without such external definitions a work has no
concept of the self-contained to which to conform, but must instead be
understood 1n terms of an evolving tradition. In practice, even works
that can be expressed in terms of an Ursatz should still refer to
their underlying musical traditions, but the relative balance between
internal order and external reference will be less pronounced. If a
work is characterized by the presence of certain non-trivial
connections, such as a musical quotation/allusion, a stylistic
association or even a connection based on historical anecdote, then
the comparison of compositions that are pOSSibly unrelated in terms of
their musical languages might be essential For instance, when Arnold
Whittall identifies a similarity between the theme of the first
movement from Beethoven's Piano Sonata Op. 110 and the theme of the

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final movement from Tippett's Fourth Piano Sonata - particularly with
regard to the latter's' formal lamentation', although any comparison
must initially proceed on the basis of 'literal points of contact',
[Whittall 1990: 276] - a question might be asked concerning the
sonatas' deeper structural similarities and the extent to which their
respective themes playa structural role. However, since these
compositions cannot be considered within the same analytical
framework, any detailed comparison of the respective compositions'
structures (a comparison that goes beyond the discussion of a common
genre) is restricted to the comparison of the compositions' surface
similarities and the aesthetic (or other) issues arising from them.
Of course, such clear connections between chronologically remote
pieces are the exception rather than the rule in music. Tippett's
preoccupation with Beethoven's music exemplified. for instance, by the
direct quotation of the latter's Ninth Symphony in the former's Third
Symphony, makes Tippett's musical output fertile soil for similar
investigations. However. most connections operate at a more subtle
level in which only aspects of a musical language or style are found
to be shared by essentially remote compositions. In Nicholas Cook's
characteristically wry analysis of the third of Schoenberg's Six
Little Piano Pieces Op. 19 which, he observes, 'looks like Brahms', but
does not 'sound like Brahms', Cook engages in a series of analytical
experiments with the aim of finding out how the music 'works' [Cook,
1989: 343-354]. He adopts this novel methodology after deciding that
the piece is 'more or less intractable from the point of view of
traditional techniques of analysis' (:343]. For an analytical method
to be equal to Op. 19/3. it would have to be able to combine tonal
theories of rhythm. phrasing, dynamiCS and texture with atonal
theories of pitch organization since, in Cook's provocative words, 'it
is just the notes that are wrong'.

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 In addition to atonal pieces containing elements of tonality, it
is sometimes the case that tonal pieces prefigure aspects of
atonality, although sometimes such prefigurations are exaggerated by
those with a vested interest in their presence, most infamously
Schoenberg's misreading of Beethoven's String Quartet Op. 135-IV in his
essay 'Composition with Twelve Tones' [Schoenberg, 1984], a misreading
that is discussed by Joseph Straus in Remaking the Past [Straus,
1990(b): 37]. The distinction between elements that are incorporated
into the music of a later time and elements that prefigure that later
time is a subtle one and cannot be entered into fully at this
juncture. Briefly, prefiguring has to do with the innovations of a
work which, although perhaps only marginal in their particular musical
language, become central to a later musical language. Without such
innovations the progress of music would have been limited to creation
ex nihilo. On the other hand, the incorporation of past elements has
to do with simply accepting certain assumptions of a defunct language,
as Schoenberg undoubtedly did in his adoption of 'tonal' rhythms.
George Perle, in his analysis of bars 43-44 from Chopin's Prelude
Op.28 no. 19, identifies a progression that defies description in terms
of traditionally tonal diatonic patterns and arguably prefigures
aspects of atonal pitch organisation. Perle writes that it 'aligns a
descending interval-1 and an ascending interval-2 cycle in terms of
the common pitch-class content of T(1) and T(10) transpOSitions of the
diminished seventh chord. The progression is determined by inherent
lIextra-tonal" properties of the diminshed seventh chord' [Perle, 1977:
171]. The use of 'extra-tonal properties' is not uncommon in Chopin's
music. His Etude Op.10 no. 3 exploits the diminished seventh chord in
a more elaborate "extra-tonal" manner (e. g. bars 38-41>. Both of these
passages would benefit from a general theory of music, if only to show
that the atonal elements function to disrupt any supposed unity in the

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compositions, that the structure is in some way' fragmented', as Rose Ro~n1a(~
Subotnik has argued for Op.l0 no. 3 [Subotnik, 1987: 122].
The area of analysis that arguably stands to gain the most from a
general theory of music is that of post-tonal music. To date, it has
eluded the capacity (or, more probably, credulity) of music theorists
to formulate (or believe in the possibility of) an adequate theory of
post-tonality, although vast quantities of literature have been
generated in the attempt. In practice, post-tonal music is normally
analysed either in the shadow of tonality1 or as a foreshadowing of
2
atonality. If analysts are correct in believing that post-tonal
music is essentially a product of the transition from tonality to
atonality, then a theory of post-tonality will need to demonstrate how
tonal/atonal theories are themselves different expressions of a deeper
underlying logic. One conceptual way of embracing tonal/atonal
theories has been suggested by V.Kofi Agawu who has described Allen
Forte's pitch-class set/Schenkerian analysis of Liszt's NUBges qrls
[Forte, 1987] as represent ing 'complementary' approaches [Agawu,
1989], a possibility that has also been voiced in more general terms

by Jonathan Dunsby and Arnold Whittall: 'If the analyst is prepared to

approach all such transitional works as containing elements of both
[tonality and atonality], then the immediate problem of how to decide
in favour of one or the other may disappear, and a useful
acknowledgement of the symbiotic presence of distinct rather than
synthesized features may be reinforced' [Dunsby/Whittall, 1988: 113].
An important question that emerges out of a 'complementary'
interpretation of different analyses is just how a distinction between

lSee 'Schenkerian Analysis and Post-Tonal Music' [Baker, 19831.

2See 'Schoenberg's Creative Evolution: The Path To Atonality' [Forte,
1978] .

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'complementary' and' contradictory' can be made. Without such a
distinction an analysis is in danger of degenerating into unrestrained
subjectivity. However, unless the different analytical approaches can
be expressed within the same theoretical framework, a framework that
defines what 'complementary' and 'contradictory' mean in a musical
context, this distinction cannot be made on any properly systematiC
basis. Even supposing that such a framework Can be established, it
seems unlikely that a theory of post-tonality is possible in the same
way as, say, a theory of tonality. The aspect of transition, of
gradual evolution towards atonality (or away from tonality) implies
that, for example, each successive piece analysed by Forte in
'Schoenberg's Creative Evolution' contains something that cannot be
accounted for in terms of the theory of the preceding piece. Of
course, all composers develop their musical language over a period of
time but this does not make, for example, a theory of tonality seem
implausible. To account for this dichotomy in music theory - that the
concept of a theory of post-tonality, in contradistinction to a theory
of tonality, is problematic - ranges beyond the purview of current
analytical thinking.
The issues raised in this first chapter all stem from an
inability to reconcile unity with diversity: multiple analyses of a
single composition cannot be systematically related; the structural
significance of an explicit connection between chronologically remote
pieces is difficult to ascertain: the incorporation of aspects of a
mostly defunct musical language into a new context militates against
any overall analytical integration; the prefiguring of future
compositional techniques by earlier works cannot find expression in
terms of the normative language of that work; and the simultaneous
presence of opposing musical forces, namely tonality and atonality,
within single compositions necessitates a dual analYSis using

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unreconciled methods. If a relationship is to be established between
diverse analytical methods then it is first necessary to discover the
points of contact between them i.e. their similarities. The
impression that many supposedly distinct writers are, in many ways,
simply re-inventing the wheel increases with the publication of each
new analytical text and adds weight to the conviction that the time is
ripe for a detailed study of the extent to which contrasting
analytical methods can be unified within a single conceptual
framework. It,is not my intention to support the marginalization of
the important differences between analyses but rather to suggest that
some of these differences can be explained in terms of relative
emphases, just as David Epstein has argued in his attempt to reconcile
the different significances accorded to motivic content by Schenker
and Schoenberg [Epstein, 1979: 9J. By studying the similarities
between different theories of music it is possible to define or
describe a central corpus of knowledge which, in turn, 'would help to
create a cumul~tive progress in knowledge', the present lack of which
has been lamented by Jean-Jacques Nattiez [Nattiez, 1990: 177] and
seems to motivate a great deal of his work. However, the product of
the similarities between different analytical methods that unfolds 1n
the following pages does not correspond to a general theory as it is
usually understood. Rather, a concept central to this thesis, namely
that of a metatheor~ is found to be more appropriate. Hence, this
thesis is partly concerned with either reconciling present analytical
differences or confirming their immutable contradictions within the
context of a metatheory. But beyond this structuralist objective lies
a more contemporary concern. Supposing that it is possible to
establish a single conceptual source from which to derive the elements
of structuralism, is it also the case that this source contains the
seeds of its own limitation? This question will be an ever present

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undercurrent as this thesis unfolds, but will only emerge explicitly
at those times when the pursuit of logic encounters objects and
concepts about which it is unable to speak.

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 CHAPTER TWO

Even i f a system can "think about itself', it still is not

outside itself. You, outside the system, perceive it differently
from the way it perceives itself. So there is still a metatheory
- a view from outside - even for a theory which can "think about
itself" inside itself.

[Hofstadter, 1980: 194].

2. 1 The Etymology and Usage of the Tera HetBtheory

The use of the prefix met~- has proliferated in the twentieth century,
most commonly - according to the Shorter Oxford English Dictionary -
'by supposed analogy with met~physics (misapprehended as meaning 'the
science of that which transcends the physical' )'. The resulting
conjunct can be understood as 'a designation for a higher science of
the same nature but dealing with ulterior problems'. Although the
'ulterior', nuance of metlr, the sense of 'beyond', is similarly
present in the humanities, the prefix has also evolved a conSiderably
more specific meaning or function which seems to have won general, i f
not universal, consent. Hofstadter elaborates on his use of the term
'metatheorems' by substituting the alternative 'Theorems about
theorems' [: 193) and hence, by implication, would presumably interpret
the term metatheory as meaning a theory about theories (or about a
theory - the distinction is significant in terms of the metatheory
proposed in this thesis). Similarly, Benjamin Boretz, in the first of
his series of articles entitled 'Meta-Variations', considers that
demands for "analytic completeness" should be 'understood in terms of

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the connection of any single piece with a collective "total-musical
metatheory" , [Boretz, 1969: 70]; that is, the theory of one piece
should be connected with a theory of musical theories. Paralleling
Hofstadter's and Boretz's usage of the prefix meta- is the term
metalanguage which is commonly accepted as referring to one language
that is used to discuss another language. Jean-Jacques Nattiez adopts
this meaning when he writes that 'discourse about music is a
metalanguage' [Nat t iez, 1990: 133).
It is this latter interpretation of the term metatheory that is
intended throughout this thesis. Furthermore, the term should be
understood as referring to a theory about theories (rather than simply
about a theory), but this latter subtlety is peculiar to the purposes,
and hence the nature, of the proposed metatheory.

2.2 The Concept of the Metatheory

The concept of the proposed metatheory can be expounded by comparing

it with a hypothetical general theory of music (having already
established that there is, to date, no actual general theory of music
with which to make comparisons). In its simplest form, a general
theory of music is in relation to all music what an object-specific
theory of music is in relation to its musical object. Hence, a
general theory of music would seek to provide an a priori explanation
of all music (albeit an explanation based on general musical
observations). In contrast, the metatheory is an abstraction which
can only become a theory of music in relation to particular
compositions. In this sense the metatheory might be considered as an
infinite set of incomplete theories that can only be brought to a
state of completeness by a specific interaction with particular

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compositions. General theories of music are also intrinsically
incomplete, but their incompleteness follows from the act of
generalisation itself, which results in a loss of those qualities from
which the uniqueness of a composition is derived. Furthermore, to
generalise is to systematize and 'to systematize is to minimize those
things that matter most to a musician' (Agawu, 1989: 291l. In
contrast, the metatheory does not dictate a complete set of conditions
to which a composition must conform; although, equally, the metatheory
is not completely devoid of theoretical content - it is, after all, a
theory about theories. Essentially, it has more in common with an
analytical blueprint than a general theory. It defines those
variables which are of potential concern to a theory of music and the
general format within which they must be organized. However, any
specific ordering or syntax within the metatheory can only be derived
in relation to specific compositions. It is this intrinsic dependency
on external criteria that distinguishes the metatheory from a
hypothetical general theory of music.
A second difference between the metatheory and a general theory
concerns the question of unity versus disunity, or even coherence
versus incoherence, in music. There is an increasing concern within
musicology that many, if not all, analytical methods are biased
towards uncovering (or possibly imposing) unity and coherence in
music. 1 This bias is essentially aesthetic in origin, even though the
underlying aesthetic principle that equates unity with beauty is,
increasingly, open to question. In the domain of post-tonal analysis,
for example, it is important to allow for the possibility of diverse

lThis argument has been expressed with some force in 'Superior Myths,
DogmatiC "Allegories: The Resistance to Musical Unity' [Street, 1989],

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musical elements capable of producing disunity within a composition
because existing analyses of post-tonal music employ the analytical
methods (with their corresponding theories) of both tonality and
atonality which, as yet, are themselves not unified. Now, if it is
simply the purview of a general theory of music that is more diverse
than that of an object-specific theory of music (as I have suggested)
then it cannot possibly embrace incoherence since, in common with an
object-specific theory of music, a general theory of incoherence would
not be a theory at all, but the absence of a theory - assuming that
theory is taken to mean the 'systematic conception or statement of the
principles of something' PED] - and to talk of systematic incoherence
is nonsense. The alternative notion of disunity is also problematic
as part of a general theory since whilst a theory of disunity is
possible, such as might apply to a particular group of works, the
process of generalization intended to encompass the criteria for both
unity and disunity would necessarily lead to nonsensical
contradictions. However, since the metatheory is conceptually one
step removed from the level of theory, in that it views theory from
the outside, it is able to consider the constituent elements of a
theory and the extent to which they Can really be said to form a
single coherent theory in relation to a particular composition.
Since, in effect, the metatheory develops a unique syntax for
individual compositions (to whatever extent this is possible), it does
not decide a priori what an analysis should demonstrate: it is - in
the first instance - open to the presence of both unity and disunity
in music.
Having established these two basic differences between the
metatheory and a general theory of music, namely the former's
incompleteness and its potential to include descriptions of both unity
and disunity, the concept of the metatheory can be developed on its

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own terms. In as much as the syntax of a composition is shown to
coincide with the syntax of other compositions by the same composer
(at whatever structural level>, it is possible to formulate a theory
of that composer's style and language. However, such a theory is
necessarily limited to the similarities between the composer's
compositions, whereas the metatheory from which the theory has been
drown demonstrates that the differences between compositions are at
least as, if not more important since they account for the uniqueness
of distinct compositions. By continuing with this process of
induction it is possible to arrive at traditional music theories such
as a theory of tonality or a theory of atonality. Strictly speaking,
these theories will only be applicable to the pieces studied in
accordance with the metatheory. To claim that they hold true in
general requires an additional leap of faith (a leap that is not
uncommon amongst analysts). The final hierarchy, from the single work
through to the universal properties of music, has been suggested by
various authors. Jean-Jacques Nattiez has described this hierarchy 1n
terms of the following pyramid diagram [Natt iez, 1990: 136].1

universals of music
system (style) of reference
a genre or an epoch
composer X
period in the
life of a composer
work

lNattiez acknowledges a debt to various authors for the concept of

hierarchicization, for instance [Boretz, 1972: 146], but claims the
pyramid diagram is original.

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This graphic description encapsulates the increasingly focussed nature
of a music theory as it approaches the individual work, although
Nattiez does not appear to allow for the possibility that a single
work might itself require further subdivision: a theoretical
possibility that is crucial to the metatheory. However, in terms of
the pyramid diagram, the metatheory can be understood as beginning at
the pyramid's apex (the single work) and proceeding, level by level,
to the 'universals of music'. Not all writers would necessarily agree
with this conceptual procedure. David Epstein, for example, has
observed that in order to understand the 'individual norms' of many
works, 'there is need first to understand prevalent stylistic norms.
For unique and individual harmonic properties, in extending beyond the
usual, are most fruitfully measured by the yardstick of established
practice' [Epstein, 1979: 39]. This point of view, seemingly at odds
with the implementation of the metatheory, can ultimately be
reconciled with it by establishing a wider context for the metatheory
(see section 2.3), a context that implies the intrinsic limitation of
a text-centred analysis.
The derivation of many theories from an underlying concept is
surely more appropriate to the analysis of music than a general theory
of music since music as a whole contains too many contrasting elements
to be adequately explained by or contained within a single theory. To
return to the case of post-tonal theory (or the difficulty of actually
formulating one, as discussed in Chapter One), it is possible to see,
conceptually at least, that theories of particular post-tonal pieces
need not be ruled out per se, but that due to the transitional nature
of the music it is unlikely that enough post-tonal compositions can be
grouped together under the auspices of a single static theory to
warrant the use of the description 'a theory of post-tonal music' in a
conventional sense. Rather, the 'theory' would have to be understood

- 21 -
in terms of a flux between theories of tonality and theories of
atonality; a trace of the path or paths that music took from tonality
to atonality to which particular post-tonal pieces could be compared. 1

Exactly how this can be achieved will become apparent as the

metatheory unfolds.
Before establishing the wider context of the metatheory it is
perhaps worth summarising the problems that the metatheory is intended
to address in a way that provides the motivation for the remainder of
this thesis. The metatheory would enable the analyst to: (i) compare
different analytical approaches to the same composition; (ii) compare
stylistically distinct compositions that are nevertheless thought to
be related in a non-trivial manner; (iii) analyse post-tonal music in
terms of its own self-sufficient theory, even if this theory is likely
to be a description of a state of flux.

lNot all writers would agree with this conceptual framework. Joseph
Straus has argued that 'tonal theory has little to tell us about most
twentieth-century music ..... To appreciate post-tonal music most fully
we must approach it on its own terms, rather than drag it into the
Procrustean bed of our tonal assumptions' [Straus, 1990(a): 891. For
Straus, pitch-class set analysis best explains the terms of post-
tonality. However, since any notion of there being a sudden
transition from tonality to post-tonality is inconceivable, a
substantial corpus of works must exist that reflects aspects of both
musical languages. (To deny this duality risks not only the
shortening by amputation of post-tonality's legs but decapitation too,
if musical works are to be fitted into Procrustes' bed.) Straus's
earlier work, 'The Problem of Prolongation in Post-Tonal Music'
(1987), is less dismissive of tonality's influence on twentieth-
century music and even suggests the beginnings of an aesthetic, rather
than structuralist, framework within which to accommodate this
influence (a point that is discussed more fully in Chapter Nine of
this thesis).

- 22-
2.3 The Context of the Metatheory

Musicologists are often extremely critical of the kind of structural

analysis that will eventually appear in this thesis, although critics
of structuralism such as Carolyn Abbate, who has stipulated for her
own post-structuralist criticism that it should not ignore the 'ways
in which meaning can escape, and explanation fail' [Abbate, 1989: 222]
might be encouraged by the preliminary remarks on unity and disunity
in music. The analysis of musical structure can often seem divorced
from the actual diversity and complexity of musical culture in
general. For example, it is relatively commonplace for structural
analyses to pay little or no explicit attention to the historical,
sociological, perceptual, textual, esthetic and other contingent
issues surrounding a composition. Pitch-class set analysis,
Schenkerian analysis, motivic analYSiS, quasi-linguistic and quas1-
prosodic analysis can all, for example, be applied independently of
any historical context other than that intrinsic to their
formulations. However, in reality the implicit influence of
historical criteria on music theory is unavoidable. As David Lewin
has elucidated: 'Theory ... attempts to describe the ways 1n which,
given a certain body of literature, composers and listeners appear to
have accepted sound as conceptually structured, categorically prior to
anyone specific piece. '[Lewin, 1969:61J. Furthermore, in the process
of analysis itself' it is at least very helpful, and often practically
indispensable, to make a presumption that the piece exists embedded in
the context of a general sound-universe (set of "pre-compositional
assumptions" or "stylistic assumptions")'[:631, and the consideration
of a composer's 'sound-universe' necessitates historical enquiry.
More recently, Alan Street has emphasised the implicit nature of

- 23-
historical influences on music theory when he observed that 'the
theorist will always be bound to take notice of contingent historical
issues, whether consciously or unconsciously [Street, 1989: 981.
I have previously stated that the metatheory can only become a
theory of music in relation to particular compositions. In addition
to this characteristic, the exact nature of the theory generated is
determined as much by historical and other criteria as by
considerations of the musical text and the analyst's perception of
that text, possibly through performance. It is this tripartite
division of the musical whole into historical criteria, musical
text/notation and the analyst's perception that suggests a close
affinity to the work of Jean-Jacques Nattiez, specifically his
adoption of Molino's semiological theory and its expansion to include
the work of other semiologists and philosophers, notably Charles
Peirce [Nattiez, 1975 & 1990]. The exact nature of the relationship
between the metatheory and Nattiez' semiology of music will be
explored in depth at a later stage. For the present, it is sufficient
to comment, albeit briefly, on Molino's three dimensional view of
symbolic phenomena and Nattiez' adoption of this concept. The
tripartite division alone is enough to demonstrate how the metatheory
is dependent on criteria other than the musical text. Molino's
tripartition of the symbolic form consists of:
(i) The poietic dimension, which has to do with the process of
creation and the specific influences (historical, social, political
etc.) on it;
(ii) The esthesic dimension, which involves the reception and
perception of the work by, for instance, the listener, the analyst or
the performer. According to Nattiez, both the 'scientific and
analytical approaches to music are, de facto, situated on the side of
.. N"ttitt, "~O
the esthesic' [k
12]. However, this classificat ion is dependent on the

- 24-
particular interpretation of the words 'scientific' and 'analytical'.
As long as these terms do not imply the selection or interpretation of
data, it is equally possible to place them on the neutral level (see
below);
(iii) The neutral level, which has been described by Nattiez in
two rather different ways, making it a somewhat dualistic concept.
The first description of it is typified by Nattiez in his discussion
of a 'Trace', which is the physical and material embodiment of the
symbolic form, referred to by Molino as the' niveau neutre <neutral
level) or niveau materiel (material level>' [Nattiez, 1990: 12].
Nattiez states, concerning the analysis of the neutral level, that 'An
objective description of the neutral level can always be proposed - in
other words, an analysis of its imminent and recurrent properties'
[: 121. In practice, it is this first concept of the neutral level
that dominates the way in which Nattiez analyses music, although it
would be an exaggeration to decribe his neutral level analysis of,
say, Varese's Density 21.5 [Nat t iez, 1982] as 'object i ve', as Jonathan
Bernard has amply demonstrated in his response to this Nattiez article
[Bernard, 1986]. The second description of the neutral level is
contained within Nattiez' definition of "analysis of the neutral
level" which is, he proposes:

a level of analysis at which one does not decide a priori whether

the results generated by a specific analytical proceeding are
relevant from the esthesic or pOietie point of view. The
analytic tools used for the delimitation and the classification
of phenomena are systematically exploited, until they are
exhausted, and are not replaced by substitutes until a new
hypothesis or new difficulties lead to the proposition of new
tools. "Neutral" means both that the poietic and esthesic
dimensions of the object have been "neutralized", and that one
proceeds to the end. of a given procedure regardless of the
NQ {tIel- ''\~O
results obtained [l13J.

- 25-
Analysis of the neutral level by semiologists such as Ruwet (1987) and
Nattiez involves segmenting the musical text into units that are
either indivisible or for which further division would yield units
that do not appear independently in the musical text: only those units
that appear more than once, in some identifiably related form, are
considered as part of the analysis. The nature of the relationship
between units is of the utmost importance. To date, the study of all
possible relationships between these units has not received the
attention it warrants. In analyses containing units that are
identical in every way, an objective understanding of which units can
be construed as related is not a problem. However, when units are
simply Judged by the analyst to be similar without a definition of the
nature and extent of the similarity then the analyst is in danger of
confusing the neutral level with the esthesic dimension - a charge
levelled at Nattiez by Bernard on a number of occasions.
It is to the analysis of the neutral level, as far the semiology
of music is concerned, that the metatheory is intended to make its
most significant contributions. However, the second description of
the neutral level, notably the asp~ct concerned with the derivation of
'analytic tools' for the 'delimitation and classification of
phenomena', suggests that the metatheory, which determines these
'analytic tools', can be extended to the analysis of the other two
dimensions of the tripartition, although this conception represents a
significant departure from Nattiez' concept of the neutral level.
Just how far this extension beyond the neutral level is possible has
an important bearing on the question of logic's limitation, but
clearly the application of logic should be able to make some headway
into the poietic and esthesic dimensions: they are not totally devoid
of reason. For instance, any quantity that is a measurable invariant
from one performance of a work to the next (such as an instrument's

- 26-
acoustic properties e.g. the shortening or lengthening effect of
playing pizzicato on notate.d duration values, or certain universal
physiological properties of the human auditory system used in the
perception of the work) is surely susceptible to a 'neutral' analysis,
even though this type of neutrality strays from the text as a symbolic
form: only the interpretation of data confines a particular enquiry to
the esthesic dimension. Consequently, certain aspects of scientific
enquiry can be considered as part of both the esthesic dimension and
the neutral level. The extension of the metatheory to the poietic
dimension is also technically possible. For example, it can be used
in the analysis of a work's compositional technique or, more
generally, in the analysis of musical texts known to have an
indisputable bearing on the particular work in question and which
therefore contribute to the process of the work's contextuallzatlon.
However, the extension of the metatheory to more general historical or
sociological issues, for instance, seems extremely dubious: such
applications surely exceed the limitations of logic. This latter
question will be addressed more fully as part of the conclusion to
this thesis, since without the explicit details of the metatheory it
is difficult to formulate the reasons for its limitations. In the
meantime, the metatheory will be expounded as a concept principally of
the neutral level.
Unlike existing neutral level analyses the metatheory is, within
certained defined boundaries, completely objective since it consists
of a series of fixed axioms - which are, effectively, the embodiment
of its theoretical assumptions - that do not permit the exercise of
subjective judgments on the part of the analyst in the initial stages
of the analysis (although analytical judgments are crucial to the
final analysis). The metatheory produces a multitude of potential
structural configurations, on a much broader basis than linear

- 27-
segmentation by similarity, but the actual final structure can only be
determined in relation to the poietic and esthesic dimensions. In
this way, the final analysis is able to demonstrate 'a sense of
history both segmented and stratified, like the music itself: a sense
of the deep divisions between particular periods of time' [Whittall,
1987: 14]. By acknowledging, 1. e. making explicit, specific
interactions between the various dimensions of the tripartition -
interactions that collectively refine an analysis out of the myriad
configurat ions' of the neutral level - the analyt ical method deri ved
from the metatheory avoids carrying with it a hidden agenda of
underlying assumptions. It does not, of course, remove these

assumptions, but rather sets them out in a manner conducive to

critical examination. For instance, a preferred hearing by an analyst
(an esthesic input) or a bias towards twelve-note collections due to a
knowledge of the pieces' compositional process (a poietic input) both
constitute assumptions in relation to the neutral level since they
appeal to criteria beyond the musical text.
An important consequence of situating the metatheory within the
tripart1ti,on proposed by Molino concerns the epistemological status of
the metatheory - a subject that will be considered more fully in later
chapters, but merits introducing here if only to clarify further
limitations of the metatheory. It is self-evident that since no final
analysis can be produced by the metatheory without reference to the
poietic and esthesic dimensions, then the metatheory is strongly anti-
positivistic with respect to the musical text. This is one of many
ironies of the metatheory. It might be expected that a rigorous and
logical approach to music analysis would tend to marginalize the
poletic and esthesic dimensions. However, it transpires that the
opposite is true since the application of metatheoretical reasoning to
the analysis of musical texts is found to be intrinsically limited:

- 28-
the metatheory is not simply another branch of the structuralist's
tree. Consequently, the metatheory has the effect of enforcing the
role of the pOietic and esthesic dimensions, particularly with regard
to those aspects of these dimensions that are not susceptible to the
type of logic contained within the metatheory. Hence, although the
bulk of this thesis is concerned with the details of the metatheory,
this bulk should not be equated with the relative importance of the
neutral level in comparison with the other dimensions which,
necessarily, receive substantially less attention.

f f •

Although section 2.3 has concentrated on the relationship between

the metatheory and the semiological approach to music, this should not
be misconstrued as implying a unique connection between the two
approaches at the expense of other analytical methods. The theory of
semiotics has been mentioned at this early stage of the exposition
since it is crucial to the wider context of the metatheory, even if
actual details of any specific interactions of the metatheory with the
poietic and esthesic components of the tripartition cannot be
determined until details of the metatheory have been presented.
However, the close affinity of the metatheory to semiotics will become
increasingly apparent as this discourse progresses.
Schenker was correct in claiming that a general theory of music
would not be possible unless its author first absorbed Schenker's own
musical concepts. Any music theorist or analyst that has contributed
to our understanding of music could make the same claim since unless a
general theory - or, in the present case, the metatheory - can deduce
some of the widely accepted insights (but not necessarily the
idiosyncratic insights) of individual theories, it is not really worth

- 29-
considering any further. (The precise extent to which the genesis of
the metatheory should depend on these other music theories will be
made clear in the next chapter).
Therefore. it is to be expected that the metatheory will have a
close affinity not only with semiotics. but also with many other
theories of music. In essence. it should appear, in its final form,
to be a distillation of the multifarious music theories that underlie
analytical enquiry. That semiotics appears early on in the exposition
of the metatheory follows directly from semiotic's pretensions to
universality. Similarly. motivic analysis - which can be used in the
analysis of many diverse styles of music - will appear in the early
stages of the metatheory. In short, there will be many points of
departure from the metatheory as it is unfolded, each one leading to
the formulation of particular music theories. both new and old. These
points of departure will be indicated as the metatheory progresses,
but the complete theories that would ultimately emerge - after
discovering and imposing the appropriate stylistic boundary conditions
- will have to be considered as part of a future undertaking.

-30-
 CHAPTER THREE

There is beauty in the composition of the world's

history arising from the antithesis of contraries.

- [St. August ine, 1984: 449],

3. 1 Initiating the Content of the Metatheory

If there is a single paradigm towards which the formulation of a

metatheory should aspire then it is surely contained in the following
paragraph:

Let us define what may be considered the indispensable

constituents of an 'active' analytical method: it must begin
with the most minute and exact observation possible of the
musical facts confronting us; it is then a question of finding a
plan, a law of internal organisation which takes account of these
facts with the maximum coherence; finally comes the
interpretation of the compositional laws deduced from this
special application. All these stages are necessary; one's
stud~es are of merely technical interest if they are not followed
through to the highest point - the interpretation of the
structure; only at this stage can one be sure that the work has
been assimilated and understood [Boulez, 1975: 18).

The import of Boulez' words has been widely acknowledged in music

analysis. David Epstein referred to them in Beyond Orpheus (1979) as
an example of 'writings on musical theory .. [that) .. show an increasing
awareness both of the need for disciplined theoretical construction
and the great problems of developing strict modes of examination in a
field that has lacked discipline in the past' [Epstein, 1979: 13).
Jonathan Dunsby and Arnold Whittall chose to introduce Music Analysis
in Theory and PrtJctice (1988) with the same quotation. Boulez' words

- 31 -
remain a challenge to analysts since the kind of 'plan' envisaged by
him which, according to Dunsby/Whittall, 'will probably display
certain fundamental features of musical organization that tend to
occur whatever the period, or style, of a work: repetition, variation,
contrast, connection, juxtaposition' [Dunsby/Whittall, 1988: 4],
continues to be as elusive as ever. Dunsby/Whittall perhaps suggest a
reason for this elusiveness when they state the qualifications
necessary for the analyst contemplating the formation of a single
'plan': 'the analyst will need to be familiar with plans, with
analytical models, that have been proposed already - and accepted -
for music of different periods, and familiar too with how they work'
[: 41. This stipulation expresses in general what Schenker claimed for
his own ideas in particular [Schenker, 1979: xxivl. The enormity of
the task must surely deter all but the most foolhardy of analysts.
Jean-Jacques Nattiez has indicated that the second volume of his
'extended study of musical semiology' will present a 'critical
examination of important writers of the twentieth century: Schoenberg,
Schenker, Reti, Forte, Meyer, Lerdahl and Jackendoff' [Nattiez, 1990:
xi1. A 'critical examination' is ambitious enough when considering
such diverse writers. Yet how much more ambitious it is to attempt
their unification, to whatever extent this is pOSSible, into a single
'plan'. How can the analyst be equal to this task?
Despite the difficulties involved in its establishment, the idea
and the usefulness of a single plan remains. It might be argued that
the formulation of a single plan requires a type of structuralist
~ppro~ch - as distinct from a particular structuralist model - that is
no longer appropriate: Structuralism has had its day and failed. To
some observers, these might be the twilight hours of structuralism,
but as one recently deposed British Prime Minister quipped before she
succumbed to the 'men in grey suits': 'there are twenty four hours in

- 32-
a day'. Until a theory that encompasses 'the most minute and exact
observation possible' has been invented, it will not be possible to
judge the success or failure of the structuralist approach. It is too
early to set our alarm clocks for tomorrow morning's
post-structuralist sunrise. Ironically, the search for disunity in a
work arguably requires a far more detailed analysis of the musical
text than the search for unity since the presence of disunity can only
be proved, within a given analytical system, when every attempt to
demonstrate unity within that system has failed. Consequently, the
rigorous pursuit of structuralism is as pertinent to its opponents as
it is to its advocates.
If the distillation of the metatheory from accepted music
theories seems daunting, perhaps there is an alternative strategy that
can be adopted. Rather than deconstruct existing theories, may it not
be possible to construct the metatheory from a set of principles in a
quasi-logical (in the formal sense) manner. It is this latter
approach that I intend to adopt in the development of the metatheory.
At first, the concepts might not appear to have any bearing on music
whatsoever - in a sense they will not since, to reiterate, the
metatheory is an abstraction which only becomes a theory of music in
relation to particular compositions.

- 33-
3.2(a) The Underlying Principles of the Metatheory: Identity

Let us therefore agree that the idea of eternal return

implies a perspective from which things appear other
than as we know them: they appear without the mitigating
circumstance of their tranSitory nature ............ .
. . . . E1nmBl 1st ke1nmBl.

- (Kundera, 1985: 4 & 8]

Boulez stipulates that the analytical method 'must begin with the most
minute and exac't observation of the musical facts confronting us'. In
order that these observations might be assimilated into 'a law of
internal organization' it is necessary to express them in a form that
distinguishes the significant observations from the insignificant
ones. If this distinction is not made then the observations simply
reproduce the text and no progress is made. Consequently, the initial
step in the direction of the metatheory involves the question of
significance; specifically, what constitutes a 'significant'
observation? This question cannot be answered without recourse to at
least one assumption that is external to the musical facts since a
text does not contain the necessary, elements for self-analysis.
If there is one principle that underlies most, if not all
analyses. that principle is based on a notion of similarity. Certain
analytical approaches employ this principle explicitly. A number of
examples illustrate this observation and demonstrate the
reasonableness of what will become an important assumption of the
metatheory. However, these examples do not constitute a proof: the
notion of proof is as troublesome to the metatheory as it is to any
other theory of music.
The first example concerns the semiological analysis of music
using component units derived from the identification of similarities.
Since this procedure was discussed in section 2.3 it is only

- 34-
necessary to refer the reader back to that previous discussion and
draw attention to the wide,r implications of the procedural basis there
outlined, namely the underlying assumption that similarity is a valid
criterion for distinguishing the significant observations from the
insignificant ones.
In A Generative Theory of Tonal Music (1983), Fred Lerdahl and
Ray Jackendoff accord similarity a primary role in their determination
of grouping structures when they write that 'groups are perceived in
terms of the proximity and the similarity of the elements to be
grouped' [: 41] - a point made thirteen years earlier by Grosvenor
Cooper and Leonard Meyer in The Rhythmic Structure of Music [: 13]. Of
course, proximity is itself a measure of similarity. The distinction
between the two concepts is that whereas similarity has to do with the
intrinsic natures of the objects being considered, proximity has to do
with their spatial or temporal positions i.e. the degree of similarity
of these positions. Proximity, when suitably defined, serves as an
objective measure of both spatial and temporal similarity. Many, if
not all, of the Grouping Well-Formedness Rules (GWFR) and the Grouping
Preference Rules (GPR) can be derived on the basis of similarity and
proximity alone.
Analysis based on set-theory, as practised by Allen Forte in The
Structure of Atonal Music (1973), incorporates the principle of
similarity by adopting mathematical concepts such as equality (=),

eqUivalence (:), subset (~), superset (~) etc. These are all
mathematical statements of similarity that, when suitably expressed in
terms of the similarity relations (R p , Ro , Rt • R2 ), the set complex K,
the subcomplex Kh and pitch-class set genera, function as objective
measures of the similarity between pitch-class sets isolated by the
analyst. Hence, they are quantitative rather than qualitative. The
question of how sets should be isolated/i.e. which criteria should be

- 35-
used in the segmenting process, is a perennially thorny one. In as
much as Forte addresses this issue at all, recurrence - which is
itself a special case of similarity - is highlighted as a 'commonly
invoked criterion' for the identification of segments: 'If a
particular segment forms a set that is represented elsewhere in the
music, it is probably a legitimate structural component' [Forte, 1973:
911, More recently, Christopher Hasty has brought an air of rigour to
the process of segmentation in his influential article 'Segmentation
and Process in·Post-ional Music' (1981) in which similarity, in the
more focussed form of identity, is used as a means of effecting
segmentations. Having established the existence of a number of
'domains' [: 57], or musical parameters, he observes that in the first
bar of Stefan Wolpe's String Quartet (1969) 'six tones occur one after
another, each differentiated from the others as elements by their
different values of pitch and temporal appearance', but that 'Such
elements thus differentiated may, however, come to be heard as a unity
if in some domain they possess identical values' [:58]. This pairing
of difference with similarity. in a more generalised and logical form,
is crucial to the metatheory.
Other analytical methods involve similarity implicitly. For
example, any kind of motivic or thematic analysis is essentially a
study of similar musical units and the operations by which they may be
transformed. Additionally, Schenkerian analysis, by identifying
certain prolongational types such as the neighbour note, the passing
note etc., is emphasising certain recurrent structural functions.
Furthermore, according to Schenker, the masterworks can all be reduced
to (or unfolded from) a common Urs~tz, which raises similarity to the
level of a universal axiom. This kind of similarity stems from the
relationship between a composition and a particular musical tradition,
but Schenker has also acknowledged repetition as a potential force for

- 36-
achieving an 'organic relationship in genuine diminution' [Schenker,
1979: 98], i.e. diminution stressed by the internal organisation of a
composition. Schenker convincingly demonstrates that repetition acts
at the level of the foreground and the middleground without being
limited to simple motivic manifestations, so that 'even very extended
tonal structures could be based on repetition' [:99]. For instance,
Schenker's middleground graph of Handel's Suite No.2 in F major, 1st
Adagio [: Fig. 118,2], reproduced in Ex. 1, highlights two recurring
intervallic patterns that, because of their recurring natures, do not
- particularly in the case of the ascending perfect fourth -
necessitate reference to an external musical tradition: the text acts
as its own point of reference since the repetition of the intervals
defines their existence. In general, all analytical methods that
express the musical whole in terms of a set of hierarchically arranged
levels require that certa1n of their rules be applied recursively, i.e.
the rules applied at one level are, in many cases, equally applicable
at all levels.' The recursive application of rules is yet another
manifestation of similarity.
Similarity, then, is part of the very fabric of music analysis.
However, its application as a concept in analysis is often imprecise,
involving the subjective judgements of the analyst which, in terms of
the neutral level, is a failing. Consider Nattiez' paradigmatic
analysis of Debussy's Syrinx reproduced in Ex.2 [Nattiez, 1975: 334-].
Whilst the component units that are aligned in Paradigms A to 0 may be
judged as similar, the nature of this similarity has not been defined.
Only if component units 7,8 and 9 were identical in some sense could

'This property is observed in both [Lerdahl/Jackendoff, 1983: 14-16]

and [Schenker, 1979: 68].

- 37-
objective comparisons be made between them. Since the paradigmatic
framework does not include the theoretical mechanisms for the study of
limited identities, the connections between component units is
necessarily subjective. Even in pitch-class set analysis, the use of
'equality' involves subjective judgments since the musical segments to
which the condition is applied are not derived according to an
objective theory. Indeed, concerning various segmentation processes,
Forte considers that' It seems virtually impossible to systematize
these in any useful way' [Forte, 1973: 911. Until the extent of
similarity can be defined, it must remain inappropriate as a
description of the neutral level.
To define similarity requires narrowing its field of application.
Within the metatheory it is not sufficient for two objects to be
subjectively similar: they must be identical in certain well-defined
respects. (This restriction has no bearing on the relevance or
usefulness of similarity to the poietic or esthesic dimensions>.
Generally speaking, musical objects in their entirety are too complex
for the concept of absolute identity to be at all useful. However,
when these objects are considered in terms of their constituent
elements, the concept of identity appears to be an appropriate measure
of the significance that can be attached to observations of the
musical facts.
The question arises as to whether the admission of 'identity' as
a premise of the metatheory necessarily prejudices the outcome of the
analysis. That the concept of similarity pervades the majority of
analytical methods results, arguably, from the analyst's obsession
with unity in music, and 50 the uncovering of unity is, therefore,
inevitable. True, disunity can always follow by default, but if the
study of similarity is such an integral part of the analytical method
it is conceivable that the analysis cannot fail to deduce unity within

-~-
a composition. Pitch-class set analysis, for instance, guarantees
some sort of unified analytical interpretation every time it is
applied to a composition based on the collection of twelve pitch-
classes.
However, since the metatheory represents musical objects in
terms of their constituent elements, it is possible not only to have
disunity by default but also bona fide disunity. Arnold Whittall has
stated this possibility for the analysis of non-tonal music in a
discussion that begins with the use of the Ahle-Bach chorale in Berg's
Violin Concerto: 'the juxtaposition and superimposition of differing
elements may be a more natural and necessary way of appreciating the
content of such compositions than unity or synthesis' [Wh1ttall, 1987:
15]. According to the metatheory, these 'elements' must be derived on
the basis of identity but the presence of unity or disunity on a
larger scale depends, among other criteria, on the extent to which the
'Juxtaposition and superimposition of differing elements' tends to
align these constituent elements. (Section 3.2(b) develops this
argument further by considering the actual formation of entities by
processes based on non-identity. )
In the case of tonal music, Lerdahl and Jackendoff have observed
that grouping structures (which can be interpreted as 'elements' of
the composition) do not overlap, but instead tend to be mutually
aligned [Lerdahl/Jackendoff, 1983: 13-14], In part, this observation
depends on Lerdahl and Jackendoff's particular choice of permissible
grouping structures. The metatheory will show that, in general, tonal
music is more ambiguous than the generative theory appears to suggest:
although manY,significant grouping structures are aligned, some are
not. Indeed, this ambiguity is crucial to the music since it can be
used to generate further content. Leonard Meyer suggests the
generative possibilities of ambiguity in relation to the Theme from

- 39-
Mozart's A-Major Piano Sonata K331, reproduced in Ex. 3. He argues
that 'the decisive upbeat at the end of measure 7 is the realization
of a potential which was latent, but not actualized, in the preceding
weak beats' [Meyer, 1978: 37]. That is, the preceding weak beats are
ambiguous. Furthermore, he argues that 'the fourths - from E to Band
from D to A - are not perceived as active connections. The
relationship is potential ... not until the first variation are the
fourths heard as syntactically explicit events' [:37]. Unless the
range of grouping structure types considered by Lerdahl and Jackendoff
is expanded, and these groups are permitted to overlap, the latent
possibilities will remain unobserved. In contrast to tonal music,
non-tonal music does not tend to produce an alignment of grouping
structures - or at least not to the same extent - and so the final
analysis has to be presented as a network of overlapping groups, just
as Whittall suggests for Berg's Violin Concert~ i. e. juxtaposed and
superimposed elements.

3.2(b) The Underlying Principles of the Metatheory: Non-identity.

There are some people who will tell you that the
world we live in now is converging, that everywhere
is turning into everywhere else, that difference is
turning into universal similarity .... Yet behind such
similarities there are always the small differences,
things that name the place.

- [Bradbury, 1984: 14].

Milan Kundera only provided one half of the equation when he invoked
Nietzsche's idea of 'eternal return'. Recurrence does change 'the
perspective from which things appear', but at the opposite extreme, 50

does uniqueness. The single appearance of the Eb major triad in

- 40-
Penderecki's KosmogoniB that coincides with the setting of the word
'Sol' has a significance out of all proportion to its brevity. Its
meaning cannot be deduced from the orchestral score alone, but rather
from the relationship between that score and the western musical
tradition as a whole,i.e. the identity between the major triad and
elements of the pOietic dimension. Only the non-identity of that
triad with the rest of the score can isolate it as a potential
structural unit without reference to external factors, but even then
its aural significance cannot be accounted for.
Hence, in addition to a disunity that is derived from the non-
alignment of elements (that are, nevertheless, derived by the study of
identity), the metatheory also incorporates a principle of non-
identity that exists in binary opposition to identity. The
justification for this second principle may be found by the study of
both tonal and atonal music. Two cursory examples will suffice to
lend support to this second underlying principle.
Firstly, Eugene Narmour's concept of 'Gap-filling' - a technique
developed as part of the implication-realization process - clearly
depends, in part, on the non-identity of its constituent elements
[Narmour, 1977]. It is interesting to note, in passing, that many of
the techniques of prolongation favoured by Schenker derive not from
non-identity but from the study of identity. This difference between
the two approaches can be interpreted in terms of the binary
opposition of identity and non-identity. Hence, considered within the
confines of the metatheory. it is not at all surprising that Narmour
sees his analytical method as existing in opposition to or, to use his
euphemism. 'beyond' that of Schenker's.
A second (but arguably related) example is found in the study of
serial composition. Considered in terms of pitch alone, it could be
suggested that an historical alignment exists between identity and

- 41 -
 non-identity. The chromaticization and eventual serialization of
pitch content certainly supports the view that theories of music
should reflect the increasing dominance of non-identity over identity.
Reversing the arrow of time, David Epstein has gone even further along
,this historical path: 'That the relationship of tot~l 5eri~li5m [my
italics] may validly extend back one step, to the music of the
classic-romantic era .... , reveals an interesting perspective from
which this earlier and familiar repertoire might be viewed' (Epstein,
1979: 21].1 Hence, non-identity will have a significant role to play
in the study of tonal as well as atonal music, but this role will not
be limited to the analysis of pitch (as in the Narmour example).
Consequently, a principle of non-identity is also central to the
metatheory. It will become apparent that although it functions within
the metatheory analogously to the principle of identity, its meaning
is quite different. Indeed, the interplay between the respective
roles of identity and non-identity will have considerable bearing on
the final stage of the analysis: the interpretation of the structure.
To summarise, the principle of identity only prejudices the
outcome of. the analysis if it is insisted on at every level of the
analysis. As a means of initiating the metatheory, i.e. determining
the significant observations of the musical facts, the principle - in
combination with its opposing or complementary principle of non-
identity and the analogously eqUivalent concept of proximity - seems
indispensable: there are no superior alternatives. Ultimately, the
validity of these principles depends on the insights that follow from

1 This idea has been pursued more recently by Joseph Straus In

Rem~kingthe Past [1990(b)]'

- 4-2 -
their adoption. The selection of these principles is. initially.
little more than instinctive speculation, but as Epstein has pointed
out: 'Theory, once made, can dispense with the speculation that led to
it' [Epstein, 1979: 51.

- 43-
 CHAPTER FOUR

4. 1 Terminology within the Metatheory

The whole world is tormented by words

And there is no one who does without words.
But in so far as one is free from words
Does one really understand words.

- from Sahara"s Treasury of Songs

[Conze, 1959: 175].

As a prelude to the abstract presentation of the metatheory, the

problem of terminology must be addressed. The opening chapters of
this thesis have used terms such as 'component unit', 'segment',
'group', 'object', 'motive' and 'element' without recourse to specific
definitions. The usage of these terms has always been in the context
of specific writers and the meanings those writers intended for their
terms. The existence of discrete musical objects is clearly important
to analysiS. They are the focus of the analyst's initial observations
of the mustcal text. I have attempted to show, as Nattiez has argued
in general, that 'The object of a science is not an immediate given;
all description, all analYSis considers its object from a certain
st andpoint' [Nat t iez, 1990: 133] and the standpoint for the met atheory
(from which it derives its 'objects') is, initially, based on the
binary opposition of identity and non-identity. A system of object
classification that goes beyond this underlying basis is clearly to be
avoided in the initial stages of an analysiS. Hence, for the purposes
of logical explication the metatheory will use the word 'entity' to
describe discrete collections of events. As the metatheory unfolds
the term 'entity' will be revealed as a generiC term which, in
relation to particular compositions or parts of compOSitions, can be

- 44-
replaced with traditional terms such as 'note', 'motive', 'chord',
'segment', 'theme', 'phrase', 'section', 'movement', 'piece' etc.
However, the type and nature of a musical entity will always be
defined as part of the final analysis: it should not be interpreted as
being equivalent to any other musical expression without careful
consideration of its interaction with the poietic and esthesic
dimensions of the tripartition.
Two further terms that are used in the following exposition
require clarification. The metatheory is presented in terms of a
series of definitions and axioms, and an important distinction is
intended between these two terms. Definitions are employed to give a
specific meaning to otherwise commonplace words, a meaning that is
assumed in subsequent usages of that word. Axioms, on the other hand,
involve theoretical speculation on the nature of music itself: they
are the theoretical manifestation of the metatheory. Occasionally, a
definition will be included as part of an axiom. This latter case
arises when simply to define a term involves some kind of theoretical
speculat ion.

4.2 The Exposition of the Metatheory

Any fact becomes important when it's connected to another.

The connection changes the perspective; it leads you to
think that every detail of the world, every voice, every
word written or spoken has more than its literal meaning.

[Eco, 1988: 377].

The illustrations of the metatheory in this chapter will be kept

deliberately abstract in order to emphasize the generality of the
ideas and also to retain a sense of the unfolding logic of the

- 45-
metatheory. Succeeding chapters will attempt to flesh out this
skeletal exposition with music examples taken from a wide variety of
different musical styles and historical periods.

4.2(a) Preliminary Observations of the Musical Facts

The precise application of the concept of identity within the

metatheory is initiated by comparing two distinct but arbitrary events
(meaning that their exact natures or extents are irrelevant to their
selection) or collections of events that are, in turn, defined as
embodying some or all of the following musical components, which have
been grouped according to their interdependence:

{Silence} ,
{Pitch, Interval, Contour},
{Tempo, Onset, Duration},
{Timbre, Dynamics},

Some would-be components, such as melody, harmony, texture, pulse,

metre, rhythm, register and articulation, have been omitted since they
can be derived from the above list in conjunction with the principles
of identity and proximity, although their derivations are not, in all
cases, immediately obvious. (The relationship between components and
pseudo-components will be discussed at a later stage when enough of
the metatheory has been explicated to perform the required
deri vat ions.)
If two events or collections of events are represented 6S Em and
En, it is possible to define the concept of an entity as it should be

- 46-
understood within the metatheory. leading to the first of the
metatheory's axioms:

Axiom 1
If E,,, and En are identical with respect to one or more of their
constituent components then both EM and En exist as entities.

Although this axiom is primarily concerned with entities defined

within a single musical text it is also the case that the concept can
be extended beyond the immediate text to the comparison of events
contained by two or more separate musical texts to form poietie
entities,i.e. an entity that is defined in relation to a particular
musical tradition, or an aspect of that tradition. This possibility
is important to the ultimate purposes of the metatheory, which involve
the contextualization of compositions, but will not form a significant
part of the present thesis, which is necessarily concerned with more
structural matters.
The above axiom suggests a technical sense in which the term
simil~rity may still be used within the metatheory. namely to refer to
the relationship between Em and En when they are not identical in
every respect but share only certain common components. Additionally.
the remaining non-identical components of these entities might also be
described as similar if they can be related by a mathematical
expression other than identity, such as subset (c), superset (~).

equivalence (:>, intersection (n) etc. or combinations of these

expressions, such as set complex (K) and subcomplex (Kh), all of which
imply a limited form of identity. The crucial point to consider in
the application of these expressions is that they depend on an initial
definition of entities in terms of identity alone. In other words.
these logical relations can only be brought to bear on musical objects

- 47-
that already exist as entities: the arbitrary grouping together of
events is not permissible ~s part of the metatheory.
Every reference to Em and En in the following exposition assumes
that they both constitute entities in accordance with Axiom 1. It
will sometimes be found that Em is a function (in the mathematical
sense) of En' that is:

For example, Em might be the transposition, retrograde or inversion of

En. These functions appear variously in note-row analysis, motivic
analysis or harmonic analysis. When a relationship of this form
exists between two entities, many identities will be found between
their constituent components. For instance, the inversion of a note-
row does not alter the interval-class sequence of the row. The
mathematical transformations between entities can be significant in
themselves, when they too recur within a composition, although such
recurrences will not necessarily be evident from the surface details
of a musical text.
Entities formed by the study of identities between musical events
that prove to be indivisible with resrect to certain components and
that possibly span a whole composition, referred to as fundamental
entities, constitute the most basic observations of the 'musical
facts'. The instigation of the metatheory as a whole depends on the
existence of these fundamental entities. In practice, either single
pitches, pitch simultaneities (both with their concomitant components)
or duration will underlie the fundamental entities of most
compositions. The criteria that determine the precise nature of a
fundamental entity are considered in the next chapter, but in general
it is a postulate of the metatheory that no fundamental entity can be

- 48-
formed by the remaining three underlying principles of the metatheory;
namely non-identity, identity by proximity (propinquity) and non-
identity by proximity (separation). This postulate is easily
justified. In the case of non-identity it is obvious that no purpose
would be served by establishing entities using both identity and non-
identity since all events are either identical or non-identical.
Hence, this procedure would fail to distinguish entities within the
musical text. Of course, establishing entities by identity inevitably
implies the existence of non-identical events but, nevertheless, it is
an assumption of the metatheory that entities by identity are
ultimately more si~nificant as a means of initiating an analysis (they
are certainly less numerous since they are not as susceptible to
chance occurrences). Concerning fundamental entities formed by
considerations of proximity, it is self-evident that in order for two
objects to exist in a spatial or temporal relationship to one another,
their existence as objects must first be ascertained. Therefore, the
adoption of proximity, whether by identity or non-identity, is
inappropriate as a means of establishing the existence of fundamental
enti ties.
The principles of non-identity and proximity enter the metatheory
at its second conceptual level, which has to do with the potential
configurations of the fundamental entities already established by the
principle of identity. The concept of close proximity within the
metatheory functions analogously to the concept of identity (and will
sometimes be referred to as 'identity by proximity'). However, unlike
identity, it is not immediately obvious how close proximity can be
employed objectively. Nevertheless, objectivity remains a crucial
condition of the metatheory. Hence, it is necessary to define exactly

- 49-
what is meant by this term. Given two events or collections of
events, EM and En, close proximity can be defined as follows:

Definition 1: Proximity
As the locat ion of E,,, tends towards that of En' SO E,n tends
towards identity by proximity with En'

If events are represented by their physically measurable and

numerically expressible quantities <such as frequency, intensity and
duration> then the above definition can be notated symbolically:

This symbolic representation demonstrates that the concept of identity

is a special case of proximity in which Em is 'located' at En and so
Em - En = 0, that is, £m = En' In practice, for one event to 'tend'
towards another event implies a concept of relative separation; that
is, one event can only be understood as tending towards a second event
relative to a third event, since there are no absolute reference
pOints against which to measure separation. As an example of identity
by proximity, consider the following three single component entities
£1' £2' £3' The' identity' of E2 and E3 by proximity requires that: I

I Lerdahl and Jackendoff's rules GPR 2 and GPR 3 are based on this
relationship. In their theory the identity by proximity of E2 and £3
in certain specific musical domains creates a 'group boundary' between
El and £2 [Lerdahl/Jackendoff, 1983: 45-46] I continued. ..

- 50-
The extension of proximity considerations to the study of three events
suggests a second important application of the term similarity (the
first having to do with entities sharing some, but not all, common
components) that i6 not concerned with spatial or temporal separation
but, rather, with the intrinsic natures of entities: two entities can
be described as similar relative to one or more surrounding entities
without actually requiring any identities to exist between them. That
it is usual for analysts to use the term similarity when considering
only two objects can always be understood in relation to a tacit third
object. Even in a hypothetical piece containing only two objects, a
judgment of similarity would be made against a background of many
potentially possible relationships with entities existing externally
to the text. According to the metatheory, the poletic and esthesic
dimensions constitute this referential background. Hence, for
instance, it is valid to claim that the timbre of a violin ls, in
general, similar to that of a viola in comparison with, say, a
trumpet. Consequently, the transfer of melodic development from B

viola to a trumpet 15, all other things being equal, more 11kely to be
structurally significant than if it had been transferred to a single
violin. This concept of simllarit y, referred to as relati ve
similarit~ is a powerful addition to the concepts of identity and
proximity that does not necessitate a sacrifice of analytical
neutrality: theoretical rigour is still maintained since the judgment
of similarity can be made on the basis of objective facts. When
relative similarity is determined by the comparison of entities within
a single text then the connection between such entities is notated

... This is in agreement with the general case indicated by the

metatheory's concept of delineation based on propinquity (see below).

- 51 -
using the logical symbol for 'approximately equal' (~). Comparisons
involving entities that are external to the text, which can be notated
in the same way, might appear to challenge the concept of textual
neutrality. Indeed, such comparisons do not sit comfortably in the
neutral level described by Nattiez, as explained in Chapter Two, but
in the wider sense of the term 'neutral' adopted in this thesis such
analytical techniques remain valid since they involve comparisons with
measurable invariants. In this sense, the neutral analysis impinges
on the other two dimensions of the semiological tripartition.
The existence of entities other than fundamental entities is
determined by the application of two further concepts known as
deline~tion and ~ssoci~tion. Collectively, they define the only two
ways in which the four underlying principles of the metatheory can be
applied to the analysis of musical components once the fundamental
entities have been established - the second axiom of the metatheory.

Definition 2: Delineation
A delineation is an uninterrupted series of entities that are
identical with respect to a specified musical component.

Definition 3: Association
An Association is an interrupted series of entities that are
identical with respect to a specified musical component.

The definitions of delineation and association can, of course, be re-

written to include any of the other three remaining underlying
principles by simply exchanging the word identity with the appropriate
term. (Hence each of the above definitions is actually four
definitions.) Unlike an entity which embodies several musical
components, both delineation and association contain information about

- 52 -
only one component. In fact, a musical entity will probably contain a
number of delineations and/or associations, the superposition of which
increases the significance of the entity.
Having defined both delineation and association it is possible to
express the second axiom of the metathory:

Axioll 2
All configurations of entities are produced by either the
delineatibn of an established order of entities or by
associations within that order of entities.

Furthermore, the application of these concepts must be in accordance

with the following principle of simplicity, adopted as the third axiom
of the metatheory:

Axiom 3
At least one of the configurations derived by the delineation and
association of a particular order of entities must maximize both
the number of entities embraced by the respective process at the
resulting level and also the potential for the recursive
application of further delineation/association processes.

Any conflict of interests between the demands of Axiom 3 is resolved

by accepting multiple structures: some that maximize the number of
entities grouped together (whether by delineation or association); and
others that maximize the potential for the recursive application of
further delineation/association processes. Additionally, the
specification 'at least one of the configurations' that begins this
axiom allows for the possibility that an isolated delineation or
association might have a significance that is not necessarily

- 53-
consistent with the constraints of simplicity. but whose significance
is instead determined by non-text based criteria.
Clearly. these axioms result in a proliferating logic:
fundamental entities can be formed into delineations which. in turn.
can be appropriated as single entities capable of being grouped into
more extensive delineations, and so on. This process might require
the inclusion of components that were initially dropped as part of a
delineation if these procedures are to be applied recursively. In
fact, the recursive application of these concepts will be seen to have
a significant bearing on the existence or non-existence of structural
levels. Two abstract examples will serve to illustrate the formation
and transformation of entities due to the action of delineation by
identity and non-identity. S Firstly, consider the following order of
single component entities (which, in common with all similar
orderings, is a temporal ordering such that entities are either
simultaneous with one another or follow one another successively):

S Musical examples of delineation by proximity will be discussed in a

later chapter since they cannot easily be presented in this rather
limited abstract fashion.

- 54-
It follows from the definition of a delineation that the above order
of single entities can be transformed into the following composite
entities:

These are not the only possible configurations that are allowed by the
definition of a delineation, but they do accord with the third axiom.
As a second example, this time of delineation by non-identity,
consider the following arrangement of single component entities and
the delineations that follow from it:

e:,E:SE:6

In the above instance it is not possible to apply the delineation

process recursively. The formation of entities using association by
identity is demonstrated in the following collection of single
component entities:

The formation of more complex entities using delineation by identity

is not possible in this example since although certain of the single
entities are repeated, that is, identities do exist between some of
the above entities, these repetitions are interrupted by the
appearance of non-identical entities. <Delineations could, of course,

- 55-
be produced by non-identity.) However, because of a repeated ordering
in the above collection of. entities, it is possible to form an
additional and more complex entity by association:

In common with the example of delineation by non-identity, this

process of association is exhausted after only one level of analysis:
it cannot be applied recursively. This latter property will emerge as
a significant limitation to the endeavours of motivic analysis. As an
example of association by non-identity, consider the following order
of entities:

There are a number of ways in which further entities could be formed

out of the above ordering using association by non-identity. In
practice, the actual choice of one or more composite entities depends
on a number of factors beyond the musical text. However, using a
dotted line to link non-identical elements in the above order of
entities, one possible configuration is:

I I I I " I I I I I I , , I , , I I I I I I I I I I I I

1. e.

That the first appearance of £, has been incorporated into the

composite entity, in preference to its second appearance, demonstrates
an influence external to the metatheory. A complete analysis of the

- 56-
above order would reveal many other possible choices of constituent
entities as potential elements. of the composite entity, but the
composite entity would remain unchanged.

•••
Two particular miscellaneous concepts must be referred to at the end
of this section, namely 'maxima' and 'minima', graphically notated as
A and v respectively. These superlative concepts are particularly
important in the study of pitch contour and dynamic content, although
some components cannot be analysed. in terms of these concepts at all.
They belong to a category of concepts that whilst logically neutral in
orientation, fall outside of the metatheory's main stream. (Just how
many such concepts of this kind there are is impossible to ascertain.)
Since their structural possibilites are difficult to illustrate
without recourse to actual music, further discussion of them is
delayed until a later chapter.

(,2(b) Structural Divisions

of
Having established the eXistenceifundamental entities and entities by
either delineation or association, it is necessary to consider the
ways in which these entities are able to divide the musical whole.
The division of the musical whole is the essence of structuralism, and
it is only when this division has been effected in a coherent manner
that it is then possible to describe the syntactical relationships, if
any, within the musical whole (remembering that syntax further
necessitates the study of function and meaning in addition to
structure). Two distinct types of structural division exist within

- 57-
the metatheory. In each case, no reference is made to the scale of
the division. Hence, the division can be on any scale from that of a
few notes up to, and beyond, that of a large section of music (in the
latter case, the division would constitute a potential description of
the music's form). The first structural division follows from the
concept of delineation and the second from association:

Axiom 4-

Structural divisions derived by delineation are conterminous with

the end points of the entities formed by that delineation.

Axiom 5
Structural divisions derived by association are conterminous with
the locations of the musical entities formed by that association,
all of which function to either open, close or elide a structure.

Hence, in the following example, the second level of entities produced

by delineating the first level entities, corresponds to the structural
division of the whole:

However, even though the structural divisions correspond to specific

delineations, the two concepts are quite different. A delineation
connects its constituent entities, whereas a structural division is
only defined in terms of the entities that bound the delineation.
Structural divisions by association are more complex than those
formed by delineation, and they are also difficult to encapSUlate
within a single definition. In the case of two associated entities,

- 58-
logic dictates that there are only three possible configurations for
the division of the whole.. In the example below - an ordering of
seven single component entities - the only identity to be found is
between the repeated instances of £,. This identity leads to the
divisions classified as Type I, Type II and Type III. These three
basic types of division apply to any number of entities, but as the
number of identical entities increases, so also does the number of
possible permutations of structural divisions.

Type I ' - - - -_ _ _ _ _- - ' , L . '_ _ _ _

Type II
Type III

The reappearance of £, between £6 and £6 functions to: initiate or

open a new structure (Type I); close the existing structure (Type II);

close the existing structure and simultaneously open a new structure,

that 1s, it functions pivotally br eliding two types of structural
division (Type III).
It follows from the above categories that the following
additional concepts, all of which are in common usage in music theory,
constitute structural divisions or demarcations:

Symmetry, Sequence, Continuity.

The derivations of the concepts of sequence and continuity are too

straightforward to merit presentation beyond the observation that they
both depend on the presence of identity. but the inclusion of symmetry
is, perhaps, less obvious. Symmetry functions to divide the musical

- 59-
whole because of the inevitable presence of associations (by identity)
between the constituent entities of the all-embracing symmetrical
entity. The following example demonstrates this point:

The end points of the brackets coincide with those entities that are
associated by identity. Hence, the simplest and most coherent
configuration (as required by Axiom 3) of these four types of
symmetrically arranged entities is that classed as Type II of the
structural divisions by association.

'.2(c) Structural Levels in Music

It should be clear from the conten~ of the metatheory so far that the
existence of structural levels, although feasible, is not at all an
inevitable consequence of the metatheoretical concepts. Whether
structural levels exist within a composition, or not, is determined by
the criterion of the following axiom:

Axiom 6
Every order of entities that exists in relation to the recursive
application of the concepts of delineation and association
corresponds to a structural level.

-60-
The precise mechanism that enables structural levels to be derived on
the basis of association has not yet been considered. but the order of
entities used to illustrate the concept of delineation immediately
translates into a system of five structural levels:

Level 1 £, £ , e::2 £2 £ , e:, e::2 £2 e: , e:, £::;: £2 £, £, £::;: £2

Level 2 £,e:, e::2£:2 £ , e: , e::2£:2 £, £, £:2£:2 e: , e: , £:2e::2

Level 3 £,e:,e:2£:2 e:,e:'£2£:2 £,£,e::2e::2 e:'£'£:2e::2

Level 4 £,e:,e::2£2£'£'£2£2 e:'£'£:2e::2e:,e:,e::2£:2

Level 5 e:,e:,e:2£:2£'£'£:2£:2£,e:'£2£:2£,e:,e::2e::2

The actual number of levels depends on the particular composition and

the component of that composition being analysed. Even within the
same composition different components will almost certainly result in
a different number of structural levels. There are no general rules
regarding the number of levels, but a correlation might exist between
the number of levels generated by a component and the cognitive
significance of that component within a particular composition
(although"this speculation is clearly an esthesic matter).
If it can be established that structural levels exist within a
composition, then it is also possible that these entities can be
simplified at each level by replacing them with, or representing them
by, a single constituent entity. An important application of this
procedure is to the concept of prolongation - a concept that will be
considered in relation to specific compositions at a later stage (it
is far too complicated a matter to be considered in the present highly
abstract form). Suppose, for example, that in the above initial
ordering of entities a further £, is added. In this case, if the
level 5 entity is replaced with, or represented by, its initial £,

- 61 -
then the concept of delineation can be further invoked to produce an
additional structural level:

Level 6

Since E, is unquestionably a prolongation by repetition of E,

(accepting that immediate repetition is an elementary form of

prolongation), then this level can be further simplified by writing:

Level 6

The choice of the initial constituent entity as the replacement for

the entire level 5 is justified on the basis that it alone is aligned
with the entity boundaries on each of the other levels, that is. it
exists at a 'structural node'. In the complex world of real music
where there are many components to consider. the concept of the
structural node is central to the determination of which constituent
entities may be used to represent the composite entities.
Consequen~ly. the structural node must be accurately defined:

Definition 4: The Structural Node

A structural node occurs when the boundaries of entities formed
by the delineation and association of one or more components tend
to mutually align at certain locations.

By incorporating this definition into the following axiom. it is

possible to derive the mechanism by which the concept of association
can lead to the generation of structural levels.

- 62-
 Axiom 7
Any entity that replaces or represents an entity other than
itself must be situated at a structural node.

The simplification of a musical text that follows from the above

process of substitution enables the association of entities at one
level to be delineated, thereby generating a new structural level.
Before demonstrating this process, the following example clarifies the
concept of the structural node. In this example the ordered entities
are no longer of the single component variety and hence the
delineations do not. necessarily correspond to specific entities. Each
line of brackets represents a delineation of a different component and
so the different lines do not correspond to different structural
levels. ConSl~ently, they should be understood to exist at the same
level:

Since the principal structural nodes occur immediately before £, and

£7 then both £, and £7 are potential candidates for representative
entities. Hence, one simplification of the above example is:

£, . . . . I •••••••••••••••••• £71 • • • , ••

The extension of this technique to the generation of structural

levels based on both association and delineation is demonstrated in

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the following example, which contains a number of multi-component
entities:

Level 1

Suppose that the first appearance of E, and the second of £3 are

found, by examining all of the components, to lie at structural nodes
(which might imply that an association existed between them). In this
case the above level could be re-written as:

Level 1

Notice that the structural divisions produced by association and the

ensuing substitute entities have not Changed the level of the
analysis, but have instead simplified an existing level. The process
of delineation now leads to the formation of further structural
levels. One possible outcome, using further subtitute entities, is:

Level 2

(.2(d) The Components of Music

Although the division of the musical whole into musical components has
been central to the unfolding of the metatheory, the relative
importance of these components has received little attention. In
fact, the logic of the metatheory has made no distinction whatsoever
between components: even the illustrative examples have been kept
abstract in order to avoid presenting an erroneous and prejudiced view

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of component hierarchies. In general, music theories assume - rightly
- that some components are. more significant than others: mention of
'secondary' components such as register, timbre etc. is ubiquitous
within music theory. The metatheory, in contrast, does not have an B

priori hierarchy of musical components but allows for the possibility

that different styles of music might have different component
hierarchies. The metatheoretical perspective on musical components
can be summarised by the following words of Jean Molino:

All elements belonging to the total musical fact may be separated

and taken as a strategic variable of musical production. This
autonomization serves as true musical experimentation: little by
little, the individual variables that make up a total musical
fact are brought to light. Any particular music then appears as
one that has made a choice among these variables, and that has
privileged a certain number of them. Under these conditions,
music analysis would have to begin by recognizing the strategic
variables characteristic of a given musical system: musical
invention and musical analysis lend each other mutual aid.
<Quoted in [Nattiez, 1990: 143-4]).1

In common with Molino's ideas, the metatheory requires that the

musical components
.
<Molino's 'variables')
.
be hierarchically arranged
in relation to specific compositions. Such an arrangement is
intrinsically qualitative since, unlike other aspects of the
metatheory, it is determined as much by pOiet1c and esthes1c
considerations as by the analysis of the neutral level. However,
contrary to Molino's ideas, the hierarchy of components can only be
decided after a complete analysis of the neutral level in terms of the

lThe complete paper from which Nattiez quotes has recently been
translated into English by J. A Underwood. See [Molino, 1990].

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definitions and axioms of the metatheory since, as indicated in the
discussion of structural levels, the neutral level might suggest a
potential hierarchy, making a truly self-sufficient neutral level a
theoretical possibility (but one that is not likely to be realized in
practice) .
That different components each have a varying significance
explains why, for instance, the concept of salience is not sufficient
as a means for determining prolongational tones: register or accented
articulation iri the classical style, for example, are often too
insignificant in the overall hierarchy of a composition's components
to usurp a prolongational tone determined by the component of pitch.
In general, even a large proportion of components suggesting a
particular structural division is not necessarily sufficient to
guarantee that divisionis ultimate selection: a single component that
produces a different structural division altogether can override the
majority of components if it is deemed to be pronouncedly more
significant at that particular musical juncture.

4.3 The Methodology of the Metatheory

Expressing the metatheory in terms of a small number of definitions

and axioms belies the true magnitude and complexity of the actual
neutral analysis: the metatheory generates an unimaginably vast
labyrinth of potential structural configurations. The discussion of
substitute entities and the interplay of delineations and associations
has already hinted at this complexity. In practice, there are two
distinct methodological approaches to this matrix of possibilities.
Firstly, the metatheory can be expressed in terms of an algorithm
capable of being encoded into a computer program. Aided by this

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algorithm, a computer would be able to generate all the structures
implicit in the musical text and determine the extent to which they
suggest one or more structural interpretations of the whole. Since a
computer is unable to gauge the poietic and esthesic significance of a
musical component, a hierarchy of components would have to be
determined by the analyst if the computer was required to produce an
interpretation of the structure - although this interpretation would
almost certainly result in an over-simplification of the nature of
music. It is impossible at this stage to know what such an analysis
would tell us about a composition, but ultimately only this first
methodological approach will enable analysts to determine the
limitations of a logic divorced from poietic and esthesic criteria:
the extent to which a composition can be explained in terms of itself.
Alternatively, once the computer has generated all possible structural
configurations {according to the metatheory> the analyst could
interpret the generated structures using specified poietie and
esthesic criteria. It is this latter alternative that seems to hold
the most promise for the systematic application of the metatheory to
the ana1y.sis of music.
A second methodological approach involves the analyst negotiating
a path through the labyrinth of potential structural configurations,
constantly guided by specified pOietie and esthesic criteria. This
second methodology would thus be highly selective in terms of its
chosen structural configurations: only those configurations that were
judged as poietica1ly or esthesical1y significant would be included as
part of the analysis. Hence, this approach would not be an analysis
of the neutral level in its entirety (according to the metatheory),
but an analysis from the neutral level (whilst remaining consistent
with the metatheory> ,
Both of the above methodological approaches stand to benefit from

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the metatheory being expressed in terms of a matrix of potential
structural configurations., Such a matrix would also serve to indicate
the magn1tude of the neutral level. Alas, no single graphic
representation is able to contain the complete unfolding of the
metatheory from the identification of fundamental entities through to
the final structural levels of a composition. In wordS, the following
algorithm/procedure provides a summary of the application of the
metatheory to music:
(i) Identify the fundamental entities and arrange them
chronologically. This is the first structural level;
(ii) Apply the concepts of delineation and association to one
component of each fundamental entity series at a time. Consider the
result as a single branch dividing into two basic types of second
level branches, one each for delineations and associations (there may
be multiple branches for each of these two basic types since there are
four underlying principles to apply>. The delineations and
associations produced might function as multiple-component entities
for the next structural level (i.e. they are no longer restricted to
the compo~ent used in their derivation processes of delineation and
association) - a possibility that did not arise in the abstract
examples of section ~.2. The number of entities in each branch of the
second level will necessarily be less than the number at the first
level. This process should be repeated for all components;
(1ii) Simplify the second level entities using substitute
entities in accordance with the structural divisions and nodes
produced by aligning the different component analyses in (11 >. There
may well be more than one possible reduction at this level, in which
case the number of branches wi 11 increase accordingly;
(iv) Every simpli fled order of entities for each branch of the
second level constitutes a point of departure for the formation of the

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third structural level. Hence, successive levels are formed by
repeating the steps contained in (ii) and (iii) above. Consequently,
an order of entities delineated and associated by a certain component
at level two will, in addition to being delineated and associated by
that same component at level three, be delineated and associated in
terms of all the remaining components. Hence, an order of entities
initially delineated by register might, at the next structural level,
be analysed in terms of its pitch organization. The formation of
further structural levels from an association branch is only possible
if the order of entities has been simplified in some way since
association is a non-recursive phenomenon. In contrast, an order of
entities formed by delineation may lead to further structural levels
even without being simplified since delineation can be applied
recursively.
Clearly, the above algorithm would generate a huge network of
structural configurations. Without the aid of a computer this
algorithm is impracticable. Hence, in practice the use of the
metatheory involves the constant judgment of the analyst. Rather than
pursuing every potential simplific~tion of an order of entities at any
one level, the analyst must judge which simplification is most
appropriate (in the light of specified poietic and esthesic criteria).
Similarly, instead of analysing each level in terms of all the musical
components, the analyst must limit himself to the analysis of the most
significant components. All the analyses contained within this
dissertation will involve this kind of selectivity.

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4.4 The Interpretation of the Metatheory

The interpretation of the metatheory as a theoretical construct is

only possible in the most general terms. The algorithm of section 4.3
has the potential to demonstrate the extent to which the various
'elements' of the music are unified or, alternatively, whether the
final analysis is more likely to be presented in the form of the
'juxtaposition and superimposition of differing elements'.
Additionally, 'it will demonstrate whether a composition can be
described in terms of a single theory or whether different sections of
the piece appear to function according to correspondingly different
theories. This second possibility has much in common with Jonathan
Dunsby's idea of the multi-piece [Dunsby, 1983]. However, Alan
Street's criticism of the multi-piece - that although it allows a
'bending' of the unity principle, nevertheless 'since the value of a
multi-piece depends on some presence of unity, bending cannot run to
breaking without also causing the aesthetic framework to collapse'
[Street, 1989: 110] - would not apply because the metatheory does not
predeterm~ne the presence of any ~nity whatsoever between the
constituent 'pieces': the metatheory can be forged brittle enough, in
relation to a particular compOSition, to shatter any illusion of
unity.
To summarise: the analysiS of the neutral level generates a
myriad of potential structural configurations. Only a study of the
poietic and esthesic dimensions will enable the choice of which
particular configurations are to be retained or emphasised as part of
the final analysis. When the pOietic and esthesic dimensions of a
composition have crystallized the structural configurations, the
metatheory finally becomes a theory of that composition.

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 CHAPTER FIVE

The intention of the remaining chapters of this thesis is to

illustrate certain consequences of the abstract presentation of the
metatheory contained in Chapter Four, using diverse musical examples -
in a necessarily selective way - taken substantially from the last
three hundred years or so of western music. This diversity in the
choice of musical examples is not only essential in order to establish
the general efficacy of the metatheory as a means of deducing theories
about music, but it is also unavoidable if all or many aspects of the
metatheory are to be adequately demonstrated: no single period of
music can be expected to display the full potential variety of music
as it exists in general, not even in an embryonic form.
The purpose of the musical examples is not, at this stage,
primarily to provide analytical insights into various types of music
but, in addition to the objectives described above, to study the
extent to which a particular logical system can provide a basis for
analytical enquiry. This point should be borne in mind as the
examples are studied since the presentation of various technical
concepts does not follow a conventional structuralist path: the
implications of these concepts for the wider contingent issues is
often as important as the technical concepts themselves. In
particular, the consideration of fundamental entities that constitutes
the present chapter frequently relates to the nature of a musical text
and the measurable invariants signified by it, since this level of the
analysis exists at the interface between the logic of the metatheory
and the text itself.

- 71 -
5. 1 Fundamental Entities

According to the metatheory. the status of a musical event as an

entity depends on the existence of an identity between it and some
other musical event. For most pre-twentieth century music. and a
significant proportion of twentieth century music. this identity is
found in the musical domain of pitch. Consequently, the study of
pitch is often the major focus of analytical enquiry. In as much as
pitch plays a primary role in music its pre-eminence in analysis is
clearly justified. but in certain cases it can be demonstrated that
pitch is not alway~ an adequate basis on which to base the initial
analytical observations. Before considering these latter cases it is
perhaps worth clarifying the sense in which identities may exist
between pitches - even though this risks dwelling on the musically
trivial - for herein lies the reason why pitch cannot always function
as the common component of an order of fundamental entities (and also
why so often it does).
For music based on the equitempered scale there are essentially
two types of identities that exist between pitches. These identities
have to do with the intrinsic natures of the pitch structures and the
spatial relationships that can exist between different pitches.
Without delving too deeply into the physical structure of sound, it is
an acoustic fact that the common pitched instruments of western music
all share an identical frequency distribution. namely the harmonic
series. (It is the lack of a similar property in the domain of time
that possibly accounts for the dominance of pitch over duration as the
focus of analytical activity. although ultimately only the component
of duration is able to define fundamental entities that span entire
compositions.) In the case of the equitempered scale these series.
considered as single units. are also spatially related by the

-72-
transpositional factor {12~2)n, where n is a whole number. Of course,
poietic influences on scales or modes in general complicate this
issue: the existence of mathematically irregular scales will remove
the possibility of identities between the spatial orientation of
pitches, requiring that the fundamental entities be based on identical
natures alone, although the structural significance of scales can
still be expressed as part of the final analysis via the poietic
dimension, a process that will be demonstrated in many of the
following examples.

Ex. 4-, Debussy: Syrinx for solo flute (bars 1-2).

For monodic compositions that are not excessively punctuated with

rests the prinCipal order of fundamental entities is simply the
horizontal arrangement of that composition's pitches - an ordering
that is, in many cases, further enforced by timbral identities. Once
isolated, each pitch functions as the focal point of a number of
musical components. This simple procedure is demonstrated in Ex. ~ in
which the opening bars of Debussy'~ Syrinx have been arranged in terms
of a horizontal order of fundamental entities. The connecting beams
have been removed in order to emphasise the discrete nature of the
entities at this level of the analysis but the duration indicators
have been retained in order to acknowledge the potential of duration
as a temporal means of establishing fundamental entities. Although
these entities are mainly based on the common components of pitch (by
both intrinsic nature and spatial relatedness) and timbre, they also,
to reiterate, function as the focal pOints for all the other musical
components in the composition. One possible exception to this rule
concerns the use of slurs and phrase markings. Since these markings
span several pitch-entities it might be argued that they cannot be

- 73-
included as musical components. However, in practice they can still
be identified with individual entities in terms of their influence on
the mode of pitch attack and release. (The role of phrase marking in
general will be considered in more detail at a later stage in
connection with the relative significances accorded to different
structural divisions of a composition. )
The deduction of an order of fundamental entities from homophonic
music or, more specifically, homorhythmic music 1s similarly
straightforward: each chord functions as a fundamental entity. These
vertically aligned fundamental entities exist not because the chords
are necessarily id~ntical (they will usually not be) but rather
because of the temporal identities that exist between the constituent
pitches i.e. their simultaneity. The question of whether this
simultaneity is by pitch attack, overlap or release can be crucial to
the analysis of simultaneities in general when, for instance, they do
not simply proceed in rhythmic unison, and in such cases all three
categories should be studied separately.

Ex. 5, Guido d'Arezzo: Orga~um extract from Micrologus. 1

The above example demonstrates the use of chords as fundamental

entities for a piece of tenth-century organum. The formation of these
fundamental entities is achieved using both the temporal identity of
pitches within chords and the pitch-structural identities (based on
the harmonic series) within and between chords. Since this particular
organum proceeds in parallel fourths with doubling at the octave, the

'Reproduced in [Gerbert, 1931: 211

- 74-
chords - such as they are - also exhibit intervallic identities
between themselves in addition to the other identities named above.
By considering the structural divisions <indicated by the square
brackets) and contour extremes arising out of this order of
fundamental entities it can be seen that this passage of organum
traces a major triad in its horizontal dimension, at the middleground,
and in this sense shares in an aspect of the logic of prolongation,
although the absence of the esthesic elements of prolongation (to be
discussed in Chapter Nine) prevent this passage from exhibiting
prolongation in the Schenkerian sense.
In more recent times such chord entities have been employed more
as a means of enhancing the musical texture: Debussy's La Cathedrale
engloutie is one such example; Vaughan Williams' use of 'chord
streams' in, for instance, his Pastoral Symphony is another. However,
in both of these examples the chords do not exist as fundamental
entities since they do not pervade the whole of their respective
compositions. Rather, they are simply elements of a more complex
texture. Furthermore, in the case of Vaughan Williams' chord streams
the intervallic identities between chords are not precisely maintained
since the underlying modal or tonal organisation leads to a constant
interchange of major and minor triads. Hence, although the interval
content remains the same, the interval order changes and so one aspect
of the identity is lost.
Unlike monodic music, homophonic music is not limited to a single
order of fundamental entities: in addition to chords as fundamental
entities, it is also possible to derive fundamental entities, and
later non-fundamental entities, involving the linear aspect of
homophony - limited though that may be. These derivations are
conceptually less straightforward since they often involve the
disentangling of complex polyphonic textures, but the final practice

- 75-
can nevertheless be extremely simple. (The discussion of polyphonic
music, and later texture, will elaborate this point.) Briefly,
individual pitches may still exist and function as fundamental
entities and can be aligned according to a convention that numbers
entities from the bottom of a score upwards (if for some reason it
seemed necessary to number the entities), even if this does not accord
with the registral distribution of pitches (which is, in any case,
unimportant since not all entities are necessarily derived on the
basis of pitch content).
For most western music the choice of fundamental entities is
limited to the types contained in the above examples. However, most
music consists of a combination of these types. In order to
illustrate the procedures that link the initial fundamental entities
with certain intuitively obvious aspects of a musical text, the case
of polyphonic music can be considered. An order of fundamental
entities by simultaneity along the lines of homophonic music
represents one possible beginning to the analysis of polyphonic
~~ures, but the analysis of individual contrapuntal lines - lines
that would be obvious to most observers of a musical text - requires a
means of unravelling the contrapuntal texture. In a sense,this is
another musically trivial matter made complicated by the need to
systematize the methodology of the metatheory and thereby expose the
limitations of a strictly logical approach.

Ex.6 J.S. Bach: Fugue XVII from Book II of the

48 Preludes and Fugues (bars 26-27).

The simplest means of establishing the individual contrapuntal

lines is to study the compositionally distinct elements as revealed by
the musical notation i. e. to invoke a pOietic criterion (since the

- 76-
beaming together of note stems reveals an interpretation of the
texture by the composer). 'This method is likely to be universally
successful, but tacitly circumvents the important question of whether
the neutral level can reveal the contrapuntal lines in terms of logic
alone. The above example, in addition to presenting the basic types
of fundamental entity detailed above, 'illustrates how notation alone -
specifically the stems and connecting beams - can be sufficient for
the separation of a contrapuntal texture into its constituent
contrapuntal lines. With the texture notationally deconstructed, the
individual lines can generate an order of entities in a quasi-monodic
manner. Whether they are fundamental entities or not might appear to
be a merely semantic matter, but such questions can be important when
considering the efficacy of logic in the analysis of music. In fact,
it transpires that the intervention of the poietic dimension, in this
case Bach's use of the connecting beams to indicate the textural
elements, functions to Change the structural level by an amount equal
to the number of levels traversed by delineatory processes in order to
arrive at that same stage, in accordance with the methodology of
sect ion 4. ,3 (this lat ter process is presented below). In other words,
the use of the notational indicators is a short cut: the order of
entities produced in this way cannot be called fundamental. Whatever
its merits, this poietie technique omits important details concerning
the neutral level of the music. Nevertheless, it is a technique that
will often be used - as a short cut - in future musical examples.
Within the metatheory these contrapuntal lines can only be
derived at a higher structural level, a level that is itself initiated
by fundamental entities based on single pitches. By the processes of
delineation and association it is possible to separate out the various
parts, particularly those that are not distinguished by considerations
of pitch propinquity (equivalent to registral proximity), specifically

-77-
the overlapping parts. In bars 26-27 of Fugue XVII, analysed in
Ex.6(c) and (d>, this separation is achieved by a combination of the
delineation of duration values, pitch identities and the association
of pitch content at the third structural level with the fugue's
counter-subject (which is itself revealed by the delineation of, among
others, the component of duration at the second level). Many of the
procedures used in this example require a knowledge of the later
aspects of the metatheory, particularly those contained in sections
4.2 and 4.3. Fugues that have been written for timbra11y distinct
instruments can have their fundamental entities delineated by timbre -
a significant, if ·intuitive1y obvious, means of distinguishing the
contrapuntal lines.

t t t

To reiterate, fundamental entities based substantially on single

pitches and pitch simultaneities, with duration being used to
accommodate the breaks in pitch continuity, are sufficient to initiate
the analysis of most pre-twentieth century western music and a
significant proportion of twentieth century music. It is only when
music becomes dominated by components other than pitch that an
alternative basis for establishing fundamental entities has to be
found. Unpitched percussion, timbral or instrumental extremes
(particularly those requiring the invention of new notations) and
electronically generated sounds can all serve to make pitch redundant
as a means of initiating an analysis. Since none of these options
were particularly prevalent before the twentieth century, possibly
because the demands of tonality were inconsistent with the ambiguities
engendered by such innovations, the examples of non-pitch based
fundamental entities have been selected from post-tonal and, in a

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literal sense that even Schoenberg might have approved of, atonal
music.
Firstly, consider the potential of percussion as a means of
undermining pitch-centrality. In the Classical Period the role of
percussion was normally limited to the enhancement of cadences and
most usually involved pitched percussion. When unpitched percussion
was used it was with the clear intention of establishing an
association with a genre, style or culture external to the immediate
music, for instance Mozart's use of the bass drum, cymbals and
triangle to represent the popular music of the Janissary in Il
Seragli~ one of many indulgences in the then Viennese taste for all
things Turkish. The use of solo unpitched percussion was essentially
non-existent in the classical period. On those rare occasions when
any kind of percussion was used in isolation, such as the
unaccompanied drum-rolls of Haydn's Symphony no. 103, the percussion
was required to be of definite pitch. Hence the Drum-Roll Symphony
requires the use of Eb/Bb timpani. Even at the opening of the
Alla Marcia in the fourth movement of Beethoven's Ninth Symphony,
positioned at the extremity of classicism, the bass drum is required
to sound in rhythmic unison with the octave Bb'S of the two bassoons
and the contrabassoon: the need to rationalize the tonally disruptive
appearance of an F major triad at the end of a section substantially
based in D major is considerable and so the F major chord i6 treated
as the dominant for the following Bb major section. To have had the
unpitched bass drum sound alone at this juncture would have devastated
any remaining vestiges of conventional tonal organization, even though
such a beginning to the march would have been a more literal
representation of an approaching military band. The use of isolated
unpitched percussion at structurally ambiguous moments was simply
unthinkable: Beethoven could accompany the bass drum with nothing less

- 79-
than the 'absurd grunts' of the contrabassoon - a description that
itself suggests a percussive use of the bassoons - and even this was
obviously too little for some of his contemporaneous commentators.'
Despite Berlioz' pioneering work in the expansion of the
percussion section of the orchestra, even his use of unpitched
percussion remains firmly secured to the anchor of pitched
instruments. It is to Wagner that we must turn for an early example
of a relatively independent percussive episode that is unconnected to
a well-defined pitch. The episode in question, a mere eight bars,
occurs in the transition from Scene 2 to 3 <and 3 to 4) of DBS

Rheingold and is scored for eighteen anvils. However. these eight

bars in no way develop or even continue the preceding tonal argument.
Rather, they simply suspend it until the pitched instruments of the
orchestra re-enter from whence they left off. Hence, only the
component of duration is able to determine the fundamental entities of
this passage, but unlike previous instances in which duration has
performed this function (to accommodate silence), the positive non-
identity of the two pitch structures (one based on the harmonic series
and the other not) tends to signif.icantly divide the musical whole.
The meaning of this unpitched material is external to the musical
text: it represents the labour of the dwarves, enclosed by the
approach and departure of Wotan and Loge. In a sense, this example
encapSUlates the nature of unaccompanied and unpitched percussion in
tonal music, namely, its meaning nearly always depends on extra-
musical associations.
It is only in the twentieth century that percussion achieves a
true autonomy. This autonomy is a constant challenge to the

'see (Arnold, 1973: 519].

- 80-
underlying unity of a work, especially if rhythmic elements do not
bridge the pitched and unpitched elements since, to state the obvious,
pitch is not able to function as the unifying component in music made
up out of pitched and unpitched elements.

Ex. 7, Bart6k: Sonata for Two Pianos and Percussion - II.

The second movement of Bart6k's Sonata for Two Pianos and

Percussion which, in common with the previous Haydn and Beethoven
examples, begins with percussion, nevertheless differs from these
other examples in·that the percussion employed is both of indefinite
pitch and divorced from the support of any other pitched instruments.
However, it is hardly independent of the ensuing piano parts: it is
little more than an introduction to the metrical organization of the
movement. Even so, this short passage is still relatively unusual in
the sonata, especially when one considers that the role of the
percussion was considered to be important enough by Bart6k to warrant
inclusion in the work's title on equal terms with the two pianos.
Despite the scarcity of passages for percussion alone, the presence of
even a small number of such passages is enough to undermine the use of
pitch as the basis for determining fundamental entities, even if not,
in the present instance, to a significant degree. Once again, in the
absence of a universal pitch structure only the component of duration
remains with which to relate, at a fundamental level, the pitched with
the unpitched elements. Other components, such as dynamic level, can
only rarely function to define discrete musical events (for example a
highly restricted form of serialized dynamics) and hence cannot lead
to the identification of fundamental entities.
Whether the presence of non-pitched based passages in a work
leads to a fragmentation of the musical structure depends, in part, on

- 81 -
one's particular interpretation or understanding of the term unpitched
and, more importantly, the composer's use of the unpitched
inst rument s.

Ex. 8, Varese: Integrales (fig.3).

Varese, who probably developed the role of percussion more than

any other composer in the early part of the twentieth century,
objected to the use of the term unpitched since 'everything is pitched
if but relatively' and furthermore, within the percussion section
'there exist definite soprano, alto, tenor, and bass groups,
susceptible of combination in four part harmony' (Varese, 1936: 2].
Hence, the emergence of the horn's melodic fragment over the bass and
contrabass trombones at fig.3 (bar 2) of Varese's Integrales for small
orchestra and percussion - and in this instance the percussion is an
equal partner with the orchestra - does not sound at all disruptive,
despite the previous two and a half bars of unpitched percussion,
since the use of the horn's bass register has been foreshadowed by the
'bass' register of the gong and, later, the 'bass' register of the
bass drum. Nevertheless, these registral similarities are not
extensive enough to be used as the basis for fundamental entities.
(In any case, the absence of detailed acoustical data for the
comparison of timbres means that only a judgment of similarity can be
made.) It is only at the second level of analysis that these
registral similarities become important as a means of establishing the
continuity or discontinuity in the music's evolution by studying
processes of delineation and association. In common with the Bart6k
example, only duration as it is signified by the musical notation can
be used as the common factor of both pitched and unpitched elements.
(The existence of discrete musical events is, of course, only ever

- 82-
provisionally suggested by the musical notation since the measurable
invariants signified by the notation can also form the basis of
analytical enquiry: analysis involving the metatheory does not
necessarily correspond to an analysis of the notation. I)

Jonathan Bernard has considered a number of issues surrounding

the interaction of unpitched percussion with pitched instruments. He
acknowledges, as I have intimated in general, that 'Even in the
presence of unpitched events .... pitched material has the requisite
coherence to maintain a continuity of its own' [Bernard, 1987: 160],
Consequently, Bernard suggests that most unpitched events in Varese's
music tend to 'reinforce, reflect, prefigure, or otherwise complement
events in the pitched sphere', a suggestion that he adequately
demonstrates with reference to a number of Varese's compositions.
Indeed, such a taxonomy would be more than adequate to describe the
way in which percussion is used in many other works, including the
Bart6k Sonata for Two Pianos and Percussion. However, at the most
fundamental level of a composition Bernard is aware that the
relationship between pitched and unpitched elements poses problems:
'Still to be considered is the overall function in context
of ... passages largely or wholly controlled by percussion of indefinite
pitch. Do they represent breaks in the pitch/registral continuum, or
arbitrarily obsessive treatments of particular phases in its
process?'[: 1921. Only by incorporating the unpitched elements on an
equal footing with the pitched elements at the outset of the analysis
is it possible to answer these questions. Without this initial parity

'See Chapter Two for a discussion of how this concept of the neutral
differs from Nattiez'.

- 83-
between elements, the analysis will tend to marginalize the unpitched
percussion by demoting it to a secondary role that is ultimately
dependent on the pitched elements - a shortcoming that Bernard half-
acknowledges concerning his own analyses. In Varese's music such a
subsidiary role is surely inconsistent with the total effect of the
music.

Ex. 9, Varese: Hyperprism <bars 1 to 2).

The use of duration as a means of establishing fundamental

entities is demonstrated in Ex. 9. As with pitch-centred music, a
number of different orders of fundamental entities can be produced.
Ex.9(b) is based on event attack points (which corresponds to the use
of single pitches) whilst Ex.9(c) is an arrangement of vertical
sonorities of both definite and indefinite pitches (which corresponds
to pitch simultaneities). An important second level analysis would
involve the delineation of EX.9(b) using the component of timbre. It
is at this second level that Bernard begins his analysis (reproduced
in Ex.9(d» of the unpitched percussion and in this way it becomes
possible for him to compare linear patterns of duration that transcend
the divide of pitched and unpitched instruments <e.g. the combined
duration pattern of the horns in bar 5 with the combined duration
pattern of the rattles in bar 6 [: 195]). As an aspect of the
analysis, this approach is laudable, but if Varese's claim that the
percussion section can exist in four-part harmony is to be taken
seriously then it is equally important to consider the vertical
alignments of the unpitched percussion. In practice, a full analysis
of a composition will not involve the mechanical presentation of every
single fundamental entity, as might be implied by Ex.9 (which is
merely intended to demonstrate a technique). Instead, most analyses

- 84-
will begin by judging the significance of first level entities in
order to produce a second level. Hence, the second level will always
be consistent with the first level because it is a selection of
entities from that first level.
Despite the presence of unpitched elements in Varese's music, it
is always possible to establish an order of fundamental entities
because of the exactitude in the notation of duration: discrete
musical events are defined temporally and so the music always has the
potential to form a unified structure. If a precise notation for
duration is removed whilst a varying pitch structure is retained then
it becomes impossible to establish a fundamental order of entities.

Ex. 10, Penderecki: Fluorescences (bar 1).

One of many pieces by Penderecki that falls into this category is

the orchestral work Fluorescences Penderecki wrote of it: 'What most
interests me about this piece is the sound, the liberated sound which
resides outside the traditional manufacture of the instrument itself,
and is free of the traditional associations of patterned time.' (from
programme notes quoted in [Schwinger, 1979: 14.0). Fl uorescences lies
at the zenith of Penderecki's instrumental innovations, requiring some
thirty six special symbols and abbreviations for its execution.
Despite this abundance of notation the temporal aspect of the work is
limited to quasi-barline divisions of the time axis into units
measured in seconds. It could be argued that these barlines represent
a measure of duration. However, there are a number of objections to
this argument. Whilst it is true that every barline is associated
with a change in orchestral sound, not all changes in orchestral sound
coincide with a barline. For example, the entry point of percussion
player no.6 in b.1 (the point at which the player is instructed to

- 85-
take up carpentry) is not represented on the time axis and, similarly,
the variation in siren frequency with time in bs. 11-12 is only notated
approximately. The measure of time in Fluorescences has nothing to do
with rhythm. On the contrary, this piece is essentially arhythmic
. since the music does not possess the means for establishing an
underlying pulse against which to hear durational patterns - it is
genuinely 'free of the traditional associations of patterned time'.
Indeed, even granting that the listener is able to create a sense of
musical pulse, a performance of Fluorescences is unlikely to adhere
exactly to the recommended durations. (The performance by the Warsaw
National Philharmonic Symphony Orchestra recorded on [Philips, 412
130-1] exceeds the expected duration of fifteen and a half minutes by
a full two minutes.) Fluorescences is basically a series of
interlocking orchestral states. Every change in state can be
associated with an entity (in the vertical plane), but not with a
fundamental entity since there is no single musical component in the
work that is common to every orchestral state. Hence every barline
instigates a new entity but individual bars may need to be subdivided
into more than one entity in order to account for every change in
orchestral state. There are two alternative ways of interpreting
entities formed in this way. Firstly, it could be argued that they
exist by virtue of self-identity or, more precisely, an identity with
self that extends in time. Secondly, the Change in orchestral state
can be understood as the creation of a non-identity. Logically, this
second alternative follows from the first interpretation and for this
reason was rejected in the abstract presentation of the metatheory.
Linear entities Can be formed in a similar way to the vertical
entities. The extent of a linear entity is conterminous with the
horizontal self-identity for each timbrally distinct instrument.
It is only a short step from a music whose instrumental

- 86-
innovations require a proliferating symbolic language for their
expression to a music that cannot be notated at all. Stockhausen's
Ges~ng der JUngl1nge is one such piece. The essentially aleatoric
procedures involved in the creation of its different electronic pulses
and frequencies by the manipulation of various knobs and levers proved
to be too problematic for a complete notation of the work. 1 Jean-
Jacques Nattiez has considered the problems posed by an unnotated (but
recorded) electronic work, or sequence of 'sound-objects', in relation
to the semiological tripartition. He concludes that 'the sound-object
is an ambiguous phenomenon, by reason of its semiological essence. It
is first and foremost a po1etic unit' [Nattiez, 1990: 100), Hence, a
sequence of sound-objects is only susceptible to analysis at the
neutral level if 'one first has access to a material description of
the work' [: 101] which, with the technological advances since
Stockhausen's abortive attempts to notate Gesang der JUnglinge, is not
beyond the realms of possibility. (The prospect of analysing a
transcription of such a recording is conceptually less problematic
from a metatheoretical perspective since the transcription would
simply constitute the notation of measurable invariants. )
Nevertheless, Nattiez arguably makes too little of the sound-object's
ambiguity. In as much as the sound-object is a direct product of the
composer's creative process there can be little doubt that it belongs
to the poietic dimension. However, in common with the notated text of
a musical work it is surely the case that the recording of the work is
an imperfect realization of the composer's ideas - a material object
that exists apart from the composer and that is necessarily corrupted
by its transfer to magnetic tape: it can make no claim of equivalence.

lThis aspect of the work is discussed in [Cott, 1974: 71-711.

- 87-
This assertion is made even clearer when the re-play of the tape is
considered since every re~play constitutes a performance by the sound
production system using the material trace of the magnetic tape. (In
these days of digital recording the status of a similar tape as a
material trace is even more certain.) Robin Maconie writes of Ges~ng

der JUnglinge that it is 'in many respects Stockhausen's most

perfectly contained electronic work (in the sense of satisfactorily
resolving the composer's original intentions)' [Maconie, 1976: 99],
but even this accolade acknowledges a distinction between the
• composer's intentions', or idea11stic expectations, and the need to
resolve them. To-summarize: the performance aspect of a recorded work
is only relatively fixed; the quality of the sound production system
can vary the characteristics of the performance (although such
variations are likely to be small in compar1son with the variety of
possible listeners' perceptions of the recording). Consequently, the
sound-object is best understood as a fusion of the p01etic dimension
with an incomplete neutral level (i.e. one lacking a notated form),
making it more of a paradoxical phenomenon than an ambiguous one.
Furthermore, it is not necessarily true that an analysis of the
neutral level (in the general sense that goes beyond the basic musical
text) is always dependent on a 'material description of the work',
apart from the inevitably partial material description of a work that
is produced by simply discussing it (such descriptions would rarely be
sufficient for the performance of anyone part of a work): it is
always possible to adopt a metatheoretical perspective of a sound-
object. This is the case with Ges~ng der Jilnglinge Whilst it is not
possible, without the use of sophisticated technology, to write out
the entities (fundamental or otherwise) for this work from the
recording alone. it is possible to contemplate their natures and the
consequences of their natures.

-88-
 One of the most interesting matters arising from GesBng der
JUnglinge is the relationship between the voice and the electronic
sounds. Jonathan Harvey has written of this relationship that 'At
those moments where one realises that a sound one had initially
thought of as a vocal one turns out to be an electronic one, and vice
versa, the unity of the two contrasting elements is apparent, and
apparently submitted to a higher ordering that transcends the
differences between them' (Harvey, 1975: 79]. This metamorphosis of
the human voice into an electronic sound, and vice versa, is only
really successful at the higher registers of the voice, apparently
contrary to the intentions of Stockhausen who had hoped for 'A quite
natural bond of association between the given phonemes and the
composed electronic sounds' (Stockhausen, 1964: 51]. At lower
registers it is the contrast between boy and machine that is most
impressive, suggesting an element of underlying disunity in the work.
How can this be understood within the metatheory? Conceptually, the
reason for this disunity is similar to the distinction between pitched
and unpitched elements in Var~se's Hyperpris~ that is, the
differences reside in the structural natures of the sounds. At high
registers the boy's voice has a simpler structure, since it contains
fewer audible overtones, and so tends to be more susceptible to 1950's
electronic reproduction, whereas at lower registers the voice is at
its most distinctive and tends to resist primitive forms of electronic
synthesis. 1 Consequently, there can be no overall unity in

lSimilarly, the use of the high vocal register in the Queen of the
Night's two pivotal (and contrary!) arias from Mozart's Die
ZBuberfl~t~ '0 zittre nicht, mein lieber Sohn!' and 'Der HBlle Racht
kocht in meinem Herzen' often lends a supra-human quality to her part,
albeit a magical rather than machine-like one

- 89-
GeSBng der JUnglinge in terms of a single order of fundamental
entities spanning the entire work.
In concluding this section. it must be stressed that the examples
given of the difficulties encountered at the interface between the
metatheory and the musical text are by no means exhaustive. The
examples have demonstrated the most common ways in which an analysis
based on the metatheory can be initiated. the basis on which an
initial order of entities is established. Of course. almost any
musical component can in principle be used to establish an order of
fundamental entities. but pitch and duration are the most commonplace
and hence they have dominated the musical examples. 1 More
importantly. the effect of the music's raw material, from which the
fundamental entities are derived. on the musical structure and its
meaning has been considered. particularly in relation to the use of
unpitched instruments whose sonorities are not signified by
conventional music notation - an aspect of analysis which has received
only scant attention from music analysts.

1Boulez. to name one other music theorist, has certainly recognized

the primacy of these two components [Boulez. 1975: 37-59].

-90-
 CHAPTER SIX

6. 1 Entities in general

Without an initial order of entities, fundamental or otherwise, it is

impossible to invoke the recursive processes of delineation and
association in the study of a composition. However, the definition of
an entity is not limited to the study of the most elementary or
indivisible units that are ubiquitous within a composition: more
extensive entities can be defined that, by virtue of their
extensiveness, will not necessarily function at the most fundamental
level of a work (although they can still be analysed in terms of the
recursive aspects of metatheoretical formulations). This particular
analytical field has been thoroughly ploughed, in all but name, by a
number of other writers. Specifically, the paradigmatic analysis
associated with the practitioners of musical semiotics and the
motivic/thematic approach to analysis favoured, in different ways, by
Rudolph Reti, Arnold Schoenberg arid others, can all be said to derive
(logically) from the study of entities within the metatheory.
Consider Nattiez' analysis of Debussy's Syrinx [Nattiez, 1975:
330-54], reproduced in Ex.2. The component units aligned along each
paradigmatic axis all potentially exist as entities since, by
definition, they all share common or identical attributes [:334].
Whether these attributes are always significant as neutral entities or
not is open to question, since their validity has been shown, in
Chapter Two, to be suspect. Component units 8,9, and 10 of Paradigm
0, for example, are clearly less assured than those of Paradigm A.
Nevertheless, this kind of segmentation of the musical whole is, in
many respects, essentially equivalent to the formation of second level

- 91 -
entities using the metatheory. (Since these entities do not involve
the removal by simplification of any surface features, it remains
appropriate to refer to them as existing at the surface level, despite
their derivation at the second level.) The difference between the two
approaches, at this surface level, resides in the partial specificity
of the paradigmatic axis and the qualitative nature of its underlying
principle of similarity. In contrast, the metatheory requires that
entities be identified systematically in terms of all their common
components, one by one. It is not sufficient, as would appear to be
the case for the component units, to limit the comparisons to
intervallic or melodic contour patterns: any form of limitation or
imprecision at this stage of the analysis constitutes a premature
departure from analytical neutrality. In practice, the
metatheoretical entities are established by the application of the
generiC concept of association (which will be considered in its wider
context at a later stage). Strictly, the logical ordering of the two
concepts of entity and association as set out in Chapter Four demands
that an association be effected on the basis of a pre-existent order
of entities. For the analysis of Syrin~ an order of fundamental
entities is easily established on the basis of pitch (although the use
of duration also produces the same order).

Ex.ll, Debussy: Syrinx for solo flute.

The methodology involved in the metatheoretical segmentation of

Syrinx has much in common with the techniques of information theory.
All units of two pitches (or, if octave equivalence is assumed, pitch-
classes) are compared, component by component, with all other units of
two pitches. Units that are identical with respect to a specified
component are isolated as entities. This process is repeated for

- 92-
units of three, four, five or more pitches until no further identities
are produced. Units that do not exist independently i.e. the smaller
units that are always subsumed by larger units, need not be separately
identified. This method has been illustrated in Ex. 11(a) for three,
seven and ten note entities (the process could be extended as far as
an eleven note entity) that are identical, with respect to interval
sequence, to those entities of equal magnitude but commencing with the
first note of 5yr1n~ (The component of interval has been used as the
basis of the segmentation in order to include the transpositlonally
equivalent entities.) This rigorous methodology reveals a number of
surprising details.concerning 5yr1n~ Most significant of these is
the nature of the three-element entity at the beginning of the work.
This entity is isolated by Nattiez in his analysis as Paradigm A (a
descending semitone followed by an ascending tone). However, it has
been demonstrated in Ex. 11(a) that the existence in terms of pitch (or
interval) of these three notes as a unit depends on two rhythmically
unrelated recurrences of the pitch pattern in bars 14 and 15, a lack
of rhythmic correlation with the opening three notes that, all other
things being equal (which, it is shown below, they are not) would
almost certainly result in the omission of this entity from the final
analysis. (On all other occasions this three-element entity is
subsumed by a seven-element entity: Debussy achieves a special role
for the three-element entity by avoiding careless references to it. )
Hence, although Paradigm A is ostensibly based on an intervallic
pattern, this intervallic pattern has been truncated, without explicit
justification. The underlying (but perfectly reasonable) assumptions
that enable Paradigm A to appear convincing are, ironically, derived
from the temporal aspect of the piece, an aspect that is not
considered by Nattiez. Most of these assumptions concern the
structural divisions of the music due to pseudo-components such as

- 93-
pulse and metre. Consequently they emerge at a more advanced stage of
the metatheory. However,thecomponent of duration is sufficient to
establish the existence of the first three notes as an entity, as
Ex. 11(b) demonstrates. The presence of underlying or unstated
assumptions in Nattiez' methodology suggests a basic incompleteness in
his approach. Furthermore, it vindicates the metatheory's separation
of the musical whole into its constituent components, components that
can later be superimposed in order to reveal their mutual
interact ions.
Nattiez is not at all unaware of these information-type
procedures. His article on Varese's Density 21.5 contains a
'digression' in which the informational approach to musical semiology
is considered but finally dismissed on the grounds that the final
product is an 'inventory' and not an analysis. 'Inventories' are
based on identity, and 'as soon as relationships are established
between units that are not strictly identical we enter the realms of
analysis, but it must be recognized that cultural and theoretical
knowledge, ~ prioris and aural impressions affect decisions' [Nattiez,
1982: 2563. Furthermore, the diff.erence between an inventory and an
analysiS is that 'it does not appear to be possible to deduce the
latter from the sum of the information provided by the former' [:256].
Quite so!, but this is surely the purpose of the poietic and esthesic
dimensions. Nattiez' theoretical stance can be understood by
considering his analytical expectations of the neutral level. Nattiez
is attempting, erroneously in my view, to produce an entire analysis
of Densit~ 21.5 in terms of its component units. Consequently, these
units are inextricably linked with judgments of significance and
similarity. Only by fusing the neutral level with esthesic judgments
is Nattiez able to limit the scope of his analYSis and thereby suggest
meanings for the isolated component units. In contrast, the entities

- 94-
produced by the metatheory, adopting the methods of information
theory, do not claim to be sufficient for the production of a complete
analysis, not even a complete neutral analysis. Entities are only one
small aspect of the metatheory: they are no more than neutral or
axiomatic descriptions of the music; elementary descriptions at the
head of an unfolding logic and void of meaning outside of the context
of the semiological tripartition. Of course, the analyst can attempt
to interpret the multifarious entities by constructing distribution
rules for those entities which are judged to be significant (which
would require the inclusion of poietic and esthesic considerations),
but the success or failure of this interpretative stage would not
alter the basic incompleteness of the initial neutral analysiS
(according to the metatheory>.
It is evident from Nattiez' analyses of both Densit~ 21.5 and
Syrinx that unless the question of significance is addressed at the
outset of an analysis, the study of similarities or even identities
has a tendency to generate a quantity of segments out of all
proportion to their ultimate usefulness (i.e. beyond the analyst's
ability to assimilate them into a coherent analysis). It becomes
difficult to see the structure of the wood for the segmenting trees.
Whilst it is impossible to postulate which components are, or are not,
significant for compositions in general, the earlier discussion of
fundamental entities strongly supports a concept of significance that
is, for many compositions, related to identities in the domains of
pitch (or interval) and duration (or onset). Such a connection
suggests that the formation of entities by association at the surface
of the music has a closer affinity with the more elementary forms of
motivic analysiS rather than with paradigmatic analysis, since the
minimum expression for motives is usually in terms of both pitch and
duration patterns (although other components should not be prematurely

- 95-
ruled out of order). Indeed, the previous study of entities in Syrinx
is superficially indistinguishable from an elementary form of
motivic/thematic analysis, although it must be borne in mind that to
describe something as a motive necessarily involves an element of
interpretat ion.
Reti describes the motive as 'any musical element, be it a
melodic phrase or fragment or even only a rhythmical or dynamic
feature which, by being constantly repeated and varied throughout the
work or a sect ion, assumes a role in the compositional design somewhat
similar to that of a motif in the fine arts' [ Ret i, 1951 : 11-12] . For
Reti, constant repetition is the measure of significance. His
emphasis on recurrence - possibly involving transformations - as a
means of establishing the existence of a group of notes as a motive,
as he does in his treatment of the opening three notes of Beethoven's
String Quartet Op.135 [:208], corresponds loosely to the use of
identity in the metatheory. (Reti 'does not believe in the
possibility or even desirability of enforcing strict musical
definitions' [: 12],) In contradistinction to Reti's approach, which
can be criticised for isolating motives and themes from the music as a
whole, the metatheory situates the motives in the context of a work's
structural configurations, just as David Epstein has attempted in
Beyond Orpheus (1979). In practice, the context for motives is
established by studying the interaction between motives and the
structural nodes produced by the relative alignments of all the
delineations and associations. Motives can either enforce these nodes
or engage in some kind of dialogue with them.
For a more systematic evaluation of the relationship between
entities and motives it is necessary to consider the different
transformations a motive can undergo whilst still remaining that same
motive. Reti's teacher, Arnold Schoenberg, who is also closely

- 96-
associated with the motivic approach to music, provides us with the
necessary taxonomy of motivic transformations. The majority of his
categories of mot i vic variation [Schoenberg, 1970: 10) conserve one or
more of the identities existing between the initial motive and its
transformations, producing coherence between the motivic forms. In
general terms, Schoenberg observes of the motive: 'Preservation of
rhythmic features effectively produces coherence' and 'Often a contour
or shape is significant, although the rhythmic treatment and intervals
change' but that 'changing every feature produces something foreign,
incoherent, illogical' [: 8-9].

Ex. 12, Schoenberg: Examples 17 & 18 from Fundamentals of Musical

Composition (1970).

In Schoenberg's pedagogical Examples 17a to 17g, for instance, the

modified note lengths do not alter the pitch relationships within the
motive. However, a number of his motlvlc transformations cannot be
derived until slightly deeper structural levels have been reached, as
in examples 17h, i and j to n, in .which the initial motive is revealed
at level 3 after the delineation of the repeated notes. Other motivic
transformations can only be revealed by more subtle means. The
inclusion of ancillary notes in Example 18, for instance, effectively
masks the initial motive which, in the absence of an harmonic context,
can therefore only be derived by association with a previous statement
of that motive. However, if these latter motivic variations appeared
within the harmonic context of a Bb major triad then all the ancillary
notes would be revealed as structurally superfluous events and the
original motive would be revealed. These slightly more advanced forms
of motiv1c analysis are thus intrinsically dependent on the structural
analysis of a composition and so will not arise as descriptions of the

- 97-
musical surface.
To summarise this discussion of linear entities at the surface of
the music and their connection with both paradigmatic and motivie
analysis: the methodological prinCiples underlying paradigmatic
analysis and the elementary forms of motivic analysis are derived from
a common source within the metatheory, namely the existence of
entities. The differences between the two approaches - differences
that should not be underestimated - arise from the interaction of the
neutral level with the poiettc and esthesic dimensions. Although
paradigmatic analysis requires an esthesic input in order to
assimilate the many component units within a composition, this input
is very small compared with the influence of the esthesic dimension on
motivic analysis. Furthermore, motivic or thematic analysis often
receives additional poietie justification in the form of sketch
studies in which particular groups of notes are highlighted by a
composer, indicating their special significance within a work. 1

I: I: I:

Although paradigmatic and motivic analYSis are both normally

restricted to the study of a composition's linear construction, there
is no reason within the metatheory why the same principles cannot be
applied to the vertical elements of a work. In its simplest form the
study of vertical elements as entities in general (i.e. beyond the

'Beethoven's sketchbooks provide the most obvious source of such

poietic entities. See, for example, [Kerman, 1970].

- 98-
basic description of them as simultaneities, which is the minimum
condition for their adoption as fundamental entities) can lead, for
tonal music, to an analysis in terms of Roman numerals and the
designation of chords as tonally functioning entities. For post-tonal
or atonal music vertical entities require description in terms of set
theory, although the influence of tonality can also necessitate the
retention of tonal harmonic theory, or aspects of it.

Ex. 13, J.S. Bach 'Wie wunderbarl1ch', MBtthlJus-PBssion.

Firstly, consider the analysis of a tonal piece in terms of Roman

numerals, following the methods rooted in the work of Gottfried Weber
[Weber, 1842], 1 To init iate this kind of analysis within the
metatheory the composition must be expressed as a series of
simultaneities, with each simultaneity grouped according to its pitch
content, possibly subject to certain principles of equivalence (the
latter depending on what the analysis is attempting to demonstrate).
In the analysis of 'Wie wunderbar1ich', Ex. 13, the simultaneities
appear in. the same order as they do in the chorale and they have been
grouped along the horizontal axis using the principles of equivalence
by transposition, inversion and octave register. (Arguably, the
paradigmatic axes in Ex. 11 would also benefit from a horizontal
projection parallel to the temporal axis since this would make the
formal relationships between different paradigms substantially
clearer.) Hence Axis D contains the major triads of FI, E, A, D.
According to the definition of an entity, only those simultaneities

iSee [Beach, 1974] for a brief history of tonal harmonic analysis that
puts Roman numeral analysis into its historical context.

- 99-
that appear more than once exist as potential harmonic entities at the
neutral level. (However, 'the existence of such entities in general is
also determined by pOietic factors such as whether a particular
simultaneity is characteristic of a particular musical tradition. >
Faced with an analysis as elaborate as Ex. 13 (especially if it is
continued to the end of the chorale> the question of its usefulness
must once again be addressed. Any harmonic analysis of 'Wie
wunderbarlich' along the lines of Ex. 13 is clearly restricted by the
tightest of theoretical strait-jackets: this is the price paid at the
present stage of the metatheory for an analysis attempting to be free
of unstated assumptions. This chorale has been selected for analysis
at the present juncture because it demonstrates both the strengths and
the weaknesses of a purely harmonic analysis (i.e. one in which linear
construction is completely ignored). The most significant harmonic
feature of the chorale concerns the harmonic indeterminacy of its
opening phrase. Interestingly, Ex. 13 reveals that despite this
indeterminacy, the first phrase lacks the diversity of simultaneities
contained in the succeeding three phrases, an example of what
Schoenberg referred to as the 'limitation of variety' in order to
engender 'comprehensibility' [Schoenberg, 1970: 20]. But how can the
relative complexity of the first phrase be explained? In fact the use
of Roman numerals is perfectly adequate for addressing the harmonic
question at the beginning of the chorale but becomes rapidly
ineffectual as a means of explaining the succeeding phrases since
their complexity arises out of the music's linear organisation.
Before Roman numerals can be used to describe the first phrase it is
necessary to consider the status of the ninth simultaneity,
remembering that only the vertical organization of the music is being
studied at present. Hence, in these analytically rather artificial
conditions this simultaneity cannot be dismissed as the product of

-100-
voice-leading: this would undermine the examination of what a purely
harmonic analysis, within the context of the tripartition, is able to
determine.
If other musical components are to be temporarily excluded from
the analysis then this particular simultaneity must instead be judged
both poietically and esthesically as less significant in comparison
with the other vertical combinations in the first phrase, or it will
almost certainly make a nonsense of the final harmonic analysis.
Poietically, because the tradition within which this chorale is
situated does not tend to isolate such simultaneities from triadic
formations and, more importantly, its frequency of appearance within
this tradition is small compared with other tonal simultaneities and
their functionally equivalent forms (the latter requiring, in part, an
esthesic judgment); and esthesically, because the statistical
significance of this simultaneity within the chorale itself is
relatively low. This latter judgment is essentially an esthesic
response to the neutral level in which statistical insignificance is
equated with structural inSignificance, a correspondence that is
clearly implied in the previous consideration of poietic significance.
On the question of the relationship between frequency of appearance
and structural significance in general it is mostly the case that a
high frequency of appearance suggests a strong structural significance
but that a low frequency of appearance does not necessarily imply a
weak structural significance: a single appearance of a major triad in
an otherwise atonal work might be loaded with a structural
significance that follows from the poietic dimension of the work.
And so to Roman numerals! There are two basic ways of employing
Roman numerals in the analysis of the now modified first phrase of
'Wie wunderbarlich'. Firstly, the chords can be notated without
regard to the recurrent harmonic patterns by defining all the chords

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in relation to a single key. This approach, even ignoring the
harmonic indeterminacy of the first phrase, would succeed only in
producing a complicated description of the harmony, it would not
provide an explanation of it. The second method involves defining
chords in relation to different keys, the possibility of which was
first considered by Gottfried Weber (see above). Now, this method
raises an important issue concerning the relationship between the
metatheory and the pOietic dimension since the concept of key does not
necessarily form part of the metatheory: only in certain simple pieces
is it possible to identify a group of notes with a particular key,
using the concept of delineation by non-identity (which requires, at
anyone structural level, all the notes of a scale to appear before
being interrupted by notes alien to that scale). However, most
usually the concept of key will enter the analysis as a poietic fact,
a product of history that has not been, and probably cannot be,
explained in terms of logic. By expressing chords in relation to
specific keys, the analysis is able to identify certain recurring
harmonic patterns in the first phrase. Hence, the motion from
dominant ~eventh to tonic, or simply dominant to tonic, and the
functionally equivalent motion (in terms of the esthesic dimension)
from a diminished seventh chord to the tonic, all emerge as harmonic
entities - as opposed to simple chordal entities - in the first phrase
of this chorale:

V~I V~I ...... 7

IV V I III

Despite the reputation of Roman numeral analysis for being narve (a

narvety that often results from its inappropriate application), the
above analysis does actually succeed in simplifying the harmonic

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structure of the first phrase. In addition to demonstrating the
recurring harmonic patterns that gradually focus on the tonic of
B minor at the end of bar 2, the Roman numerals also reveal the
transfer of the underlying harmonic movement in bar 1 (IV~V~I) to the
surface of the music in bar 2 (IV~V?~I of I). It will be noticed that
the appearance of the Roman numeral IV in each of these instances
refers to a different chord. In the first instance, it refers to an E
minor triad whereas in the second instance it refers to an E major
triad. It is for this reason that the above harmonic analysis takes
place against a background of the poietic concept of key rather than
the logically more neutral concept of tr~nsposition, which would fail
to reflect the poietic equivalence of these neutrally different
chords. This latter point, along with the many other discussions of
poietic and esthesic issues contained in this section, demonstrates
how the logic of the metatheory can be extended beyond the neutral
level: expressions such as 'poietic equivalence' and 'esthesic
equivalence' are always indicative of metatheoretical thought.
If this type of analysis strays too far beyond the first phrase
then its.shortcomings soon become apparent. Not one of the last three
simultaneities of bar 5 or the first three of bar 6, i.e. a total of
six simultaneities in all, is a simple major or minor triad. Only by
studying the voice-leading between these simultaneities is it possible
to distinguish the harmonic entities from the non-harmonic ones.

f f •

Having illustrated the formation of entities by comparing elements

contained separately within the horizontal and vertical dimensions,
the next type of entity to demonstrate is that formed by the
interaction of elements contained within both of these dimensions.

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The projection of linear elements onto the vertical dimension, and
vice versa, is well established as a procedure of much post-tonal and
atonal music. Indeed, such interactions are an inevitable consequence
of serial techniques, an inevitability that will shortly be studied.
For tonal music, however, it is generally believed that there is a
clear distinction between the horizontal and vertical dimensions.
One recent proponent of this view is Joseph Straus who has
demonstrated the projection of generalised tonal linear motives (i.e.
motives expressed in terms of their pitch-class set) onto post-tonal
vertical planes, a prOjection that would be impossible (according to
Straus) in a purely tonal context. For example, the opening motives
of the 'Hymn of Thanksgiving' from Beethoven's String Quartet Op.132
are shown to exist, in their generalized form, as simultaneities in
the opening of the second movement from Bartok's Third Piano Concerto
[Straus, 1990 (b): 1351. However, it could be argued that the
relationship between the horizontal and vertical dimensions in tonal
music does not necessarily exclude the possibility of motivlc
connections between them, especially if the motives are expressed in
terms of t.heir structurally most significant features. Straus'
argument stems from the triadic nature of tonality's vertical
dimension compared with the scalar characteristics of its horizontal
dimension. By this argument it is not difficult to find exceptions to
his general rule: any tonal piece whose motivic/thematic content is
essentially triadic in nature, at any structural level, will
immediately effect a connection between the horizontal and vertical
dimensions. Whether these connections are significant or not will
depend on individual pieces. Consider the motivic/thematic content of
the first movement from Beethoven's Piano Sonata Op.2 no. 1:

Ex. 14, Beethoven: Piano Sonata Op.2 No. 1/1 (bars 1-4, 20-22),

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If the first theme of this sonata is separated from its structurally
embellishing triplet notes then both its tonic and dominant forms (to
use Schoenberg's terms!) can be seen, in Ex. 14(b), to be identical to
their respective underpinning chords (I and V7) when considered 1n
terms of pitch-class content. If this observation is significant at
all, beyond suggesting an opening unity for the sonata, then the
significance mostly lies with the dominant form of the theme,
specifically the addition of the seventh to the supporting dominant
triad in accordance with the modified theme. This particular entity-
forming identity between the horizontal and the vertical dimensions,
in addition to the non-trivial identity that exists between the
successive linear appearances of the theme, increases the potentt~l

importance of this repetition according to the metatheory: the status

of the dominant seventh may well transcend the purely functional role
of leading back to the tonic. In fact, this potential importance is
realized in the second t~me of the sonata form, since its
structurally significant notes prove to be a retrograde variation of
the first theme's dominant form, making the first movement of Op.2/I
essentially monothematic, as demonstrated in Ex. 14{d). Indeed, this
monothematicism is appropriate to the sonata's dedicatee - Joseph
Haydn - who, in common with his contemporaries, favoured harmonic
rather than thematic contrast in his sonata compositions.
This example may prove to be untypical even for Beethoven in
terms of the extent to which the dominant form of the theme functions
as an intermediary entity between its tonic form and the second theme,
but an initial unity between thematic material and harmonic content is

1 See [Schoenberg, 1970: 21].

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far from infrequent in Beethoven's music. If this unity is limited to
examples of identity between the surface of the music and the
surrounding harmony then the opening bars of masterpieces such as
Beethoven's Third and Ninth Symphonies are obvious candidates. The
Eroica Symphony, for instance, might be said to juxtapose a vertical
and linear statement of its first theme in its opening bars, but the
resulting identity between the two dimensions has no obvious
significance in terms of unifying later thematic material. On the
contrary, the.comparison of the repeated chords at the beginning of
the symphony with other repeated chords later in the first movement
tends to emphasise contrast rather than unity: that which in the first
six bars was expressive of unity becomes a source of tension towards
the end of the exposition, vis A vis bars 128-131/bar 132, reproduced
in Ex. 15, in which the linearly presented thematic material contrasts
starkly with the preceding chordal repetitions. More subtly than the
opening of the Eroica Symphony, the bare fifths that begin
Beethoven's Ninth Symphony are projected onto the horizontal dimension
as a prescient but incomplete statement of the movement's first theme
in bars 2-14. The first-half of the complete theme is not expressed
as a simultaneity until the D minor chord at bar 22. Connections such
as these would be considered as significant in post-tonal music, but
are unlikely to be mentioned at all in tonal analysis, which suggests
that their structural status is overdue for re-evaluation in both
tonal and post-tonal music.
If the comparison of linear with vertical elements is extended
beyond the surface of the music, as was begun in Ex. 14, then a great
many examples of such identities will be found in tonal music, leading
to the formation of middleground entities - a possibility that will
emerge more clearly as this thesis develops. For the present it must
suffice to suggest that in general the existence of an identity

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between linear and vertical elements in tonal music depends on two
conditions. Firstly, the motivic/thematic material must be
susceptible to reduction into a (not necesarily complete) triadic form
at a particular structural level and, secondly, this same triad must
form the basis of the harmony underlying the motivic/thematic material
(once it has been expressed without its prolongational tones). When
considering these two conditions it is important to remember that
within the metatheory any theme or motive can be isolated from its
general context for structural analysis since it exists as an entity,
that is, it is itself a structural unit and not simply a surface
feature whose presence can be disregarded by a quasi voice-leading
analysis. By extending the present argument beyond the consideration
of elementary motivic/thematic linear content it is possible to
glimpse, from an unexpected quarter, how aspects of Schenkerian theory
might grow out of the metatheory, since the unfolding of the major
triad, a concept central to Schenkerian theory, is consistent with a
tendency, albeit on a smaller scale, for unity between
motivic/thematic and harmonic content in tonal music. Specifically,
the lower voice of Schenker's Ursatz effects a (triadic> arpeggiation,
an arpeggiation that is also often present at middleground levels
[Schenker, 1979: fig. 141. Furthermore, as Rameau has noted, the
Fundamental Bass has a tendency to progress by the consonant intervals
of the triad [Rameau, 1971: 60-611, suggesting a way in which even the
large scale surface features of tonal music have the potential to
contribute to an overall unity. Finally, since the upper voice of the
Ursatz - the Urlinie - is effectively a linear unfolding of the triad
then compositions susceptible to Schenkerian analysis are, at their
most basic level, unified within the horizontal and vertical
dimensions. These are musically profound issues and cannot be
adequately expressed at this stage of the thesis. The foregoing

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discussion can do no more than introduce a particular way of thinking
about musical structure.

Ex. 16, Stravinsky: Concerto for Piano and Wind

Instruments/II (bars 1-6).

The implication of Straus' argument concerning generalized

motives, namely that entities formed by the comparison of linear with
vertical elements are only possible in post-tonal music, now seems
erroneous. The question remains as to whether the significance Straus
and others attach to such entities in post-tonal music is commensurate
with the frequency and manner of their occurrence. The following
extract from the second movement of Stravinsky's Concerto for Piano
and Wind Instruments contains a number of compelling examples of
linear elements being projected onto the vertical plane as
simultaneities, or vice vers~. Furthermore, these particular linear
elements could not be so projected in a purely tonal context. The
melodic line has been segmented, in Ex. 16, in accordance with certain
obvious features at the surface of the music. Since these
segmentations are hardly controversial it is not necessary to consider
them in any great depth. Principally, they have been defined using
delineation by silence, for the first two segments, and delineation by
actual rather than notated contrast in dynamic level for the second
two segments (the decay of A4 in bar 5 due to its relative longevity -
a measurable invariant - separates it from the following F#4). Each
melodic segment from the first six bars is either preceded or
succeeded by a projection of itself onto the vertical plane as either
a complete Simultaneity or part of a Simultaneity, usually referred to
as a subset. Simultaneities have been expressed in terms of the
addition of two sets: those that have been projected onto or from the

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horizontal plane and those that have not. In all cases, the former
type of simultaneity (which may be a subset of the complete
simultaneity> is identical to its corresponding melodic segment by
pitch-class content i.e. the principle of octave equivalence is
sufficient to establish a connection between the horizontal and
vertical dimensions without expressing the elements of each dimension
in terms of their generalised pitch-class set forms. It is worth
noting that the only simultaneities without expression as part of the
melodic line, if the transient simultaneities derived from the
addition of melodic elements are excluded, are those capable of being
described in terms of traditional tonal harmonic language,
specifically I, 17 and V of V in C major: a kind of poietic
justification for this analysis (the remaining chords are all
neutrally justified by the projection of melodic elements onto the
vertical plane.) Of course, the melodic line cannot always be
excluded from the formation of simultaneities, especially when
individual melodic pitches are coincident with the piano chords: the
sixth and eighth simultaneities, for instance, require the inclusion
of their concurrent melodic pitches in order to establish an identity
with the third and fourth melodic segments respectively.
As with so many of these displays of unity between the horizontal
and vertical dimensions that typify the initial stages of a work or a
movement from a work, the concerto's second movement evolves rapidly
away from unity and towards diversity in its pitch organization,
particularly in the vertical plane. As the linear elements increase
in number and complexity, so the capacity of the harmonic content to
express those elements as simultaneities is exceeded, causing a
divergence between the horizontal and vertical dimensions. This is
not to say that the linear organization apart from the melodic line is
unimportant in the first six bars. (The linear progreSSions between

-109-
chords, for instance, are diatonic, in common with the melodic line.
In fact, i t has been demonstrated in Ex. 16(c) that this linear
diatonicism between chords in the left-hand part extends as far as
reproducing fragments of the melody.) Rather, the linear organization
in these opening bars does not dominate over the vertical dimension to
the extent of making a purely harmonic analysis impossible. In
general, the significance of entities formed by identities between the
two dimensions should not be exaggerated even in post-tonal music. If
examples such os the second movement from Bart6k's Third Piano
Concerto (analysed by Straus) and the first movement from Beethoven's
Eroica Symphony do not maintain a unity between their horizontal and
vertical dimensions by the manner of their continuations, despite them
both having rather obvious connections between these dimensions at
their outsets, then the importance of these bi-dimensional entities in
music without these salient features (whether in the guise of a motive
or a pitch-class set) should always be assessed cautiously.

•••
None of the examples of entities discussed above are necessarily
restricted to a particular musical language although the relative
frequency of occurrence and significance of these entity-types is
always dependent on the musical language being considered. The final
type of entity to be discussed is formed by the comparison of elements
that are themselves two-dimensional i.e. they exist partly on the
horizontal and partly on the vertical dimension. It is difficult to
imagine an example of such an entity outside of a post-tonal or atonal
context, apart from the trivial instances of sectional repetition in
tonal music in which whole sections of music function as entities of
the music's form (e.g. ABA, where the second A is an exact repetition

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of the first A). However, within atonal music the application of set-
theory has demonstrated an .abundance of such entities: they are the
structural norm. Serial music most clearly encapsulates the formation
of two-dimensional entities, although the principles involved in their
deduction transfer directly to the study of free atonal music.

Ex. 17, Schoenberg: Klavierstilck Op.33a (bars 1-2, 38-4-1>

The possibility that a note-row is an entity capable of being

deduced within the metatheory was first raised in Chapter Four. At
the most basic level the recurrence of a group of twelve notes
automatically qualifies that group as an entity, but this observation
does little to distinguish a note-row from a conventional thematic
entity. However, for the present only this thematic aspect of the
note-row will be considered since it follows on closely from the
preceding discussion. (In general, the note-row is distinguished
within the metatheory using delineation by non-identity, a possibility
that will be discussed in a later chapter.) Schoenberg's KlavjerstUck
Op.33a, as George Perle has noted,l comes close to exploiting the
potential thematic function of a note-row by employing two consecutive
statements of it (P-O + RI-5 in bars 1-2 and 10-11) within a
traditional sonata-allegro form. Unlike its tonal paradigms, this
particular variety of thematicism involves grouping pitches across
both the horizontal and vertical dimensions, a significant departure
from tonal convention. However, this particular example of twelve-
note thematicism falls some way short of isolating the basic note-row

I See [Perle, 1962: 123-5].

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as an independent entity (in the sense that P-O is not delimited from
RI-5, but instead thematically paired with it). It is only by
comparison with independent statements of the row that bar 1 of Op.33a
can be made to exist as an entity.
The comparison with RI-5 itself 1s problematic since the
retrograde version of the row normally eliminates most of the pitch
and intervallic identities between the consecutive note-row
statements, although it is possible to equate the two row statements
using ern = f(e n ), as suggested in Chapter Four. This latter option
raises the important issue of the respective logical priorities of
structure and function within the metatheory, an issue made
particularly complicated by the intrinsic ambiguity of the term
'function'. Within the neutral level' function' should generally be
understood in its mathematical sense: only when the interaction of the
poietic and esthesic dimensions with the metatheory becomes
significant should' function' be understood in more general terms.
(For example, a VIr chord can function as a substitute for a V chord,
but this involves an esthesic use of the term function since it
relates to the way in which a listener perceives certain chords.) For
the present it must be assumed that structure precedes function: the
existence of entities as structural units must be established before
the functional relationships between them can be considered. The
controversial nature of this assumption is clear for all to see.
Allen Forte's book, for instance, The Structure of Atonal Music (1973)
would, arguably, have to be renamed Structural Functions in Atonal
Music, since in practice the segmentation process is subordinate to
the set-theoretic functions used to relate the imposed segments.
A statement of the note-row that enables the isolation of bar
as an entity by the simple association of surface events does not
present itself until the statement of the row at the end of the piece,

-112-
starting at the end of bar 38. All other row statements are either
retrograde or they require various complex delineating processes to
separate simultaneous or elaborate row statements. Even the final
statement of P-O is concurrent with a statement of 1-5, but in this
case a clear pOietic (i.e. notational) distinction is made between the
two statements, to say nothing - at this stage - of their delineation
by proximity. This final row statement demonstrates more clearly than
the theme in bars 1-2 the interplay between the vertical and
horizontal dimensions since it contains both simultaneities and single
pitch attacks, rather than just four-note simultaneities.
These observations of the note-row's usage tend to support
Perle'S comments concerning the theme of a twelve-note work which, he
writes, 'is not in general characterized by its intervallic structure
but by attributes that formerly performed a subsidiary, though
essential, role' [Perle, 1962: 126]. Since the isolation of P-O in
bar 1 as an entity is rather weakly established, and then only at the
end of the composition, the note-row cannot be said to perform a
thematic or even a motivic role: the potential is not realized.
Consequently, any allusion to a sonata-allegro form must be achieved
independently of the note-row, leaving the note-row to its referential
role as a source of motivic material.

f f f

Although this chapter has been restricted to a discussion of

entities based on the component of pitch, this should not be
misconstrued as an inevitable restriction on the formation of entities
in general. David Epstein has demonstrated, for instance, that
Schubert's use of dynamic nuance in the first movement of his
Unfinished Symphony exhibits an 'unusual autonomy' and even 'assumes

-113-
aspects of an integral motive' [Epstein, 1979: 100-1] i and Schoenberg
has discussed the sufficiency of a 'contour' as a motivic indicator
[Schoenberg, 1970: 91. As with fundamental entities, any component
can be used, in theory, to form entities in general. However, in the
general case the use of a wide range of musical components to form
entities will be relatively commonplace and not necessarily dominated
by the components of pitch and duration.

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 CHAPTER SEVEN

7.1 Delineation and Association by Proximity

The structural role of proximity is far more restricted in its scope

than identity since many musical components are not susceptible to
description in terms of proximity at all, unless it 1s in the guise of
relative similarity. Consequently, the ensuing discussion will
consider examples of delineation and association by proximity
separately from those of identity <and non-identity). The binary
opposition of identity with non-identity has no structural equivalent
in proximity relations. True, within the concept of proximity a
distinction can be made between propinquity and remoteness, but since
these latter concepts exist on the same sliding scale and are, in any
case, always subsumed within the concept of relative similarity, no
useful purpose would be served by dividing examples into those of
propinquity and those of remoteness.
All of the following examples proceed on the assumption that the
fundamental entities of pitch and duration have been established. On
this basis the concept of proximity is demonstrated by the systematic
study of all the musical components identified in Chapter 4 <provided,
that is, the concept can be meaningfully applied to them), Some
attempt will be made, where appropriate, to demonstrate the
interaction of structural proximity with the poietic and esthesic
dimensions, leading to interpretations of the structures identified,
although these digressions should not be misconstrued as adequate
explorations of either the poietic or esthesic dimensions.
In many cases, the particular choice of a musical example has
been such that an extreme manifestation of the theoretical idea being

-115-
scrutinized is demonstrated, and in this sense the examples are
perhaps untypical of their ,genre as a whole <whatever that genre
happens to be), which will usually be comprised of a more balanced
combination of potential structural configurations.

7.2 Pitch and Interval

The action of ~roximity on pitch configurations in general tends to

divide structures into melodic and harmonic categories, although any
one piece will normally consist of a synthesis of these two
categories. All considerations of pitch proximity are inevitably
intervallic in nature since they involve the comparison of at least
three pitches i.e. two intervals. (This should not be confused with
the three interval-classes associated, via the interval vector, with a
pitch-class set of cardinal number three which, despite the reference
to a vector, takes no account of the spatial orientation of pitches.)
Paradoxically, this relationship between pitches and intervals is
commutative since any attempt to ascertain the proximity of two
distinct intervals is only possible in terms of those intervals'
constituent pitches, since intervals cannot themselves be represented
by single geometric points. Consequently, in as much as it is
possible to describe intervallic structures in terms of proximity at
all, these descriptions can be understood as an aspect of pitch
structural proximity.
The division of melodic lines according to the proximity of
pitches is a common procedure in music analysis. Indeed, it is even
an integral part of a number of analytical methods. According to the
metatheory the grouping together of pitches by proximity is either by
delineation or association.

-116-
 Ex. 18, J. S. Bach: 'Ich will dir mein Herze schenken',
Mat thlius-Passion.

The aria 'Ich will dir mein Herze schenken' is shown, in Ex. 18, to
contain two extensive linear descents, the first of which recurs a
number of times in the course of the aria. Initially, they are both
revealed by the delineation of melodic lines according to the
proximity of pitches, although Bach makes the first of these implicit
descents explicit when the melodic line is transferred from the oboe's
introduction to the soprano line. The separation of FI5 from B4, and
A4 from G5, in bar 3 by proximity is immediately obvious. However,
the connection of PI5 to G5 as a delineation and the linear descent
through more than an octave involving delineation and association both
require further explanation. The connection of F#5 to G5 follows from
the discussion of proximity as a three-entity problem: FI5 is closer
to G5 than B4, and G5 is closer to PI5 than A4i hence PIS and G5 tend
towards one another (as indicated by the arrows on the connecting
beam). This simple line of argument can also be applied to the linear
descents, although the strength of the connections effected is, in
terms of logic alone, less secure. For instance, the connection of 05
to C5 in bar 2 (noting also that D5 is equally close to the preceding
E5) is not reciprocated by the connection of C5 to 05 because C5 is
closer to B4. Hence, although a connection between these pitches does
exist it is uni-directional. In itself 8 uni-directional connection
is not a problem: as long as some sort of connection is demonstrated
between events then the metatheory has achieved part of its purpose.
However, if it is thought that a correlation should exist between the
strength of a connection and the logical support it receives then,
arguably, this result is at odds with an intuitive response to the
music which would consider the connection between 05 and C5 to be as

-117-
strong as that between, say, F5 and E5 in bar 2. This conundrum
highlights the need for a specific interaction between the metatheory
and the pOietic and esthesic dimensions when analysing diatonic music.
Consider, to choose an abstract example, the analysis of an
octatonic descent in terms of the proximity of its pitches. Such an
analysis would result in the grouping together of all pitches
separated by a semitone: pitches separated by a whole tone would,
albeit at a very superficial level, effect structural divisions, which
in some senses would be contrary to our perception of the descent.
However, in certain contexts the semitone and whole tone can be
perceived as equivalent linear steps, even at a surface level. within
certain musical traditions: a pOietic/esthesic equivalence that
overrides the purely logical aspect of the analysis and has
accordingly been enshrined in the i, ~, S, 4, 5, ~, 1, a notation of
the major/minor scales. S The poietic aspect of this influence casts a
long shadow over the music of later times and our perception of it:
the equivalence of the major/minor second step functions as an
ambiguity to be exploited by composers, particularly in music where
tonality is chromatically stretched or abandoned altogether (although
Beethoven's motivic juxtaposition of the lowered supertonic with the
leading note, Eb to CI, in the first movement of his Violin Concerto
constitutes a particularly impressive early example of a composer
exploiting the equivalence between scalar steps).
Returning to 'lch will dir mein Herze schenken', it is clear that
the linear descents depend as much on poietic and esthesic criteria as

SA similar poietic/esthesic equivalence exists between major and minor

thirds in the vertical domain of tonal music, for instance in the
ubiquitous passages for parallel 'thirds' in Handel's music.

-118-
they do on purely logical considerations: the equivalent proximities
of pitches by poietic/esthesic criteria enforce the linear descent.
Nevertheless, the logical distinction between linear steps cannot be
dismissed as meaningless. For example, the tendency of the leading
note to resolve onto the tonic is one meaning that is consistent with
the close proximity of the seventh degree to the tonic rather than its
next nearest neighbour the submediant. t On the other hand, by
lowering the seventh degree as Bach does in bar 2 of 'Ich will dir
mein Herze schenken' the tendency is away from the tonic and towards
the sub-mediant, once again consistent with the proximity relations.
The motion from lowered seventh to sub-mediant is, in the case of a
full blown modulation, a fall from the sub-dominant to the mediant in
the new key, a linear progression that also holds if - as with the
Bach example - the 'modulation' is a merely momentary or transient
event, a harmonic inflexion. Perhaps not surprisingly, therefore, the
only other semitone step in the major scale is between the mediant and
the sub-dominant. Of course, the function of the leading note in
tonality depends on criteria other than proximity, many of them purely
historical, but clearly proximity has a significant role to play in
any theory of tonality within the metatheory.
It must be stressed that the tendencies discussed above contain
no suggestion of structural superiority: the question of which
tendency dominates at anyone moment cannot be answered in general.
Even within a single piece the dominant force can vary from one bar to

sGeoffey Chew has suggested a theory of the leading note and other
voice-leading figures based on the semitone, particularly in relation
to various Schenkerian concepts, that is consistent with this aspect
of metatheoret ical logiC. See [Chew, 1983].

-119-
the next. Notice, for instance, how the delineations of pitches by
proximity in bars 5 and 23 of the Bach aria contradict the slur
markings which, correctly, follow the harmonic and rhythmic patterns:
the force of proximity subsides at these points to take on a secondary
role that simply defines certain latent potential structures.

Ex. 19, J.S. Bach: Gigue from Suite No.3 for solo 'cello BWV 1007.

The idiomatic writing for 'cello in Ex. 19 is untypical of music

in general in that many of its most salient characteristics can be
revealed almost entirely in terms of a single process, namely the
association of pitches by proximity. (Only the initial 03 is excluded
from this process since it is connected by delineation to the C3 of
bar 21.) Of course, many processes combine in this music to separate
the melodic line from the pedal notes (e.g. ones based on pitch
identity, metrical placing of notes or onset of pitch attack), but
those based on proximity are the most pervasive. Any doubt about this
claim should be allayed by the recomposition of bars 28-30 in Ex. 19(b)
in which the structural role of proximity has been neutralised: all
sense of the alternation between melodic and pedal notes is lost. One
point at which the role of pitch proximity is equalled by another
structural force is in the transfer of the pedal note from D3 to G2 in
bars 24-25. At this crossover point the grouping of pitches by
proximity is ambiguous. One option is to connect 03 with F3 by
delineation. Indeed, if the last two semi quavers of bar 24 and the
first two of bar 25 were isolated from the rest of the composition
then this would be the only possibility. (It would even be supported
by the association of G3 in bar 24 with G3 in bar 25.) However, this
grouping is contrary to the separation of melodic and pedal notes.
The second option, which can theoretically coexist with the first, is

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to connect F3 with E3 in bar 25 by association. In itself this is a
perfectly legitimate procedure, but in general delineation processes
are likely to be more significant than association ones. Ultimately.
the preference for one or other of these options depends on the
metrical ordering of pitches which strongly divides 03 from F3 at the
crossover point. Having achieved the pedal note transfer, proximity
once again assumes its dominant role.

Ex. 20, Edgard Var~se: Density 21.5 for solo flute (bars 1-6).

The final example demonstrating the structural role of proximity

in melodic construction employs a subtle combination of both
delineation and association processes, a subtlety that is partially
obscured by the graphic notation of the analysis. The separation of
C'4 from the rest of the melodic line by the analysis of its proximity
relations, the most significant proximity-derived feature in the
opening bars of Density 21.5, is consistent with the previous
discussions of the structural role of proximity. <Indeed, the
juxtaposition of this example with Bachls Gigue highlights one way in
which the techniques of an earlier period can be assimilated and even
transcended by a composer working in a later period - an idea that is
central to the historical evolution of musical language as understood
by the metatheory in the context of the semiological tripartition. )
More problematic is the extent to which the remaining notes can be
said to form a continuous line, in terms of the delineation and
association of pitches, by virtue of their mutual proximities. In a
negative sense this continuous line follows from the relationship
between the remaining pitches and the isolated C'4: the pitches exist
as a single group since they exist outside of the series of C'4 1 sj but
this is not a strong argument. It would be more convincing if the

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remaining pitches could be shown to exist as a continuous line in a
positive sense. Ex. 20 demonstrates that most of the remaining pitches
can be grouped according to the previously outlined proximity
relations. The apparent exceptions are between E4 and F#4 in bar 3;
E4 and G4 in bar 5; G4 and A4 in bar 6. Of these, the inclusion of
the first two as part of a continuous line is justified by the
association of the second note in each case with preceding notes that
are either of identical pitch or, alternatively, separated by a
semitone. However, i f the A4 of bar 6 is to be included as part of
the same continuous line then it can only be so in relation to C#4,
since A4 lies in closer proximity to the register bound by E4 and G4
than it does to the repeated C#4 and, crucially, this is the first
appearance of A4 in Density 21. ~ This is clearly a slightly weaker
connection with the preceding material and hence it tends to support
an interpretation of Density 21.5 that posits the first significant
structural division of the piece at the beginning of bar 6.

Ex.21, Tippett: Piano Sonata No.3 (bars 1-25, 39-55, 192-203,

219-220, 230, 489).

The second paradigmatic structural category distinguished by

proximity relations concerns the isolation of entities in the vertical
domain of music, which is essentially equivalent to the analysis of
pitch in terms of registral proximity (and hence register is not
considered to be a separate fundamental component within the
metatheory). This process is clearly demonstrated in Tippett's Piano
Sonata No.3 within which structures based on various proximity
relations have a significant influence, an observation that is

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confirmed by Tippett in his sleeve notes to the original Paul Crossley
recording of the sonata:

In Sonata No.3, with its overall shape fast-slow-fast, the

independence of the hands is explored chiefly in the outer fast
movements and the unity in the slow middle. The sonata begins
with the hands at the farthest possible distance apart, and this
physical divergence of the hands to the extreme ends of the
keyboard and their return jointly towards the middle became a
feature many times repeated [Tippett, 1974-1.

Tippett's comments apply a broad analytical and aesthetic brush to his

sonata but their validity can also be demonstrated at the level of
fine detail. The first occasion at which the two hands converge is a
case in pOint. That the opening melodic lines, one per hand, exist as
distinct entities is intuitively obvious given the extreme separation
Tippett imposes on them. However, it is instructive to spell out the
criteria on which the separateness of these two lines depends since
the principles revealed in this extreme case can then be applied to
the study of examples less dominated by a single spatial organisation.
Even as late as bar 21 it is possible to see, in microcosm, the
proximity process that has spanned the whole of the piece to that
point. EX.21(b) demonstrates the sense in which the melodic lines in
bar 21 are transformed from a state of logical divergence to one of
convergence. The separation, one from another, of the first note in
each hand can be seen to arise from the closer proximity of each of
these notes to their neighbouring notes in the horizontal dimension
compared with the notes in the vertical dimension (i3<i27). This
condition, which has completely dominated the piece up until this
point, starts to break down at the end of bar 21 when G#3 is found to
be equidistant from the preceding E3 in the LH and the C4 immediately
above it. However, all the remaining proximity relations hold fast,

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including those with the dyad in bar 23 (the thin end of the wedge),
making the interpretation ,of this dyad ambiguous: are its two notes a
continuation of the two melodic lines begun in bar 1 or do they
function as a single entity? The succeeding bars suggest that both of
these interpretations are possible since the A3/B3 dyad is isolated by
its ensuing proximity relations. This isolation of dyads as entities
by close proximity becomes a significant feature in later sections of
the sonata. EX.21(c) contains an extract from a passage that relies
on the relative separation of pitches to create a dyadic counterpoint.
The particular interest of such passages, in terms of proximity
relations, arises when the separation between the dyads is less than
the separation within one or both of the dyads, as in parts of bars
219-220. These instances become a focus for the interplay between
convergence and divergence referred to by Tippett.
A second aspect of Tippett's sonata, and one that is
characteristic of much of his music, concerns the isolation of tonal
harmonic entities by proximity relations. Examples of this technique
in Sonata No.3, though plentiful, do not match the salient heights
identified in other Tippett works [Whittall, 1990: 269], The
isolation of the augmented triad in bar 41, Ex. 21 (d), is typical of
the way in which Tippett employs this technique in this sonata: it
falls at the end of a phrase in a quasi-cadential fashion; it
coincides with a contour change in the LH and, as a consequence, the
separation of the augmented triad from the other pitches at this point
is maximized. Other triads that are isolated by Tippett in this or a
similar way include the major triad, particular as the first half of a
'cadential' formula (e.g. bar 49, LH), and the diminished triad (e.g.
bar 55, RH). Furthermore, the latter chord is sustained until it
forms a major triad with added seventh - another tonal harmonic entity
- when combined with the final three notes of the LH figure. Triads

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such as these that are isolated within more complex textures exist 6S

single entities due to the delineation of their constituent pitches by

proximity: each individual pitch is closer, at a given point, to the
other notes of the triad than to the notes of the opposing hand.
Association only becomes significant as an organizing force by
relating the various triads isolated according this delineation of
pitch by proximity: many of these triads occur at similar
<overlapping) registers. The isolation of these various triads
appears to serve a wider function in this sonata. At bar 202 of the
central slow section of the sonata, a simplified version of which
appears in Ex.21(e), the augmented and major triads are superimposed,
whilst being kept distinct according to the relative separation of
their constituent pitches (or the balance thereof), suggesting that
the opening of the Lento (bars 192-202) is on elaborate allusion to,
or growth out of, phrases such as the one in bars 39-41 where Tippett
has already equated these triads with the punctuation of phrases.
This interpretation finds additional support when the pitch-class
contents of the LH parts opening the Lento (bar 192) and the earlier
phrase (bar 39) are compared: both are found to be based on (O,2,7).
On a larger scale, extensive passages from the final part of the
sonata, the Allegro energico section, are constructed from the
superimposition of chords that internally isolate the major triad by
their relative spacing of pitches. The final chord, shown in
Ex.21{f), exemplifies this internal spacing of pitches, although it
differs from earlier superpositions in that the same major triad 1s
isolated in each chord, which increases the esthesic sense of closure
that is derived from these logically isolated triads. The
predominance of historically significant triads in the final part of
the sonata contributes to the large scale closure of the work, in a
way consistent with earlier usages of such triads; that is, these

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triads are used to effect closure on scales ranging from the single
phrase through to the entire composition.

7.3 Duration and Onset

Duration and onset are, in many ways, the temporal analogues of pitch
and interval. Hence, the temporal separation of two pitch attacks is
measured in terms of the interval between two pOints in time. It 1s
this value that determines the temporal tendency of a note towards or
away from a second note, a tendency that is likely to be central to
any theory of rhythm. The most obvious application of this process in
structural terms arises in relation to an accelerando (although the
same arguments are equally valid, 1n reverse, to a rit~rd~ndo). In
its simplest form the accelerando is effected across notes of equal
notated duration.

Ex. 22, Stravinsky: Concerto for Piano and Wind Instruments <fig. 89).

The str1ngendo spanning the final phrase of Stravinsky's concerto

provides a simple demonstration of a temporal delineation by
proximity. Each quaver tends, temporally, towards the quaver
succeeding it since the duration between successive quavers is
progressively diminished. Consequently, all the arrows indicating the
tendencies of notes point in the same direction: the music is strongly
uni-directional. If this process were to be continued as far as the
end of the concerto then no temporal resolution would be forthcoming
and the piece would be perceived, rhythmically, as an open structure.
Of course, in this latter case the final arrow would necessarily be in
the opposite direction to the preceding arrows since no succeeding

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note would exist with which to be related. However, this hypothetical
arrow would be situated on the same connecting beam as the previous
arrow and so the balance of forces would be logically ambiguous. By
interjecting a crotchet value between the series of quavers and the
final chord the temporal continuity or delineation of the phrase is
broken: the arrow is reversed and temporal closure is achieved. In
general, an ~cceler~ndo will be effected across a variety of notational
values and so the overall temporal tendency of a passage will be
revealed by the balance of its constituent delineations and the
association of entities thereby formed.
A second structural category determined by temporal proximity
involves the comparison of note values themselves, rather than their
grouping together according to an all-encompassing instruction such as
~cceler~nd~ Most of these structures exist at a surface level, but
Beethoven's Piano Sonata Op. 109/111 raises the influence of temporal
proximity to the level of large scale formal design in what amounts to
a durationally notated ~ccelerand~

Ex. 23, Beethoven: Piano Sonata Op. 109/111 (bars 153-169).

Bars 153-169 of Variation VI from this sonata contain two parallel

temporal schemes corresponding to the thematic (or melodic) line
together with its bass line, and an accompanying (mostly measured)
trill or tremolo line, duplicated at the octave. Both of these
temporal schemes involve a transformation of note values into
progressively shorter durations, but the changes are not always
effected coinCidentally. In fact, the two temporal strands contain
five basic durations each and the successive values, from bar 155 when
only the 'trill' value is transformed, are one 'change ' out of phase.
The two parts are brought back into alignment at bar 169 when the

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duration values of the thematic line are transformed from quaver
triplets into demisemiquavers. As far as the ~cceler~ndo is concerned
it is the change in notated duration values around the temporal
boundaries that is most significant. Accordingly. Ex. 23 contains
analyses of the boundaries at bars 154-/155, 156/157, 1571156. 160/161,
164/165 and 168/169, demonstrating that at these boundaries the arrows
indicating the proximity relations are mutually aligned (at least two
consecutive arrows pointing to the right is the minimum requirement
for an ~ccelerando) and hence the notes at these points tend towards
their succeeding notes. The first boundary introduces a phase
difference between the duration transformations in the tremolo line
and the thematic line: only the tremolo line undergoes a change in its
note values, from crotchets to quavers. The change of note values in
the thematic line, from crotchets to dotted crotchets, does not occur
until the boundary at bar 156/157. (The interjection of two quavers
between the crotchet and the dotted crotchet necessitates the
association of the more significant structural durations. This
procedure contrasts with the delineation processes that dominate the
remainder of the analysis, which is instead concerned with the onset
of pitch attacks.) Strictly, the notated ~cceler~ndo cannot be said
to start in both temporal lines until bar 157 since the transformation
of a crotchet to a dotted crotchet is a retardation (i.e. a minimum of
two consecutive arrows pointing to the left). The crotchet note
values that begin the thematic 11ne are significant in the context of
later transformations since the crotchet note is omitted between the
dotted crotchet and the quaver notes (bar 161) in all but a purely
transitional sense. This can be understood within the metatheory as a
delineation of durations by non-identity. The thematic line at the
157/158 boundary is particularly interesting because although the
basic duration value remains unchanged. in contrast to the change in

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the trill value at this pOint, Beethoven introduces an anticipatory
but deceptive transformation of note values. There is no thematic
necessity for this change since the melodic line in bar 157 could
easily have read B5, E5, F'5 (all dotted crotchets>. By including the
thematically superfluous G#5 Beethoven is able to shadow the
structural transformation of note values in the trill line, from
quavers to semiquavers, but then return to the previous note values of
the melodic line. The pattern of dotted crotchet, crotchet and quaver
used in bar 157 to shadow the duration change in the trill line recurs
at the boundary of bars 160/161 in the thematic line, but on this
occasion the transformation of duration values is sustained. The
precise location of this boundary is masked by Beethoven using the
extraordinary shift in metre from an incomplete bar of ~ to a
correspondingly incomplete bar of ~. Whilst the transformation of
the trill line from semiquavers to demisemiquavers is immediate, at
the instigation of the first (and last!) beat of the 34 bar, the
crotchet of the thematic line at this same point is purely
transitional: the recurring quaver notes that eventually replace the
previous dotted crotchets do not appear until bar 161. Hence,
although both lines undergo a change in duration at this elusive
boundary, the changes are out of phase with each other. By

comparison, the transformation at bars 164/165 is straightforward.

The change from measured trill (demisemiquavers> to a genuine trill in
bar 164 must clearly be consistent with the preceding temporal
progression i.e. the trill notes should be shorter than
demisemiquavers. The final boundary, at bars 168/169, brings to
parity the total number of temporal transformations in each line,
creating a note duration pattern that is continued as far as the final
statement of the movement's theme.

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 •••
The concepts of delineation and association by proximity can also be
applied to the musical components of tempo, timbre and dynamic
level/attack, but the principles involved are not, in most cases.
sufficiently different to those revealed in relation to the
pitch/interval and duration/onset examples above to warrant extensive
consideration. However. it is important to note in general terms that
the particular way in which the concept of proximity is normally
applied to these other components is in the form of a close proximity
that tends towards identity. enabling close proximity to be
substituted for identity in the formation of delineations and
associations. Consequently, these components are considered more
fully in the next chapter.
One important exception to the supposed analogous behaviour
indicated above is the structural process brought about by either a
crescendo or a diminuend~ notably when they are both effected evenly.
These dynamic markings do not logically correspond to, respectively,
accelerando and ritardando since successive notes will be equally
proximate to their neighbouring notes in terms of their actual dynamic
levels, whereas the durations separating a central note from the
attack pOints of its two surrounding notes will be different under the
influence of either an accelerando or ritardanda (This issue is
being greatly simplified since no account is being taken of, for
example, the differing attack/decay patterns of various instruments. )
If, however, it is supposed that they should function analogously to
accelerando and ritardando in a particular composition then this fact
should be communicated by the manner of the performance. Generally.
though, crescendos and diminuendos are best understood in terms of
dynamic contour patterns.

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 Tempo relationships are less problematic. In general terms, the
proximity of two tempi depends on the presence of a third tempo which,
if it is not contained within the notated text, may be drawn from the
poietic or esthesic dimensions (for example a comparison with pieces
of a similar genre). In practice, tempo relationships based on close
proximity are intimately bound up with those based on identity and
therefore require additional consideration - the subject of the next
chapter.
The comparison of fixed dynamic levels can be considered by
similar criteria to those used in the study of tempo relationships.
Timbre, however, requires a consideration of acoustical matters that
goes beyond the confines of this thesis. In neutral terms, the
proximity of two timbres in relation to a third timbre depends on the
comparison of their constituent frequencies and wave amplitudes; that
is, it relates to the specific stUdy of measurable invariants.
Clearly, this kind of study departs significantly from a consideration
of the musical text alone and, consequently, will not be a significant
feature of the remainder of this thesis. Any comparisons involving
timbre will have to enter the remaining examples of this thesis as
esthesic judgments, albeit judgments that are likely, at some future
point, to find a neutral justification through the study of acoustical
data.

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 CHAPTER EIGHT

8. 1 Delineation and Association by Identity and Non-identity

Unlike proximity, both identity and non-identity can be used to form

delineations and associations across the whole range of musical
components. Consequently, this chapter will demonstrate the
application of'these concepts without omitting any of the components
distinguished in Chapter Four, giving equal consideration to each
component. It might be inferred from this particular expository
approach that the various components are of equal significance.
However, if such an equality does exist then it is only at the level
of metatheory: in the face of actual music certain components are, in
the Orwellian tradition, more equal than others.

8.2 Examples fro. Existing Theories of Music

As a prelude to the systematic exploration of individual musical

components in terms of delineation and association, reference to the
work of other theorists can be made as an indication of the
metatheory's potential for encompaSSing diverse theories of music, as
well as to provide other sources of relevant musical examples.
However, these references should not be misconstrued as comprehensive
or adequate accounts of the relationship between the metatheory and
the separate theories considered, but rather as an extended footnote.
(The derivation of individual theories from the metatheory could form
the basis of a future research project, although such a study would
probably be best conducted in the context of particular pieces - as

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analysis rather than theory. )
Christopher Hasty's pairing of similarity and difference was
invoked in Chapter Three as a stimulus to the underlying principles of
the metatheory. It is now possible to see that Hasty's grouping
together, or 'segmentation', of elements according to whether they are
identical in one or more domains constitutes a delineation and/or
association by identity.' This idea has also been appropriated more
recently by Joseph Straus in 'The Problem of Prolongation in Post-
tonal Music' (19871, although Hasty's concept of 'segmentation' is
subsumed within the more general concept of 'association' by Straus:
'Given three musical events X, Y and Z, an associational model is
content merely to assert some kind of connection between X and Z
without commenting one way or another about Y' [Straus, 1987: 13];
and, furthermore, to substantiate an association requires 'continuity
in some domain' [: 151, i.e. connections must be established on the
basis of identity. Consequently, many of the examples discussed by
Hasty and Straus can be expressed in metatheoretical terms. However,
the lack of distinction made by Hasty between delineation and
association is an important difference between his theory and the
metatheory, although Straus's more formalized concept of association
is fully compatible with the metatheory provided a 'Y' always exists
to temporally or spatially separate 'X' and 'Z'. For Hasty. only the
identity leading to continuity is important, whereas according to the
metatheory the actual configuration of identical elements is also
significant. Additionally, Hasty's use of non-identity is limited to
the definition of continuity boundaries, whereas the metatheory

I [Hasty, 19811.

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affords non-identity an equal logical status to that of identity,
enabling elements to be grouped together by virtue of their
di f f erences.
The grouping together of events by identity is also central to
the concept of rhythm as understood by Grosvenor Cooper and Leonard
Meyer: 'To experience rhythm is to group separate sounds into
structured patterns. Such grouping is the result of the interaction
among the various aspects of the materials of music: pitch, intensity,
timbre, texture and harmony - as well as duration' [Meyer/Cooper,
1960: 1l. The key word in this informal definition of rhythm is, of
course, 'pattern', which implies repetition and hence identity. Of
particular relevance to the present chapter is the grouping of
distinct music 'materials', since their interactions only relate to
later metatheoretical concepts such as structural division and
structural level. Many of the patterns discussed in Chapter Two of
the The Rhythmic Structure of Music (1960) constitute examples of
delineation and association by identity and proximity. For instance,
delineation by proximity is apparent in the examples exploring the
influence of duration [: 13] and melody [: 14]; whilst delineation and
association by identity is demonstrated in the examples dealing with
the influence of instrumentation (: 16] and dynamics or stress [: 16,
20]. (These examples have been reproduced in Ex. 24.) The grouping
structures at these 'lower architectonic levels' are also important in
Lerdahl and Jackendoff's A Generative Theory of Tonal Music (1983), a
book which therefore serves as another useful source of examples
relevant to this chapter (despite the significant differences in the
theoretical content that exists between the concepts proposed by Meyer
and Lerdahl, some of which are discussed in Chapter Nine of this
thesis> .
Having considered certain aspects of the metatheory at the level

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of music theory, albeit briefly, it is now appropriate to work through
and illustrate the various musical components within particular
musical contexts, an exercise which constitutes the remaining content
of this chapter.

8.3 Pitch

The extensive'and uninterrupted repetition of a single pitch is not a

feature common to many compositions. When it does occur, at the
surface level of music, the delineation of pitch by identity is most
frequently observed in the structurally trivial, as in the contraction
of a tremolo note into a single low-level note. Nevertheless, such is
the variety of twentieth-century compositional output that it is even
possible to find a work that ascribes a substantial role to the
repetition of a single note.

Ex.25, Penderecki: Fluorescences (bars 68-84).

Bars 68-84 of Penderecki's orchestral piece Fluorescence~ in

contrast to the twelve-note cluster configurations of the preceding
bars, are constructed entirely out of C4 and therefore constitute a
single delineation. Esthesically, and paradoxically, this intense
focussing on a single note diverts the listener's attention away from
the component of pitch and towards those components within which the
creative argument is continued, particularly the components of timbre
and dynamics, but not duration or tempo (recall, from Ex. 10, that
Fluorescences is not rhythmic in any conventional sense),
demonstrating that significance at the neutral level does not
necessarily imply significance within the esthesic dimension.

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 Ex. 26, Beethoven: Piano Sonata Op.27, No.2/1 (bars 4-7).

Occasionally, the immediate repetition of a note i6 a significant

feature of a work's motivic or thematic content. Beethoven, for
instance, used this kind of repetition in some of his most popular
works such as the Piano Sonata Op.27, No.2/1 (Moonlight); Symphony
No. 5/1 & III; Symphony No. 7111. In all of these examples, the
structural logic of the pitch content is simply that the many events
can be considered to function as a single entity. The Op.27 sonata,
in addition to its thematically recurring G#4 and the hidden G#2 used
to heighten the sense of continuity between the introductory bars and
the emergence of the thematic line (and whose thematic significance is
confirmed in the closing bars of the movement), provides a simple
demonstration of the way in which certain elementary ostinato figures
can be conjoined into a single structural group by the process of
delineation. This analytical procedure has relatively widespread
applications that go far beyond simple accompaniment figures: the
analysis of minimalist music, for instance, requires the definition of
numerous musical cells and their possible grouping into larger scale
structures; and the chord streams previously referred to in
association with the music of Vaughan Williams can also be understood
in terms of this analytical procedure, although the modal/tonal
background of these chords will necessitate a careful consideration of
their interaction with elements of the pOietie dimension. In all
these cases, care must be taken to establish the exact basis or bases
underlying the grouping together of the musical entities; be they
motivic, chordal or ostinato in nature. In bars 5 and 6 of the Op.27
sonata, analysed in Ex. 26, the delineation of the three-note entities
(graphically notated by beaming together the series of entities that
are themselves indicated by square brackets) depends crucially on the

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exact repetition of the constituent pitches, although the identical
order of pitches within these entities, which inevitably increases the
significance of the delineation at the neutral level, is not
essential. Without this repetition of pitch an ostinato figure could
only be defined using a delineation on the basis of other components,
specifically those of duration and contour. Alternatively, the
ostinato figures can be defined in terms of low-level structural
divisions, as in bar 4 where the recurrence of G#3 at regular
intervals of ttme and coincident with the changes in contour patterns
- resulting in the association of this pitch <graphically notated
using a dashed beam) - can be understood as a structural division of
type Ii a possibility that will be entered into more fully at a later
stage.
The association of identical pitches in the above way is a common
technique for effecting more significant structural divisions.
Density 21.~ like a number of other works by Varese, is permeated
with referential pitches or pitch-classes from which a musical line is
initiated and to which it returns in order to recommence the evolution
of a provisionally formed musical idea. The opening F4 and its
recurrence in bar 3, shown in Ex. 20, is typical of this process.
Indeed, this particular example typifies the sort of identical pitches
that should be related by association in general, in that their
occurrences are coincident with other common factors such as, in the
present instance, the juxtaposition of F4 with a duration of silence
and the recurrence of the opening three-note entity. Without these
extraneous coincident factors the significance of the association of
identical pitches or pitch-classes would be greatly diminished. Of
course, not all pitches associated in this way necessarily instigate a
structural division, even at the surface level of music. Often,
particularly within the tonal tradition, the constant repetition of a

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pitch is indicative of a structural continuity such as a dominant
pedal which, moreover, suggests the possibility of ultimate
resolution. Hence, the extensive repetition of a note may have
significant structural implications. Whether a resolution is
forthcoming or not depends on a number of criteria both within and
beyond the music's text, and the number of these criteria increases as
tonality is stretched to post-tonality. In Beethoven's Ninth Symphony
the repeated notes that open the work, the vertically and horizontally
delineated A's and E's, do indeed resolve onto a tonic of 0 minor,
even without the presence of a leading note. However, the pitch-class
B that both frames and is threaded through Act 2, Scene 2 of Berg's
Wozzeck (i.e. the 'invention on one note' - technically described as
the delineation and association of the pitch-class B), does not
resolve onto a tonic, or even progress harmonically at all - despite
being indicative of a structural continuity rather than a series of
divides - anymore than Wozzeck's killing of Marie enables him to
resolve the circumstances of his existence. Instead, the crescendo to
fff on the octave S's that close the scene is followed by the banality

of a tavern scene in which a Polka is played on an out of tune piano.

This distorted tuning of the piano is crucial to the severance of
Scene 3 from the preceding material since it undermines the status of
pitch as the otherwise indisputable fundamental entity: the musical
world of Scene 3 is as fundamentally different from Scene 2 as the
tavern is from Marie's pool-Side murder. As far as the neutral level
is concerned only the delineation and asociation of these identical
pitches is important. However, once such structures have been
identified it becomes necessary to ascribe a meaning to them. In a
sense, the tension built and finally retained by the repeated note S
partly exists in relation to the expectations engendered by a
particular musical tradition (of which the dominant pedal that begins

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Beethoven's Ninth Symphony is one example) in which the normal
practice is to resolve such tensions. Hence, the meaning of Berg's
, invention on one note' depends on poietic considerations that are, in
many ways, far removed from the basic texts (music and libretto) that
inform the initial stages of an analysis.
The above illustrations involving single pitches can be extended
to include the association of identical chords, even if no common
pitches exist between them. The earlier example of Tippett's Piano
Sonata No.3 in which augmented triads are isolated by the manipulation
of pitch proximity, as at bars 41 & 47, 74, 152 & 158, is a case in
point. The structural meaning of these chords (none of which - with
the exception of the unpaired and registrally unique triad at bar 74 -
duplicates the pitch-class content of the other triads) is derived
from their association as chords coincident with the endpoints of
phrases. Beyond single notes and chords it is also possible to
associate musical themes and even whole sections of a work, provided
they both ~X1st as entities. At this scale the structural meaning of
such associations veers away from the surface of the music and towards
questions of musical form,i.e. the large scale division of the musical
whole. Nevertheless, the logic of the analytical procedures remains
the same.

Ex. 27, Webern: Three Lit tle Pieces for cello and piano Op. 1111.

Both the delineation and association of pitch by non-identity can

be demonstrated within the context of the first of Webern's Three
Little Pieces. In practice, these procedures find their most direct
applications in the study of serial music and so their usefulness in
the study of this particular miniature tends to lend support to

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Webern's famous clai~ a thinly veiled oedipal struggle with his
mentor Schoenberg, concerning the slightly earlier Bagatelles for
String Quartet, Op.9:

Here I had the feeling, "When all twelve notes have gone by, the
piece is over" .... In my sketch book I wrote out the chromatic scale
and crossed off the individual notes. Why? Because I had convinced
myself, "This note has been there already .... In short, a rule of
law emerged; until all twelve notes have occurred, none of them may
appear again. The most important thing is that each "run" of
twelve notes marked a division within the piece, idea, or theme"
[ Webern, 1963: 51].

Ex.27(b) demonstrates the delineation of pitch content by non-identity

of the first few bars of Op. 11/1 whereas EX.27(c) contains elements of
both delineation and association by non-identity, although the aspect
of association, such as it is, is not communicated graphically because
the interruption of non-identical pitch-classes occurs at a temporal
singularity. Op. ll/I provides a useful illustration of the way in
which two different but potentially valid analytical perspectives can
proceed from the same underlying logical framework. The structural
grouping suggested in Ex.27{c) has the additional support of being
coincident with the association of identical pitch-classes F#2 and
F#', together with an association of silences. The latter association
is clearly a significant force when it comes to effecting major
structural divisions. EX.27{c) also indicates the presence of an
association of pitches by identity, namely the pitch-classes E,F,G#, A
that are common to both simultaneities in bars 1 and 2. (A graphic
distinction is made between identity and non-identity by placing,
respectively, an = or ~ sign adjacent to the connecting beams.) The
repetition of these pitches is significant because two of the subsets
contained within the resultant tetrachord (0,1,4,5), namely (0,1,4)
and (0,3, '), are integral to the pitch configurations of the remainder

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of Op. 11/1 as well as to the two pieces that complete the set.
Whether the delineation processes that bypass the pitch-class
repetitions in order to complete the twelve note collections are more
significant than those that take account of all the pitch-classes is
uncertain. The detailed analysis of Op. 11/1 contained in Chapter
Nine, in which the interactions of many components is studied, will
consider this question further.

Ex. 28, Schoenberg: Piano Piece Op.33a (bars 1-18).

If the interruption of the non-identical pitches within the

temporal singularity of Op. 11/1 masked the exact nature of the pitch
organization at the second structural level, then Schoenberg's serial
composition Piano Piece Op.33a should clarify the concept since it
contains a more typical example of association by non-identity. In
fact, Ex. 28 contains two analyses of the same passage from Op.33a,
both concerned with grouping the twelve chromatic notes together by a
combination of delineation and association processes. Ex. 28(b)
represents a conventional approach to note-row analysis as practised
by George Perle [Perle, 1962: 123-125] but translated into the logic
of the metatheory. The division of this passage into two strata of
pitch organisation can be justified in terms of the neutral level by a
combination of proximity and simultaneity relationships, although this
has not been made explicit in Ex.28(b). The only problematic
separation of strata occurs in bar 15 where the Db4 in the LH is
situated between B3 and F4 in the RH. However, at the third level of
analysis, when all the pitch repetitions have been removed by
delineation, the whole of the RH stratum in bar 14 is found to exist
as an entity by virtue of its identity with the RH of bar 14i leaving
the Db4 structurally isolated from the RH. Nevertheless, there are

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other instances, even within Op.33a, where a neutral distinction
between simultaneous note-rows cannot be made. Ultimately it is a
knowledge of Schoenberg's compositional method that informs an
analysis such as Ex. 28(b), a method that is communicated by Schoenberg
by maintaining a notational distinction (LH/RH) between pitch strata.
In other words, EX.28(b) is both a poietic and a neutral analysis. If
bars 14 to 18 are not separated into two pitch strata then the study
of pitch non-identity by a combination of delineation and association
yields the analysis presented in EX.28(c). That the two chromatic
groups produced, bars 14 to 16 and 16 to 18, cannot be related to the
basic note row of Op.33a by any of the normal serial means (namely
prime, inverted, retrograde or retrograde-inversion forms) might, in
traditional note-row analysis, render these pitch-groups redundant.
However, according to the metatheory these groups should be accepted
as valid configurations, not least because the simultaneous
combination of P-O and 1-5 recurs in a similar (though less
mathematically pure) way several times in the course of Op.33a,
enabling the creation of a pair of P-O/I-5 twelve-note chromatic
entities. (The mathematical impurity of these earlier couplings is
clear from Ex. 28(a), in which the traditional note-row boundaries have
been indicated. For instance, the P-O/I-5 combination in bar 10
cannot simply be bisected in the same way as bars 14 to 18 because the
repetition of pitch-class eN in the second and third chords, and
pitch-class G in the fourth and fifth chords, removes the possibility
of establishing two independent twelve-note collections.) In
conventional terms these entities could be referred to as secondary or
derivative note-rows, suggesting that bars 14 to 18 of Op.33a, the
second theme of this work (as Perle sees it), can be understood as the
culmination and purification of the preceding P-O/I-5 note-row
combinations.

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 Delineation and association by non-identity are not limited to
atonal or post-tonal music. Leonard Meyer's concept of 'gap-filling'
(Meyer, 1973], considered as part of the implication-realization
process, suggests that non-identity is also a significant factor in
tonal melodic construction, although the extent to which Meyer's
theory of melodic construction in general is equivalent to, or
consistent with, a metatheoretical perspective must remain an issue
beyond the scope of the present thesis.

Ex. 29, Beethoven: Piano Sonata Op.2, No. 1/11 (bars 1-5).

However, the melodic analysis of the opening bars of Beethoven's

Piano Sonata Op.2, No. 1111 provides a particular illustration of both
the similarity and difference between Meyer's analytical techniques
and an analysis in terms of delineation and association by non-
identity. For the sake of simplicity and directness the first melodic
analysis, presented in Ex.29(b), has been presented at the third
structural level, even though structural levels have not yet been
considered in any great detail. To facilitate the demonstration of
logical procedures, EX.29(c) presents the same analysis at the second
structural level, that is, before the pitch repetitions have been
removed by delineation and the non-structural notes in bar removed
by a pitch-simplification process (indicated by the dashed slur
symbol) related to the location of structural nodes and divisions.
The latter simplification is partly dependant on harmonic criteria
that are not shown as part of the analysis. Note also that the
associations of the second level can become delineations at the third
level due to the process of pitch simplification. If the Op.2 sonata
is to be interpreted in terms of the concept of gap-filling then it is
necessary to consider the nature of the tonal space within which the

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melody lies. In a way that mirrors the note-row as a poietic entity.
the delineation and association of a tonal melody by non-identity
takes place against a poietic background of diatonic scale
construction. It is this diatonic pitch-space that determines the
extent to which an intervallic gap opened up as part of a melodic line
can be said to have been filled. Specifically. the diatonic scale
associated with a melodic line represents the minimum condition for
gap-filling. Hence, the first delineation by non-identity in Ex.29(b)
embraces a gap that is only partially filled by a diatonic linear
descent. In all respects apart from the choice of notation this gap-
fill is consistent with Meyer's technique: the metatheory presents the
general case of which Ex. 29(b) is a specific instance. The second
delineation contains a linear ascent as part of the same structural
group that includes the gap of a perfect fifth and and its subsequent
complete filling by a diatonic linear descent. The inclusion of the
linear ascent is a slight departure from a conventional Meyer
analysis, but the two perspectives remain substantially consistent.
The final delineation by non-identity, consisting of a linear ascent
with additional chromatic interjections (that go beyond the minimum
requirement for the filling of a tonal pitch-space), is only partially
significant on Meyer'S terms. It could be considered as an ascending
gap-fill of the perfect fifth from G4 to C4 but this possibility
relies on a structurally weak connection between the end of one phrase
and the beginning of another.
The question central to pOietic/neutral level interactions of the
above type concerns which criteria should be used to determine the
exact nature of the pitch-space included as part of the poietic
dimension. Extremes of pitch organisation such as Schoenberg's Op.33a
and 8eet~oven's Op.2, No. 1/11 mask the true complexity of this
question. Clearly the pitch-space will be derived, in part, by a

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consideration of the musical text, but a knowledge of the
compositional method might also prove to be a significant determining
factor. Hence, to choose a different example, Messiaen's modes of
limited transposition would be an essential poietic fact in the
analysis of his music for the purposes of establishing potential
pitch-spaces, irrespective of the extent to which they can be derived
in their entirety from the consideration of a particular Messiaen
score.

8.4- Interval

If the delineation of pitch by identity is of limited scope then the

delineation of a succession of intervals by identity is only
marginally more wideranging. One of the most significant applications
arises in the context of diatonic stepwise motion and is therefore
closely related to the previous discussion of pitch-spaces. Indeed,
to retreat even further back into this thesis, the analysis of the
aria'Ich will dir mein Henze schenken' (Ex. 18) made specific
reference to the importance of a horizontal poietic/esthesic
equivalence between the major and minor second in a tonal setting if
linear descents or ascents (through pitch-spaces) are to be connected
as part of a single group. Hence, the study of diatonic identities
and non-identities can have a considerable bearing on the possible
breakdown of such intervallic equivalences.

Ex. 30, Debussy: Pr~lude Ii l'lJpres-midi d' un {lJune.

In a purely neutral context, but remaining within the purview of scale

construction, the extensive use of sections of either the wholetone or

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chromatic scales leads to the delineation of interval content by
identity. In bars 30 to 37 of ~'~pres-midi Debussy resolves the
work's opening diatonic theme into its principal constituent
intervals: the semitone and the wholetone. Of the four intervallic
delineations formed in this passage, two are elided (the first elision
centres on the F4 at the beginning of bar 32 and the second on the Ab4
at the beginning of bar 35), enabling the disjunct delineations to be
reserved for the purpose of establishing a connection with the opening
theme or, alter-natively, the introduction of a new theme. Hence,
references to the initial theme commence at bars 31 and 34, whilst the
lack of interval1ic elision at bar 37 is coincident with the emergence
of the new oboe melody out of the preceding disintegrative process.
These disjunct boundaries are further reinforced by changes in other
components. In the case of the new melody at bar 37 the structural
node is confirmed by the change in timbre (from flute to oboe). More
subtly, the structural node at bar 34 is enhanced by the accented
attack of the clarinet and, of course, the relatively long duration of
the Bb. (The change in timbre from flute to clarinet is less
significant since clarinet/flute interchanges have been a frequent
feature of this passage. )

Ex.31, Elliott Carter: String Quartet No.2 (bars 21-23).

The delineation of interval content by identity can also be a

significant structural feature without any reference to a pitch-space.
Carter's String Quartet No.2, in common with all his later works, is a
rich source of many varied interval1ic configurations. Carter's
String Quartet No.2 is particularly interesting in this respect since,
as Carter has written of it: 'Here the four instruments are stratified
according to their repertoire of intervals, their repertoire of

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rhythms and their repertoire of musical gestures' [Carter, 1977: 247].
In fact, for the purposes of the quartet's Introduction, each interval
can be associated either with a particular instrument, becoming
characteristic of that instrument, or else with a connective role
between two characteristic intervals. Hence, i3 and i7 are associated
with the first violinj i4, i9 and ill with the second violin; i6 and
110 with the violaj and, finally, i5 and i8 with the 'cello. The
remaining intervals less than an octave, i1 and i2,function as
connective intervals such that any two consecutive characteristic
intervals will contain at least two pitches, one per interval,
separated by an interval of either i1 or i2 (if it is not already
connected by a characteristic interval appropriate to that
instrument). The only exception to this rule (which, in any case,
only holds true for the Introduction of the quartet) arises if a
silence separates two characteristic intervals, even if that silence
is restricted to one instrumental part, 1n which case any interval may
be used in a connective role. A consequence of this intervallic
organization is that the third and fourth structural levels of the
Introduction are dominated by intervals delineated by identity.
Ex. 31(b) contains an extract from the Introduction that consists
entirely of intervallic delineations by identity at the fourth level.
(The first structural level consists of fundamental entities, in this
case based on pitch. At the second structural level many of these
pitches can be conjoined to form dyads associated or delineated by
identity. Most of the dyads that are associated at this second level
become delineated at the third structural level. Hence, the existence
of the dyads as entities in EX.31{b) is established at the second
structural level by a combination of simultaneity and proximity, both
of which help to override the interpolation of connective intervals.
The third structural level associates these identical dyads, passing

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over the intervening non-identical dyads and a separation of the
texture into four parts leads to the fourth level.) The extract
analysed in EX.31(b) and (c) is taken from a passage that begins in
bar 19 and ends at the end of bar 29. The isolation of the extract is
justified by its dynamic contrast with the surrounding music. Taken
as a whole, this passage departs significantly from the rest of the
Introduction in terms of the overall pitch organisation: only the
horizontal distribution of characteristic intervals is retained. The
expansion of pitch register and the absence of important pitch
processes and simultaneities from the preceding section (some of which
will be considered at a later stage) both contribute to the strong
sense of contrast effected by this passage. EX.31(c) demonstrates one
possible understanding of the passage's pitch organization using the
delineation of interval content by non-identity at the third
structural level, a procedure that has played no substantial role
until this point of the Introduction. <In contrast to Ex. 31 (b), this
procedure is not interrupted by the interpolation of, in this case,
identical dyads and so it can be effected at the third, rather than
the fourth, structural level; although the structure remains valid at
the fourth level). The intervallic configuration produced is made all
the more credible by the symmetry of its delineation magnitudes:
2,3,4,3 and 2 dyads for the successive delineations. Collectively,
the analyses contained in Ex.31(b) and (c) show that bars 21-23
manifest an explicit intervallic tension between identity and non-
identity, represented by the individual instrumental lines and the
Quartet's composite texture respectively, a tension that only existed
implicitly in the bars leading up to this extract.
To my knowledge, no composer's commentary or manual on
composition has explored the possibility of basing compositional
techniques on the association of intervals by non-identity, although

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it is possible to imagine a kind of interval-row that functions
analogously to a note-row which would certainly require the use of
this concept. However, the association of intervals by identity is
immediately applicable to the analysis of many musical languages. The
previous extract from the Carter quartet, Ex.31(b), if presented at
the third structural level (involving the analysis of the intervallic
configurations of the composite texture before it has been divided
into its individual instrumental parts), rather than the fourth, would
have been expressed in terms of the association rather than the
delineation of intervals by identity.

Ex. 32, Beethoven: Piano Variations Op.34.

If the structural reductions of the theme and its successive

variations from Beethoven's Piano Variations Op.34 are continued
beyond the usual end pOint of the Ursatz, then only the tonic notes of
each section remain in the bass line. The exact pathway to this
bottom line is not important to the present example (a more complete
analysis of the theme is presented in Chapter Nine); suffice it to say
that the derivation of the tonic note depends essentially on the
identities between the repeated bass notes in the opening bars of each
theme or variation, shown in Ex. 32(a), and their subsequent
appearances at the end of their respective sections. Alternatively,
arguing from the basis of the Ursatz, the I-V-I pattern can be further
simplified, in accordance with Axiom 7, to leave only the tonic triad
from which a work is said to unfold. Although the intricate logic of
this process militates against a detailed presentation, at least for
the present, the end result is simply that the tonic notes of the
theme and variations ant produced. EX.32(b) expresses some of these
tonic notes in terms of their octave equivalent pitch-classes and so

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the intervals labelled in the example should be read as interval-
classes. If the succession of bass notes is considered in terms of
the neutral level, then an interval configuration involving
association by identity is produced. Understood poietically, with the
bass notes situated in the context of two tonal pitch-spaces
<F,E,D,C,Bb,A,G and, since Eb is not contained within this pitch-
space, Bb,A,G,F,Eb,D,C>, ic3 and ic4 might be considered as
equivalent, in which case the interval-classes in Ex. 32(b) could be
delineated by ,equivalence within the poietic dimension i.e. the tonic
of each successive variation descends by a third. However, the
particularly interesting observation concerning the large scale
organization of this set of variations is the symmetry in the
separation of its tonal centres at the neutral level (ic3, ic4, ic3,
ic4, ic3) which - even though it is derived from the addition of two
contrary motions around the circle of fifths, starting from position F
(i.e. F, Bb, Eb and F, C, G) - produces a hairline crack in the mould
of tonality.

8.5 Contour

Schoenberg has observed that the contour or 'shape' of a motive can be

sufficient on its own to signify a previously instigated motive, even
though 'the rhythmic treatment and intervals change' (Schoenberg,
1970: 9]. The immediate relevance of this observation is to the
formation of entities by contour identities, but it also points to the
importance of contour as an indicator of structural significance in
general. The component of contour is unlike other musical components
in that it can be described in terms of a simple ternary formula: a
note may move either up, down or remain at the same level relative to

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a given note. This compares with a potentially infinite number of
pitches, intervals, durations and timbres etc. Considered on a larger
scale than that of successive pitches, contour analysis can also
include the maximum and minimum pOints of various linear structures
(notated as A and v respectively> into account as potentially
significant events, whether at surface or deeper structural levels. I

At surface levels pitch maxima and minima necessarily frame contour

delineations based on identity since every delineation boundary of
this kind is either a pitch maximum or minimum, depending on whether
the contour delineated is ascending or descending. This very basic
contour typology has a number of important ramifications concerning
the structural configurations available to contour analysis.
Specifically, the intrinsic limitations governing contour evolutions
translate directly into a restricted range of structures based on non-
identity: three contour types do not constitute a broad enough basis
for the generation of extensive contrasts. Consequently, delineation
and association are only significant for contour patterns if based on
identity. A second corollary of the above typology relates to the
conjoining of contour maxima and minima. These are necessarily
limited to connection by association since two (or more) successive
maxima or mimina are not logically possible.
Contour extremes are frequently invoked as a means of either
determining or differentiating structurally important pitches. The
differentiation between pedal notes and melodic notes in the extract
from the Gigue of Bach's Suite No.3 for solo 'cello, Ex. 13, is clearly
further enhanced by an analysis of its overall contour pattern, namely

lSee [Adams, 1976] for a taxonomy of contour patterns based on contour

maxima and minima.

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a succession of alternate maxima and minima. Furthermore, the
isolation of poietically significant triads in Tippett's Sonata No.3,
such as the augmented triad in Ex.21(d), coincides with a contour
minima in the arpeggio-type figure of the opposing hand. Hence, in
this instance, the contour minimum is used to highlight or even expose
an aspect of the composite texture, as well as to suggest a potential
significance for its corresponding pitch.

Ex. 33, C,hopin: Etude Op.l0, No.1. (bars 1-9, 23-47, 69-76)

For an extreme manifestation of the structural possibilities of

contour patterns there can be few more comprehensive examples than
Chopin's Etude Op. 10, No.1. EX.33(b) contains a complete contour
analysis of the first surface level arpeggiation, an arpeggio-figure
that is sustained, against a regularly changing harmonic background,
for the whole of the etude. In this example, maximum and minimum
symbols are used to highlight the end-pOints of the contour
delineations which, as explained above, are necessarily based on
identity. By associating these maxima and minima the graph on the
upper stave of Ex. 33(c) is produced; a simplified version of which,
based on the mean octave register, is presented on the lower stave.
<This simplification is consistent with the later aspects of
metatheoretical logic.) The first point to note about the progression
of the two contour extremes is that they are engaged in a self-
contained contrapuntal dialogue, a dialogue that is maintained
throughout the etude with only occasional lapses in self-sufficiency
(such as the unresolved perfect fourth at bar 23, a bar in which the
contrapuntal logic is not contained in the contour patterns). The
line of contour maxima, E,F,E,D and/or DI, recurs several times in the
course of this etude and is central to Schenker's analysis of the

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piece in terms of a ~,~, t fundamental line with F and 0/0# being
explained as upper and lower neighbour notes [Schenker, 1979:
Fig. 130(b)]. The only other significant linear pattern in this etude,
which does not appear in Schenker's analysis, is given in Ex. 33(d).
The contour delineations contained in this example make no distinction
between tone/semitone descents and so the delineation of interval
content has also been included. That the chromatic descent continues
from G as far as the next B below it is significant in the light of
the second, harmonically intensified, appearance of this delineation
at bars 69-76 since the repeated descent is terminated on B which,
functioning as the leading note, rises to C, thereby effecting
closure. Hence, the nine-note chromatic descent functions as a
structural entity in isolation from the contour delineation that
continues beyond it.

Ex. 34, Elliott Carter: String Quartet No.2. (bars 1-21).

The complex texture of Carter's String Quartet No.2 presents a

number of problems to the analysis of its contour patterns. Before
any such analysis can be undertaken it is necessary to untangle the
web of overlapping parts, which will involve the consideration of
components such as timbre, and to decide exactly which contours are to
be analysed. The top stave of Ex. 34{b) presents one possible set of
pitch-lines derived from the highest (stems up> and lowest (stems
down) sounding notes at anyone time. When an instrument is sounding
alone and in monotones it is, of course, playing both the highest and
the lowest notes (no stem). If this latter category of note is
sustained until it forms a simultaneity then, in most cases, only its
final simultaneous state has been represented as part of the pitch-
line, a procedure that is also adopted for the reverse order of states

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(from simultaneity to monotone). Apart from this treatment of the
string quartet as a single, entity. albeit one that is subsequently
subdivided into three parts, it is also valid to adopt a methodology
that considers the instruments in isolation from one another.
Since the three categories of pitch-line distinguished in Ex. 34
constitute separate entity types they have been analysed separately in
the accompanying graph. The top stave of the graph contains an
analysis of the upper pitch-line and some of the monotones, whilst the
bottom stave analyses the lower pitch-line and the remaining monotones
<provided they can be delineated by contour identities). The
connection of monotones by delineation to either the upper or lower
pitch-lines is determined largely by either timbral continuities or
proximity relations. Hence, the contour delineation of B3, C4, D4 and
FI4 on the lower stave of bars 4 to 5, all of which are timbrally
distinct, depends on the proximity of these pitches to one another
compared with their surrounding pitches, whereas the inclusion of E4
as part of the contour delineation Bb3, B3, E4 on the lower stave of
bar 9 depends on the timbral continuity of these notes (the 'cello A-
string). Other monotones connected in this latter way include FI4
and C5 in bars 12 to 13 (i.e. Bb3, F4, F14, C5. C#5) and F4 in bar 14
(i.e. F4, G4, DbS). Incidentally. the CI5 in bar 13 is one instance
of a note whose two states, one as a monotone and the other as a
simultaneity. need to be taken into account in order to allow for the
note's dual role as an element of both the upper and lower pitch-
lines. The use of maxima and minima symbols in this example differs
from their application to the Chopin etude in that they function as an
indicator of the overall progression of the pitch maxima and minima.
In the case of the upper pitch-line this usage of the symbols results
in the association of pitches forming a chromatic series from A4 to
C15. Significantly. these pitches are also integral to the contour

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delineations of the upper pitch-line: A4 is the head note of the
descending contour delineation in bar 1; Bb4 and B4 are the
consecutive tail-end notes of the ascending contour delineation in
bars 3 to 4 and, in reverse order, the first two consecutive notes of
both the elided descending contour delineation in bar 4 and the
disjunct descending contour delineation in bar 5; C5 and CIS are the
consecutive tail-end notes of the ascending contour delineation in
bar 6. Thereafter, as far as bar 17, CIS or Db5 are either the head
notes or tail notes of the ascending/descending contour delineations.
The lower pitch-line commences with its lowest pitch, Bb3, and rises
to Db4 from which it descends chromatically back to 8b3 in bar 8, a
pitch that is identified with the head and tail notes of successive
contour delineations, with the exception of 83 in bars 15 and 16, as
far as bar 17. Similarly, each chromatic descent in the lower pitch-
line coincides with either the head or tail notes of one of the three
types of contour delineation.
In addition to the contour patterns presented in Ex. 34(b) a
number of entities have been defined by contour/pitch/interval
identities: bars 3 to 4; bars 8 to 9; bars 15 to 16 and bars 16 to 18.
These entities are important since they help to include some of the
pitches in the upper and lower pitch-lines that are not otherwise an
integral part of the contour patterns. This inclusion is achieved by
connecting the entities thus formed to their surrounding contour
delineations. Hence the G4 to CI5 motion in the upper pitch line in
bars 16 to 17 is understood as a prefiguring of the ascending contour
delineation that begins in bar 17.
The intricacies of Ex. 34(b) have been simplified in Ex.34(c) by
notating only the contour maxima/minima in the upper pitch-line and
the chromatically descending head/tail notes of the lower pitch-line.
This simplification is in accord with later aspects of the metatheory.

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Additionally. notes that are not integral to the above contour
analysis have been indicated using black notes. The resulting graph
constitutes a middleground contour analysis, although other closely
related components have also been included in the graph to facilitate
a structural overview of the Introduction. Strictly. some of the
delineations marked should not appear until even deeper structural
levels, but they have been prematurely notated in order to enable
comparisons with other configurations that would be absent at later
stages. 1

In the context of the remainder of this string quartet's

Introduction the significance of Bb3 and C15/Db5 does not re-emerge
until bar 29, after the registral expansion that commenced in bar 17
has ceased. The middleground structure of the intervening section
operates on a completely different logical basis, part of which was
considered in Ex.31, although many basic structural questions still
remain unanswered.

lThe resulting analysis can be compared favourably with David Harvey's

analysis of the Introduction, although there are important differences
in the details of Ex. 34. See [Harvey, 1989: 253]).

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8.6 Tempo

The concept of identical tempi is largely inapplicable to music

analysis beyond the basic level of constancy in the manner of tempo
continuation (an elementary example of tempo delineation by identity),
In its very nature, the tempo of a passage is an approximate or even,
from performance to performance, a variable quantity in a way that,
for instance, pitch tuning is not. Indeed, the fickleness of
composers in general when it comes to settling questions of tempo is
well known. Brahms' impression stated in a letter to the
singer/conductor George Henschel that 'As far as my experience goes
every composer who has given metronome marks has sooner or later
withdrawn them' [quoted in Scholes, 1978: 635] cannot be dismissed on
the basis of unreliable metronomes alone. Of course, with the advent
of electronic music precise, and hence identical, tempi have become a
performance possibility. In general, however, identity remains an
abstract ideal that does not translate into practice. More germane to
the structural role of tempo is the concept of close proximity,
particularly in the form that tends towards identity; that is, tempo
similarity. It is this special case of proximity that forms the basis
of the following discussion, even if a musical text appears to support
the use of the term identity.
It has been argued in this thesis that the neutral level of a
musical text can be extended using the invariant quantities of a text
that are measurable in a performance. If this is the case, then any
logical distinction between the components of tempo and duration (or
onset) is purely semantic since the effect of a tempo change is only
measurable in as much as it alters the duration values of notes.
Nevertheless, certain aspects of musical organization are made clearer
if a distinction is kept between notated duration, independent of any

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tempo markings, and actual duration, derived in relation to the tempo
markings. A number of examples demonstrate this point.

Ex. 35, Elliott Carter: String Quartet No. 211.

(bars 36, 58-60, 65, 75-76).

The first of these examples draws on Elliott Carter's important

technique of tempo modulation or, as it is usually referred to,
'metric modulation' [Carter, 1977: 203].' (It will be suggested in

the following discussion that a meaningful distinction can be made

between these two terms. > If the most frequent type of tempo
delineation by identity is simply the continuation of an already
established tempo, as mentioned above, then tempo modulation is the
most widespread example of tempo delineation by non-identity, at least
within single movements (tempo non-identities will also be seen to be
significant in multi-movement works>, Carter exploits such tempo non-
identities and their interplay with duration values as a means of
effecting a continuity between notationally different durations, and
it is for this reason that these non-identities are structurally
significant, Hence, the actual duration of the semiquaver quintuplet
in bar 58 is equal to that of the semiquaver in bar 59. The end
result is, of course, much more than a notational convenience: the
basic underlying duration has been proportionally decreased, leading
to an intensification of the tempo, an intensification that i6

'More recently, David Schiff has claimed that Carter prefers the term
'tempo modulation' to 'metrical modulation', since the latter term' is
slightly misleading, because the metre does not really change - since
there is· no metre' (Schiff, 1983: 26],

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realized in the transformation of the smallest durational division
from O. lOT' in the; = 112 section, 1. e. a semiquaver quintuplet such
as at bar 36, to 0.067" in the D· = 112 sect ion, 1. e. the demi-
semiquaver dot value on a se~iquaver. such as bar 65 (even though
notes with demisemiquaver durations do not appear). Whilst it seems
appropriate to refer to this type of transformation as a tempo
modulation, the next tempo change, to J = 140 in bar 75, i.e. 5/4 x l12,
is more of a metric re-alignment and is perhaps better described as a
metric modulation, even though it still contributes to the ongoing
intensification of tempo, as evidenced by the semi quaver quintuplets
in bar 76 (which have a duration of 0.086"). This latter tempo change
is a simple example of one entity being a function of another entity,
i.e. Em = f{e n ); specifically, Em ~ En' If the constant of
proportionality is a simple fraction related to a durational value
from one of the tempo regions, such as 5/4 in the last example, then
the tempo change is likely to be a structurally significant event.

Ex. 36, Beethoven: Piano Sonata Op. 101IIII (bars 1-2, 21-22)

The reliability of Beethoven's metronome markings as tempo

indicators remains a subject of fierce debate. However, specific
numerical quantities are by no means essential for the comparison of
Beethoven tempi: many of the tempo markings within his piano sonatas,
for instance, are self-referential. The instruction to play the theme
from the first movement of Op. 101 Tempo del primo pezzo when it re-
appears at bar 21 of the third movement, a reference that necessarily
affects the interpretation of the third movement, is a case in pOint.
Taken as a whole, this citation of earlier material suggests that
although the third movement is to be played Langsam und sehnsuchtsvoll
(slowly and full of longing), nevertheless it should somehow manage to

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coexist with the spirit of the first movement which is to be played
Etw~s lebh~ft und mit der innigsten Empfindung (a little lively and
with deepest feeling). A comparison of the pitch and contour patterns
at the beginning of the first and third movements (although the bar
numbers in Ex. 36 refer to the third movement) tends to support this
interpretation: the initial melody and bass notes of the two movements
are related by an E/G# voice exchange; and the contour extremes of the
thematic lines (disregarding the notes of the turn in the third
movement and the final notes in each of the second bars, which can
both be connected to the ensuing material) are both separated by an
interval of a minor sixth. The association of the tempi (by identity
or, in practice, similarity relative to the tempo at the beginning of
the third movement) is crucial to the above interpretation since if
the tempo of the transplanted theme had been continuous with the rest
of the third movement then the effect would have been one of nostalgic
sentimentality rather than emotional duality, a duality that is
arguably resolved in the Entschlossenheit (determination) of the final
movement.
The most widespread example of tempo associations by identity
arises from the internal definition of tempi such as that contained in
the instruction to play Tempo I. The first movement of Beethoven's
Piano Sonata Op. 109 provides one example of this internal tempo
referencing, consisting of tempo alternations between Viv~ce m~ non
troppo (Tempo I) and Ad~g10 espresslv~ Although the comparison of
two different sections is achieved by association, each one of these
sections also constitutes a tempo delineation by identity and, in
common with the previous example, exhibits a clear correspondence
between tempo and thematic/textural content. In other words, tempo is
operating at the level of musical form. Indeed, the component of
tempo operates at this level in many types of music, it 1s only the

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scale of the formal division that varies - a point that will be
expanded shortly.
Tempo is also able to function without such explicit
correspondences to other prominent musical components. The third and
final section (bars 29-34) of the Introduction to Elliott Carter's
String Quartet No.2, for instance, suddenly reduces to a tempo
of J = 112 after a middle section (bars 11-28) tempo of J = 140 and an
opening tempo of J =105. Hence the tempi of the outer sections of the
Introduction are in closer proximity to one another than they are to
the middle section and can therefore be associated by proximity. This
association of tempi does not correspond to any thematic or texturally
similar ideas between the outer sections (apart from the interval11c
similarities that are shared with the middle section and are therefore
not significant in this context), but the change to a tempo similar to
that which began the quartet does coincide with the re-emergence of
the structural CIS mentioned in Ex. 34. This kind of association
effects a closure of type II, a closure that is particularly prevalent
in large scale tempo relationships and merits a brief diversion, if
only at the level of genre.
An important application of these large scale tempo closures is
to the study of multi-movement works. The evolution of the overture
as an introduction to an opera, from a fanfare such as the one that
begins Monteverdi's Orfeo to an integral part of an opera's dramatic
unfolding, is particularly interesting in this respect; although the
same arguments can also be applied to the study of the classical
symphony and other large scale classical forms. The tempo structures
of late 17th or early 18th century overtures were such that they
contributed to the overall separation of the overture from the ensuing
drama by. effecting large scale temporal closure. Hence, both the
Italian Overture, with its symmetrical quick/slow/quick succession of

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movements, and to a lesser extent the French Overture, with its
slow/quick/optional slow dance (or a repeat of part or all of the
first movement), ensured a clear distinction between the introductory
music and the opera proper. The lesser efficacy of the French
Overture to effect this separation perhaps contributed to its relative
decline and the consequent dominance, even in France, of the Italian
type towards the middle of the 18th century. Two questions for
further research concern the extent to which the relative proximity of
tempi in the outer movements of these early overtures, assessed
qualitatively, changes as the evolution of opera heads towards the
innovations introduced by Gluck in his later operas and, secondly, the
evolution in the degree of correspondence between tempo closure and
harmonic closure (by identity) over the same historical period.
This consideration of the structural implications of tempo is
independent of historical context and can be immediately translated
into a more contemporary setting. When the interplay between
contrasting and similar tempi is diminished by a concentration on
either contrast or similarity then the possibility of temporal closure
is also diminished. Compositions such as Boulez' Third Piano Sonata
or Stockhausen's Piano Piece XI exemplify the paradox of a temporal
uniformity that arises from a constantly changing tempo, a paradox
that underlies the concept of delineation by non-identity whatever the
musical component being considered. Piano Piece XI, consisting of
nineteen segments - a varying number of which are to be played in a
random order according to certain simple rules - provides a rare
example of both an extensive tempo delineation by non-identity and,
potentially, an association of tempi by non-identity. Since the tempo
changes in this piece, chosen from a scale of six possible changes,
coincide with the beginning of each new segment and the segments are
randomly ordered, then the exact form of these configurations changes

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from one performance to the next. Piano Piece XI represents an
extreme development of tempo non-identities as a means of contributing
to the creation of open structures whilst nevertheless maintaining a
cohesive whole (hence the delineation by non-identity), an evolution
from movement form to moment form.

8.7 Duration and Onset

The components of duration and onset of pitch attack are so intimately

related that they can be considered together. There are many
instances in which they are structurally equivalent, but it still
remains important to maintain a distinction between them if
significant analytical insights are not to be missed.

Ex. 37, Stravinsky: Concerto for Piano and Wind Instruments/II .

(figs. 53 & 54).

The technique of superimposing different duration patterns in

order to create periodic composite rhythmic structures is a common
feature of StraVinsky's music. Many examples of this technique can be
found in The Rite of Sprin& (the 'Procession of the Sage', for
example), but Figures 53 and 54 of Stravinsky's Concerto for Piano
and Wind Instruments contain a particularly concise example of this
rhythmic structure. Figure 53, analysed in Ex.37(b), introduces the
idea of a duration pattern in the piano's melodic line, specifically a
series of different duration delineations by identity. The
delineation grouping is indicated beneath the note heads whilst the
actual duration values are notated by the stems above the note heads.
Although only the melodic line contains such duration patterns, the

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piano's composite rhythm (which involves the addition of the two
remaining piano lines) consists of a continuous onset value of a
semi quaver, with each of the two lower lines contributing to the
filling of the temporal gaps in the melody. Having introduced the
idea of a duration pattern, Stravinsky superimposes three different
duration patterns at figure 54, analysed in Ex. 37(c), to create a
periodic rhythmic structure. This periodicity is revealed by
considering the onsets of identical-pitch attacks and is therefore a
third level structure. The onset values consist of: a minim for
the cor anglaisj a dotted crotchet for the top piano line and a
crotchet for the piano's bass line i.e. an overall onset ratio of
4:3:2. The oboe is also included in ~his pattern for the first cycle
(bars 1-3), which ends when all three rhythmic parts are brought back
into their original vertical alignment (indicated by the association
of simultaneities), but departs from the process thereafter (bars 4-
8). Hence, in figure 54 an important distinction between duration and
onset is demonstrated. An analysis of the duration patterns would
only have yielded an association between the first dotted crotchet
oboe note of each bar (which is, in itself, a significant contribution
to the overall rhythmic design): the remaining three musical lines all
consist of a series of quaver durations and so no periodiC motion
could have been uncovered by an analYSis of their duration patterns.

Ex. 38, Tippett: Piano Sonata No.4/III (bars 1-17).

Schoenberg has observed that 'The smallest notes in any segment

of a piece ... have an influence on the continuation ... Thus, if in the
beginning only one sixteenth note is used, very soon an increasing
number will appear' (Schoenberg, 1970: 27]. This 'tendency of the
smallest notes' is revealed by the delineation of identical durations.
A particularly interesting example of this process is found in the
final movement of Tippett's Pi.ano Sonata No. 4-. The final occurrence
of the theme's first phrase at the end of the theme itself, beginning
at bar 14-. demonstrates the gradual domination of the duration values
by the semi quaver (the smallest value in the opening phrase).
However, the extract analysed in Ex. 38(b) is in some ways even more
illuminating since it suggests the possibility that this tendency
towards the smallest duration can act analogously to Meyer's gap-fill
process. An initial temporal interval of a dotted quaver between the
first and second notes. subsequently repeated (leading to a definition
of that unit as an entity). functions as a temporal 'gap'. The
minimum content of the temporal space is established by the smallest
duration. in this case a semi quaver. Hence, after a series of partial
gap-fills. a consecutive run of semiquavers in the second half of
bar 3 successfully fills the initial temporal gap.
This analysis lends support to Paul Crossley's comments on the
last movement of this sonata. comparing aspects of its formal design
to the final movement of Beethoven's Piano Sonata Op. 109 [Crossley.
1985]. The analysis of the final variation of Op.109 presented in
Ex. 23 demonstrated a process of systematically measured acceleration.
a division of time characterized by increaSingly smaller durations.
Although there are important differences between the filling of a
temporal space of the kind suggested for Tippett's theme and
Beethoven's measured acceleration, both processes nevertheless share
the end result of an intensified, but ultimately unchanged. tempo.

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 Ex. 39, Messiaen: Mode de valeurs et d'lntensltes
(bars 1-16, 24-28 & 103-107).

Messiaen's well known criticism of the second Viennese school's

preoccupation with pitch organization culminated in the composition of
Mode de valeurs et d'lntensltes with its modalization (rather than
serialization) of pitch, duration and intensity values although, as
Robert Sherlaw Johnson has observed, this was not Messiaen's first
attempt at using a series of durations: both the Turangall1a-Symphonle
and Vlngt Regards had already made use of a 'chromatic' series of
durations [Johnson, 1975: 941. In common with its rhythmic
precedents, Mode de valeurs is constructed out of three chromatic
series of durations (in demisemiquaver, semi quaver and quaver steps),
each duration being associated with a particular pitch and intensity.
(The three modes are set out at the beginning of the composition. )
Since each series contains twelve different duration values, some of
which are necessarily common to more than one mode, the opportunity
for extensive delineations of dUration and onset by non-identity is
considerable. Mode de valeurs only uses complete modes on eight
occasions [Johnson, 1975: 108], two of which are shown in Ex. 39(bi. A
number of conclusions can be drawn from this analysis of duration and
onset if it is extended to include the whole of the work. First ly,
duration and onset function equivalently within particular modes.
This equivalence is seen by Johnson as a limitation in the
compositional technique, as indicated by his use of the term
'effective duration' rather than onset, a usage in line with the kind
of duration series envisaged by Messiaen, namely the duration between
the attack pOints of pitches [: 106-7]. In general this equivalence
between duration and onset is not valid: even within Mode de valeur it
is possible to consider the onset patterns of the composite rhythmic

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structure, if only to show that this was not a dimension of the
composition that Messiaen treated in the same way as the three
individual, and often only pOietically distinct, lines. (The
composite onset pattern of the first five bars, shown in Ex.39(c),
cannot be related to any of the three modes although there is evidence
of a complex series of onset patterns.)
A combination of the delineation and association of identical
duration and onset values can be used to study an aspect of the
relationship between the pOietic and neutral dimensions of Mode de
vBleur~ namely the extent to which the modes underlying the
compositional technique can be derived from the text alone. The
criterion for the definition of one of the modes from the musical text
is that every onset value must be associated with an identical value
at some later point in the text. Because of the duplication of onset
values between the modes (mentioned above), the component of duration
is not a sufficient means for establishing anyone of the modes. Only
a combined association with either pitch (not pitch-class) or dynamic
level can determine one of the modes. By first defining two entities
using a combination of the delineation and association by non-identity
of both pitch and duration and then, secondly, associating the multi-
element entities thereby formed, it is possible to determine the modes
from the text. In this way the first mode is established by bar 16,
after a considerable delay in the second appearance of F5 (as part of
the second entity>, as demonstrated in Ex. 39(d). In addition to
deducing the underlying modes of this composition, the above technique
also confirms the absence of any strict serial procedures or, indeed,
any kind of serialism at all. Instead, only a gestural form of
motivicism is demonstrated in this piece, notably the quasi-motivic
use of the first few notes of mode I: it was not until Boulez composed
the first of his Structures for two pianos that this mode, along with

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 its dynamic markings and a more flexible series of duration values,
was used as the basis for strict serial processes .

. 8.8 Timbre

Any consideration of timbre that does not involve a detailed

acoustical analysis of sound but at the same time aspires to a neutral
level status 1s bound to be limited, not to say elementary. In
practice, a structural analysis involving timbre is mostly pursued on
the basis of the proximity conditions presented in Chapter Four; hence
timbral analysis is conducted in terms of relative similarity.
Some aspects of timbre as a structural determinant are so bound
up with musical convention and expectation that they rarely attract
comment at all. The frequently conterminous correlation between
timbre and thematic content in classic-romantic music, itself a basic
example of timbral delineation by identity, is a case in point. This
correlation often becomes a vehicle for the transfer of motivic or
thematic material as part of an ongoing structural process, such as a
harmonic sequence: motives are transferred from one instrument to
another as a means of delineating the extent and possibly changed form
of the motive. Even moving into the early years of the twentieth
century, as long as music remained preoccupied with motivic/thematic
content then the role of timbre at the surface level of music
frequently performed this supportive function. Of course, at the
deeper levels of tonality it could be argued that timbre sometimes
distinguishes the structurally significant events from the more
superficial ones (which is not to say that these latter events are any
less important in terms of poietic and esthesic criteria), David
Epstein interprets Schenker's analyses 1n this way by claiming that

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Schenker 'realized that weight and textural definition by
instrumentation were not matters of chance or intuition, but that they
explicitly served to emphasize features of structure' [Epstein,
1979:8]. However, for particularly clear examples of the detailed
manipulation of timbre as an independent structural force it is
necessary to refer once again to compositions with leanings towards
serialism. Schoenberg's 'Farben' from Five Pieces for Orchestra
Op. 16, though not a serial work, is a composi Hon clearly st ruct ured
in terms of timbral identities and non-identities that are largely
independent of motivic content, an aspect of the work that has already
received much attention elsewhere. S Significantly, although the
vertical sonority undergoes successive transformations in 'colour' at
regular intervals, there remains a certain uniformity or consistency
in the manner of these changes due to the overlapping of the
constituent timbral elements.

Ex. 40, Boulez: 'Avant L'Artissnt furieux (bars 1-15, 42-46) and
'Commentaire I de Bourreaux de soli tude' (bars 6-9)
from Lemt5rtesu ssnsmBitre.

On a smaller scale, Boulez's Le martet5u st5ns maitre exhibits

timbral non-identities as part of a musical style, rather than, as
with 'Farben', an isolated experiment with instrumental colours. The
excerpt analysed in EX.40(b) contrasts with the preceding opening ten
bars in that not only is the vertical composite timbre in a constant
state of flux,but the horizontal elements are also severely

S See, for example, [Craft, 1968]

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fragmented. It is this aspect of linear fragmentation that sets the
timbral organization of Le marteau apart from pieces dominated by the
delineation of timbre by identity. Even a composition such as
Varese's Hyperpr1s~ discussed in Chapter Five, with all its varied
vertical sonorities and a fundamental entity complicated by the
presence of passages for unpitched percussion, is permeated by
extensive strands of timbral continuity in its horizontal dimension.
When extensive linear passages for one instrument do occur in Le
~artea~ they are characterized by frequent and significant changes in
instrumental register, as in EX.40(c). The effect of these registral
contrasts in general depends on the particular instrument concerned:
the clarinet, for instance, would be capable of more extreme contrast
in this respect than the flute. Whether or not the flute part
analysed in Ex.40(c) is correctly presented in terms of the
delineation of timbre by non-identity is partly an esthesic question.
The melodic leaps are heard in the context of an esthesic knowledge of
the timbral range of the flute, a range that in many ways operates
analogously to the pitch-space discussed earlier in relation to the
poietic dimension. In this way the timbral difference effected by the
leap from C4 to Bb4 <notated pitch) is obviously greater than that
from C4 to, for instance, a referential or esthesic (i.e. unheard) 04.
If the presence of these timbral non-identities was unrelated to other
musical components then their significance would be limited to the
description of the music's surface style. However, there is some
evidence to suggest that Boulez maintains a balance between timbral
complexity and pitch or intervallic complexity. Certainly, the
passage exhibiting timbral non-identities in Ex.40(b) is dominated by
a single interval - the major sixth - quite unlike the preceding
passage. Similarly, the next timbrally complex passage, beginning at
bar 42, is balanced, albeit to a lesser extent, by a restricted use of

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pitch- and interval-classes: an interaction of musical components
demonstrating Schoenberg's aesthetic/structural principle that
'Comprehensibility requires limitation of variety, especially if
notes, harmonies, motive-forms or contrasts follow each other in rapid
succession' [Schoenberg, 1970: 20].

Ex.41, Webern: Three Liij1e Pieces Op.l1/1 (bars 6-7).1

The association of timbres by identity, as with their delineotory

counterparts, is most frequently observed in a motivic or thematic
context. However, when timbre is not limited to this merely
supportive role it can be used to determine aspects of musical
structure. Webern's use of timbre in Op. 11/1 is integral to the
spanning of the frequent silences that constantly threaten to fragment
the structure. (The extent to which fragmentation is avoided in this
piece is a question that will be addressed in a Chapter Nine.) Ex.41
shows the spanning of one of these silences by two cello harmonics, an
association by identity that is symmetrically arranged around a
central piano timbre.

8.9 DynODdcs

The musical component concerned with dynamics can be further

subdivided into the separate categories of articulation and dynamic
level, although articulation indications (such as staccato) are also

'See Ex. 27(0) for the full score.

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an aspect of duration patterns. Since the principles involved in the
organization of these sUb-components into structural configurations
are basically indistinguishable from one another, no attempt will be
made to illustrate them separately.
Like timbre, many of the structural implications of dynamic
markings are so much a part of musical convention that they rarely
form a significant part of analytical enquiry. For instance, in the
chorus 'Since by man came death' from Handel's Messl~h the change of
dynamic level from piano to forte for the execution of the second line
- 'by man came also the resurrection of the dead', supported also by
the timbral change .from unaccompanied voices to voices with orchestra
and the tempo shift from Grave to Allegro - is largely secondary to
the shift from A minor to its relative major according to conventional
analytical wisdom. However, at the level of metatheory the two
delineations of the dynamic level by identity, plano and forte, are as
structurally significant as the harmonic changes. Beyond indicating
the potential significance of these dynamic changes it is not
necessary to consider such examples in any further detail. Instead,
the following examples concentrate. on more subtle examples of
structural configurations solely determined by the use of dynamic
markings.

Ex. 42, Messiaen: 'Le Traquet Stapazin' (bar 253) from

ClJtologue d' Oiseaux.

In Chapter Fourteen of La technique de man l~ngage musicale (194~)

Messiaen discusses his device of the 'added resonance', which can

exist in the form of either an upper resonance or an inferior
resonance and consists of one or more notes played above or below a
principal note (or chord) and at a substantially lower dynamic level

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than that note (or chord). When these two types of resonance are used
in isolation from one another the effect can be one of timbral
enhancement rather than an harmonic transformation of the principal
line, particularly in the case of an upper resonance, but this aspect
of its usage can only be studied neutrally within an acoustic context.
However, in a different sense, this device can be described within the
metatheory as a delineation of the dynamic content by identity. Ex. 42
demonstrates the simultaneous use of upper and inferior resonances,
specifically the conjoining of the various chords into delineations
according to their dynamic levels in both the horizontal and vertical
dimensions. In the case of the first chord in the lowest of the three
lines the connection with the remaining added resonances is achieved
by close proximity (p is closer to pp than mD and not, as for the
remaining added resonances, by identity. Notice also that the
separation of the middle <principal) line from the added resonances
cannot be achieved by proximity (as it was, for instance, in the
isolation of augmented triads in Tippett's Sonata No.3 for piano)
because the three lines overlap, or even partially coincide, at
certain p~aces, which explains the. 'missing' C#5 in the middle chord
of the top line.
Messiaen's Mode de v~leur et d'intensit~s can be called upon once
again for the purpose of demonstrating the technique of dynamic
delineation by non-identity since the underlying modes, in addition to
defining the relationship between pitch and duration, also specify the
dynamic level associated with each note of the mode.

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 Ex. 43, Boulez: ,Commentaire II de BourreBux de solitude' (bars 1-5)
from Le mBrteBu sans ~ftre

However, Boulez employs a less rigid version of Messiaen's modal

dynamics in Le marteau by combining the effects of dynamic level,
articulation and the number of simultaneous attacks to form extensive
series of dynamically contrasting events, an extreme instance of which
occurs in the pizzicato viola part analysed in Ex. 43(b). The
delineation by non-identity highlighted in this example makes a number
of assumptions about the effect on the overall dynamic level of
playing more than one note at a time, namely that the piano tetrachord
in bar 2 is louder than the single piano note in bar 3. This
assumption highlights the important problem of how the intended
meaning of a dynamic marking is to be ascertained in general, for
instance whether orchestral dynamic markings should be understood as
referring to the dynamic range of individual instruments or to the
dynamic level of the whole orchestra. The resolution of this problem
is only possible in a given context and should always be clearly
stated. In the excerpt from Le marteau Boulez is clearly attempting
to create a series of dynamically contrasting events and so the piano
indication should be understood as referring to each individual note
rather than the whole tetrachord, the effect of which (given the
logarithmic addition of loudness) is to generate a composite dynamic
level of between p and m~ the implications of which for performance
should be noted. The extent of this delineation is coincident with
other component or pseudo-component delineations, notably the tempo
indications (the accelerando does not commence until after the piano
trichord in bar 4, a chord whose delineation by identity with its
succeeding note 1s made clear by Boulez's dynamic notation of the
horizontal line) and the metre changes that are further separated by a

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long pause over barline 4. Collectively, these component delineations
suggest that bars 2 to 4 are a structural unit, prefaced by a one bar
structural upbeat. Dynamic contrast is a significant factor in the
continuation of the viola part in the fourth movement from Le mBrteB~

but it increasingly reqUires representation in terms of the

association of dynamic elements by non-identity because the repetition
of identical dynamic levels instigated in bar 4 recurs as a secondary
feature, disrupting the sequence of contrasting events.

Ex. 44, 8art6k: 'Chromatic Invention' (bars 16-28),

No. 145a from Mikrokosmos.

The association of dynamic attacks by identity in 8art6k's

'Chromatic Invention' lays bare the partially chromatic background (as
well as foreground) structure of the composition, and reveals pitch
processes that occur at the invention's third structural level, shown
in Ex. 36(b) - structures and pitch processes that are inverted at the
corresponding places in the invention's duet partner, No. 145b. The
separation. of D#3 and A#2 (bar 17).from the main structural
configuration is justified by the separate existence of the three-note
entity bounded by these two accented pitches, although the final note
of the repeated entity in bar 19 plays a dual role since it is also
part of the large-scale association spanning bars 17 to 23.
Additionally, the two F2's in bars 22 and 23 are interpreted as
belonging to the succeeding structural configuration, much as the
repeated 83's in bars 17 and 18 have been identified as initiating the
background chromatic descent. (Strictly, this separation of the two
F2's from the ongoing association of dynamic attacks, or their elision
with this association, requires an additional structural level.) By
isolating the structural configuration produced at the second level

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and using it as the basis for further analysis a clear pitch/interval
structure emerges, as demonstrated in EX.44(c): the B3's from bar 17
and 18 are transferred down an octave by chromatic steps whilst the
two F2's in bar 22 and 23 are transferred up three octaves to F5 by a
series of alternating augmented fourths and major thirds (or their
enharmonic equivalents) - F5 being an important pitch at this juncture
since it instigates a new section of the work in bar 28. The use of
the augmented fourth in this process of registral transfer is
particularly significant since it had previously been a feature of the
music's surface (bars 17 to 21), an example of a foreground event
being projected onto the background structure.
Before leaving this discussion of dynamic matters, another brief
mention in general terms should be made of the important instructions
crescendo and diminuendo, particularly as they relate to the notes
they embrace (rather than their potential use as a means of
associating spatially remote groups of notes). If the concept of
contour is applied to these dynamic markings, including the notions of
maxima and minima (as suggested at the end of Chapter Seven), then
they can poth be understood as constituting delineations by identity,
albeit in terms of a series of possibly infinitessimal (if the
crescendo/diminuendo take place over a single note) but always uni-
directional changes in dynamic level.

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 CHAPTER NINE

Structural Divisions, Structural Nodes and Structural Levels

Structural divisions arising from delineated entities are mostly only

significant (one important exception is discussed below) in cases
where there is a mutual alignment of delineations to produce
structural nodes, an alignment that has implications concerning the
possibility of structural levels. In contrast, the three types of
structural division derived from the concept of association have
immediate and diverse applications to the analysis of music, from
foreground through to background levels as well as to questions of
form; a diversity reflected in the examples of this chapter. However,
like the structural divisions derived by delineation, those of
association are inextricably linked to the concept of structural
level. Consequently, the theoretical and analytical examples used to
demonstrate these two concepts, together with the concept of
structural node, will often be interrelated.

9. 1 Structural Divisions

The three most important types of tonal voice-leading are derived from
the structural divisions effected by harmonically supported single
notes: the neighbour-note, passing-note and chord-note figures. The
importance of these prolongational types is suggested by Schenker who
recommends that 'everyone take the trouble to feel his way from the
foreground to the middleground and background; he need only employ the

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familiar method of reducing more extensive diminutions ... 50 he will
arrive at shorter and shorter versions, and finally the shortest, the
fundamental structure!' [Schenker, 1979: 26], I f the concepts that

constitute the' familiar method' can be understood in terms of the

metatheory then, according to Schenker, the door to the heart of his
theory - the fundamental structure - will have been opened. In
practice the pathway suggested by Schenker is determined by many
criteria other than the reduction of diminutions, not least of which
is a belief in the existence of an ultimate fundamental structure
itself, a belief that necessarily influences the choice of certain
structural configurations in the progress towards ever higher levels.
Nevertheless, an understanding of the three prolongational types is an
important first step in the direction of Schenkerian analysis.

Exs.45 & 46: Prolongational Types

According to Schenker, the neighbour-note motion at the first level of

the middleground 'is based upon a consonance at the beginning as well
as the end' [Schenker, 1979: 42], although it is possible that at
later structural levels 'the main tone ... returns at a dissonant
interval' [:71], in which case the neighbour note' lacks form-
generating power' [:72], Similarly, the passing-note figure is
bounded by the recurrence of a consonance, whereas the chord-note
figure is distinguished by the continuation of a consonance. A proper
consideration of consonance and dissonance is beyond the scope of this
thesis, but even without a study of these concepts it is possible to
express the prolongational types in terms of certain generic
structural categories, i.e. categories that do not define these types
uniquely. but instead relate them at a metatheoret ical level (which
explains the use of the metatheory's graphic notation in Exx.45 and 46

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in preference to the conventional notation for these prolongational
figures). The neighbour-note and passing-note figures are formed by a
combination of horizontal and vertical pitch-associations related by
identity (Ex. 45(a), (b»j whilst the chord-note figure is determined by
the delineation of pitch simultaneities, again by identity (Ex.45{c».
The theoretical interpretation of the prolongational types in
Ex. 45 depends on the presence of complete triads. When these triads
are not present then the sufficiency of simple textual logic to
describe the figures is undermined, as demonstrated in Ex. 46. (Notice
the use of superset (~) and subset (c) symbols to relate entities,
remembering that such symbols can only be used to relate entities
established by virtue of an identity that exists between them.) Only
the neighbour-note figure is unaffected by the absence of complete
triads since it contains all the necessary ingredients for structural
division in both its vertical ~nd horizontal dimensions. However,
both the passing-note and chord-note figures, in those cases where the
linear aspects are not harmonically supported by a complete triad, are
requi~ to be situated in the context of an esthesically projected
referential major (or minor) triad - derived from either the poietic
dimension (an association with an entity from a recognized underlying
musical language) or the musical text itself - if they are to be
incorporated into the logic of the metatheory. In practice, it is the
listener's recognition of an underlying musical language that usually
determines the source of the referential triad, but drawing the triad
from the musical text alone maintains a greater degree of neutrality.
By expressing the various prolongational types in terms of
generic structural categories it is possible to extend their
application to non-tonal music. An important aspect of this
generali~ation is the separation of the prolongational types into
vertical and horizontal elements (even in tonal music this distinction

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1s necessary for neighbour-note figures in order to accommodate the
possibility that a dissonant interval might support the return of the
'main tone'). Whether the resulting structures can still be described
as prolongational types is a debatable issue; one that has been
considered with some rigour by Joseph Straus 1n 'The Problem of
Prolongat ion in Post-tonal Music' (1987).

Ex. 47: Prolonging set-class 3-1 (012)

The various attempts at 'prolonging' set-class 3-1 in Ex. 47, which

correspond to Straus' Example 3 [:3] (reproduced beneath the
metatheoretical realizations in order to facilitate the comparison of
the different graphic notations) encapsulate the difficulties
encountered in ascertaining the validity of an allegedly
prolongational process. Analysis of the pitch content in terms of
logic alone demonstrates many connections between Exx. 46 and 47,
connections that will prove to be significant in the analysis of post-
tonal music. However, neither Ex. 46 nor Ex. 47 establishes the
presence of a prolongational process since the judgment of its
presence belongs, in part, to the esthesic dimension: it concerns the
way in which the listener perceives a succession of pitches.
Nevertheless, it is possible to assert that the following logical
correspondences exist between the two examples: Ex. 47(a) belongs to
the same generic structural category as the chord-note complex in
Ex.4-6(c); similarly with Ex. 47(b) and Ex.4-6(c), although in the case
of the former example there are two chord notes rather than one
(equivalent to the arpeggiation of a complete triad); Ex. 47(c) is
ambiguous in terms of tonal voice leading since it combines elements
of the generic categories used in Ex. 46(a) and (c)j and finally,
Ex. 4-7 (d), (e) and (f) all belong to the same generic category as the

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neighbour-note figures in Ex. 46(a) and (d). Once established, all of
the associations and delineations identified function as structural
divisions. Thus, in the absence of interactions with other musical
components, the neighbour-note and paSSing-note figures are both
structural divisions of type II and the chord-note figure is a
structural division conterminous with its defining delineation. Of
these small-scale structural divisions, the neighbour-note figure is
the most significant because it is produced by the alignment of two
pairs of entify associations i.e. its boundaries are marked by
structural nodes.
Any claim that goes beyond these matter-of-fact statements
eKceeds the limitations of text-centred logic, but in practice no
analysis can desist at such an inconclusive juncture: the facts demand
interpretation. Straus' provision of meaning to the prolongational
attempts presented in EK.47 is to establish a set of four conditions
to which a particular configuration must comform in order to warrant
the description of a prolongation type (none of which are met in his
Example 3):

Condition #1. The consonance-dissonance relation: A consistent

pitch-defined basis for determining relative structural weight.

Condition #2. The scale-degree condition: A consistent hierarchy

of consonant harmonies.

Condition #3. The embellishment condition: A consistent set of

relationships between tones of lesser and greater structural
weight.

Condition #4. The harmony/voice leading condition: A clear

distinction between the vertical and horizontal dimensions.
[Straus, 1987: 2, 4, 5]

If the generiC structural categories discussed previously are

considered in relation to Straus' criteria for prolongation then his

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four conditions for prolongation in general can be reduced to two. In
metatheoretical terms, these conditions are: (i) the generic
structural categories of prolongational types must be situated in the
context of a pitch-space (a poietic criterion)j (ii) a clear
distinction between consonance and dissonance must be possible (an
esthesic criterion). The first of these conditions is only really
necessary as a means of avoiding the sort of ambiguity typified by
Ex. 47(c). It is the second of the conditions that ultimately excludes
a traditionally tonal sense of prolongation from much post-tonal
music, since consonance can no longer be used as a measure of
structural significance. Without a distinction between consonance and
dissonance only the so-called secondary parameters - specifically
their mutual alignments which produce structural nodes - can be
invoked as a means of gauging structural significance.
However, even without these conditions being satisfied it is
still possible to assign a special meaning to the generic categories
presented in Ex. 46 by relating them to other aspects of the poietic
dimension. Straus touches on this possibility when he suggests: 'Many
post-tonal pieces use their essentially contextual and motivic
structure to allude to aspects of tonal practice. When these
allusions occur at the deeper structural levels, the result is what
might be called a middleground pun ... post-tonal music may mimic the
appearance of prolongational spans without using truly prolongational
voice leading' [: 15]. 1 Words such as 'pun' and 'mimic' contain
aesthetic implications, but the essence of their meaning for present
purposes is that similarities can exist between aspects of contrasting

lThis idea has been pursued more recently in Remaking the Past
[Straus, 1990(b)]'

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musical languages. To this extent, the metatheory can fully endorse
Straus' conjectures. Hence, Roy Travis' analysis of Schoenberg's
Kleine Klavierst ilcke, Op. 19 no.2 [Travis, 1966: 84--89], discussed by
Straus (and reproduced in Ex. 4-8), in which a descending fifth spans
the whole of the piece in a quasi-Schenker ian manner (supported by a
V-I harmony), is consistent with a poietic/neutral analysis. Briefly,
the linear decent through a fifth and the V-I motion is imposed on the
neutral level 8S a poietic entity (the descent is a fundamental line
that has been modified to include a phrygian second), regardless of
whether it can be justified in terms of the neutral level alone (which
it cannot). The shortcoming of Straus' idea is that he limits its
application to post-tonal music. In fact, similar poietic/neutral
interactions are equally important in tonal music: only our
familiarity with tonality obscures this fact. Earlier in this
section, mention was made of the difficulties involved in ascertaining
the prolongational status of linearly arranged pitches whose main
notes are unsupported by complete triads. The solution to that
problem - in which the listener hears (esthesic dimension) the
configuration contained in Ex. 46(~), for instance, in terms of a
referential triad derived from a recognized musical language (poietic
dimension) - is not substantially different to Straus' interpretation
of post-tonality: all music is composed in relation to a musical
tradition, only the degree of correspondence between a piece and the
object of its imitation i6 different.

Ex. 49, Tippett: Piano Sonata No.3 (bars 192-202)

Many of these issues are brought into focus in the middle

movement of Tippett's Piano Sonata No.3 {a copy of the music is
contained in Ex. 21>. On a strictly logical basis, the symmetry of the

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opening three bars of this movement - manifested in terms of an
association of two Gb4's and, on a slightly larger scale, the two
appearances of £, - results in a clear example of a type II structural
division; notated using a 'l', or 'r' sign (depending on whether the
symbol is placed above or below the stave) to indicate the opening of
a structural division, and a 'J' or '" sign to indicate the closure
of that structural division. This division of the musical whole is
repeated in the section beginning at bar 249 (which also happens to
coincide with 'a return to tempo I), suggesting a basic tripartite
division of the middle movement. In addition to the symmetrical
arrangement of £1' ,each individual bar analysed in Ex. 49 consist of a
symmetrical order of pitches. Hence, considered in isolation, each of
these bars also constitutes a type II structural division, which
results in the presence of structural divisions on two different
scales (not levels - the distinction is important) in the first three
bars of the movement.
A significant interest of this passage lies in its allusions to
tonal entities. Such allusions have been discussed elsewhere in this
thesis in relation to Tippett's technique of isolating tonal harmonic
entities by the manipulation of pitch-proximity relations (one example
of which - the isolation of the augmented triad from the major triad -
occurs in bar 202). Ex. 49 demonstrates the association of Gb4, G4 and
Gb4 by onset and stress (the juxtaposition of these pitches with a
duration of silence, together with their relative spacial proximity,
are also important factors that influence this association).
Similarly, in bars 195-197 it is possible to associate F4, C5 and F5
in this way. In tonal music, such associations might possibly amount
to a neighbour-note figure and an arpeggiation respectively, resulting
in a miqdleground prolongation of Gb4 and A4, but in this post-tonal
context all sense of prolongation is lost: the allusions to tonality

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merely enforce the sense of structural division since they bring the
force of the pOietic dimension to bear on the logically possible
structures of the neutral level. The question remains as to whether
these associated notes constitute a middleground structure. In the
case of the structural divisions effected by symmetry it was stated
that divisions could occur on different scales. If it was not for the
existence of the associated notes in Ex. 49 at structural nodes then
they would merely remain foreground associations, albeit of
,
'middleground' proportions, since the pitches as pitches are not
structurally significant. However, since it is possible to invoke
Axiom 7 in relation to these notes, when considered in their entirety
(i. e. incorporating their stresses, onsets etc. in addition to their
pitches), it is theoretically possible that they might be made to
emerge as entities at a middleground level if further delineation and
association processes can be applied to them.
Structural divisions based on the symmetrical arrangement of
multi-element entities, such as that contained in bar 192, belong to a
more general class of divisions that relate to musical form.
Schoenberg identifies the 'senten~e' and the 'period' as two basic
structures involving repetition on a much larger scale than that of a
single note, both of which operate at the level of musical form:
'These structures usually appear in classical music as part of larger
forms (e. g. as A in the ABA 1 form)' [Schoenberg, 1970: 20), The
characteristic of a sentence structure is the' immediate repetition' -
although not necessarily an exact repetition - of an opening segment,
which itself must 'clearly present ... its basic motive' [:21]. The
structure of the period is a little more complex since 'the first
phrase is not repeated immediately, but united with more remote
(contrasting> motive-forms, to constitute the first half of the
period, the antecedent ... the second half, the consequent, is

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constructed as a kind of repetition of the antecedent' [:25]. Hence,
both sentence and period structures are type I structural divisions
since the repetition of the opening phrase (to whatever extent) in
each case instigates a new section. Additionally, the point of
demarcation between the antecedent and the consequent in the period
structure - the caesura, which consists of one of many possible
cadences <e.g. full, half, phrygian, plagal) - often functions to
close (to varying degrees) the antecedent since it establishes a
harmonic identity with the opening tonic harmony (even if this
involves no more than two transpositionally equivalent triads),
thereby creating a type II structural division.
If this line of argument is extended to include association by
non-identity as well as identity, enabling distinctions to be made on
the basis of repetition and contrast (to use more colloquial terms),
then it can be applied on even larger scales to include many of the
standard classical forms, all of which have been well documented and
illustrated by Schoenberg. In practice, the use of non-identity in
this way is almost certainly restricted to the comparison of adjacent
sections: it seems impossible to ~ropose an example, at the level of
music theory, of a form based on disjunct non-identities. Considered
in terms of whole movements (i.e. disregarding the subdivisions
within, for instance, an 'exposition' section) these forms are: binary
form <type I by non-identitY)j ternary form (type II by identity>j
rondo (a combination of type I by identity and non-identitY)j theme
and variations (type I by identity)j sonata-rondo and sonata form
(both type II by identity). If the subdivisions of the larger forms
(e.g. sonata-rondo or sonata form) are taken into account then the
analysis is more complicated, involving combinations of the more
elementary binary and ternary forms. The importance of being able to
subsume such forms within the metatheory has more to do with

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demonstrating their consistency with metatheoretical logic than
actually contributing anything new to the development of their
conceptual bases (although the logic common to both these forms and
the prolongational types discussed previously, particularly that of
the neighbour-note figure, does lend support to Schenker's assertion
concerning the form-generating power of the neighbour note).
Nevertheless, the metatheory does suggest the latent potential of such
forms to undergo a resolution into their component parts, parts that
individually function to effect structural divisions, and in this way
does contribute to the study of these forms. The recapitulations of
classical forms, for instance, are marked by the (usually
simultaneous) re-appearance of the themeQnd the tonic key, but since
these two aspects are not intrinsically interdependent it is possible
that they might not be satisfied simultaneously, making the
demarcation of the recapitulation from previous material ambiguous.
This development of musical form is alluded to by Schoenberg who cites
the recapitulation of Brahms' Symphony No.3-III (commencing at bar
194), in which the beginning material reappears a semitone lower than
at the actual beginning, as an example of a recapitulation being in
• the wrong key' [Schoenberg, 1970: 194]; the return to the tonic is
not achieved until bar 219. However, even in this example there is at
least a return to the tonic. Hence, this movement is only a small
step in the direction of the disassociation of musical elements, a
disassociation that leads increasingly to various structural
ambiguities. The significance of such departures from classical norms
in general is illustrated by the importance of key-relationships to
the establishment of thematic contrast in sonata forms. To
disassociate key-centre from thematic material undermines the efficacy
of key as a means of producing large~scale structural divisions and

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leads, ultimately, to a reliance on contrasting themes as a means of
generating for~

Ex. 50, Beethoven: Piano Sonata Op.7/1 (bars 1-10).

The third type of structural division most frequently occurs as

the elision of two phrases, as in the above example. The first
elision in this sonata occurs at the beginning of bar 7. A simple
observation of the phrase markings alone reveals this overlap within
the structure of the whole, but Ex. 50 reveals that many logical
processes contribute to the demarcation of the phrases. Once the
first phrase has been established then subsequent elisions can be
determined with ease. The beginning of a new phrase at bar 7 is
indicated by the re-appearance of £2' resulting in a structural
division of type I. However, the connection of Bb4 in bar 7 with the
preceding material of the sonata, which is necessary to account for
the elision at this point, depends on the interaction of several
structures. Most significant of these, shown in Ex.50(d), is the
continuation of a contour pattern by a pitch that is in closer
proximity to the preceding note of the phrase (the C5 of bar 6) than
to the Ab5 coincident with it. However, other secondary contributing
factors include the pitch identity/non-identity interactions in
Ex.50(c) which result in a 'gap-fill' process between Bb4 and Eb5.
Only the presence of the Bb4 anacrusis makes this particular
interaction possible, which suggests both a structural reason for its
inclusion at this point, and also why it is absent from the beginnings
of subsequent phrases (at which pOints the entities established by the
first phrase are sufficient to indicate the elision). The final
connecti~n of Bb5 to the first phrase is established by the triadic
pattern instigated in the first four bars of the sonata, involving the

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pairing of adjacent notes from the Eb major triad, 1. e. (G4, Eb4),
(Bb4, G4), (Eb5, Bb4), and terminates at the beginning of bar 7;
thereby forming a significant link between otherwise contrasting
material. The product of all these interactions is a type II
structural division between the Bb4 of bar 4 and the Bb4 of bar 7.
Consequently, at the beginning of bar 7, structural divisions of type
I and II are found to overlap, resulting in a composite structural
division of type III.

Ex.51, Schoenberg: Piano Piece Op. 11/1 (bars 1-16),

Structural divisions of type IlIon a larger scale are nearly

always ambiguous, an ambiguity that is evident, for instance, in
Dahlhaus' discussion of Schoenberg' 6 Op. 11/1 [Dahlhaus, 1987: 255].
Two interpretations of bars 9-11 considered by Dahlhaus are, firstly,
that they function as the conclusion of a period structure commenced
in bar 1 and, secondly, that they instigate a new period structure.
According to the metatheory, a third possibility is that these bars
have a pivotal function that involves both closing one period and
opening a new one, but the strong identity between bars 9-11 and 1-3
in terms of duration and pitch-contour patterns (especially when
compared with the pre-bar 9 and post-bar 11 music) surely rules
against this interpretation. Nevertheless, Dahlhaus' example is
indicative of the kind of ambiguity engendered by medium scale
structural divisions of type III.
A more typical ambiguity is found by returning to the middle
movement of Tippett's Piano Sonata No.3. The association by identity
of bar 202 with the opening of this movement, principally the duration
and contour patterns in bars 192-197, together with its clear
connections with the ensuing music, raises the possibility that

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bar 202 is an example of a larger scale structural elision. This
particular bar has been discussed previously in relation to its
isolation of tonal harmonic entities, namely the major triad and the
augmented triad, by the manipulation of proximity (Ex.21(e». The
interpretation of such triads - that they perform a quasi-cadential
function by being associated with phrase endings - is an important
factor in the consideration of whether bar 202 has a pivotal function
since it tends to connect this bar with the preceding passage.
Arguably, this retrospective connection is counterbalanced (or even
overbalanced) by the interjection of bar 201, in which the musical
development is temporarily suspended, and therefore tends to indicate
that bar 202 is responsible for instigating a new section - an
interpretation that is also supported by the continuation in bar 203
which clearly develops from this potentially pivotal bar. Ambiguities
are, by definition, resistant to logical resolution; it is sufficient
to allow for their representation on an equal footing with their
axiomatically well-defined counterparts.

9.2 Structural Nodes and Structural Levels

This final section demonstrating aspects of the metatheory draws

together many of the concepts particularized in the preceding four
chapters. A more analytical rather than theoretical stance will be
taken in this section, in that whole pieces will be discussed in
relation to concepts, rather than vice versa. Nevertheless, the end
result will still fall far short of what constitutes an acceptable or
complete analysis according to the metatheory, since no substantial
attempt will be made to situate the individual works within the
context of an evolving musical tradition. (A brief discussion of what

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does constitute an acceptable analysis is presented in the Conclusion
to the thesis in relation to plans for further research.) Three
principal musical examples will be discussed. The first, the theme
from Beethoven's Variations on an Original Theme Op.34, will focus on
the organization of pitch and the extent to which it generates
structural levels. The second example, in addition to developing the
concept of structural levels, will study interactions that include the
temporal components, leading to the formation of structural nodes
(such interactions ultimately lead to the possibility of a theory of
rhythm). This discussion will centre on Wagner's two verSions,
separated by some sixteen years, of the aria 'Geliebter, komm!' from
his opera Tannh§use~ Finally, the first of Webern's Three Little
Pieces for Cello and Piano Op. 11 will form the basis of a study of the
breakdown of structural levels, and the consequences of this
breakdown.

Ex. 52, Beethoven: Variations on an Original Theme, Op.34

Ultimately, analyses such as that presented in Ex. 52 will not

require extensive elaboration since the graphic notation should be
sufficient to communicate the analytical insights. At this present
stage, however, many important concepts have not been clearly set out
and so the correlation between graphic notation and meaning requires
detailed exposition.
Initially, an analysis derived from, and hence consistent with,
the metatheory proceeds from the surface level of the music; the term
'surface' denoting the first and second structural levels (the former
being the division of the musical text into fundamental entities). In
order that the neutral aspect of the analysis might be structurally
interpreted it has been presented in the context of the poletlc and

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esthesic dimensions (both used in a highly selective way), dimensions
that prove to be indispensable to the final analysis. The interaction
of all three dimensions demonstrates both the potential and the
limitations of an analytical method rooted in a formal logic.
The particular aspect of the poietic and esthesic dimensions
considered in Ex. 52 relates to the perceived functional roles of
pitches, both singly and in groups; specifically the perception of
prolongation and resolution <although only the sense of resolution
finds no logical representation whatsoever at the neutral level -
section 9. 1 demonstrated the logical basis of prolongation). In the
case of the Op.34 theme, both the pOietic and esthesic entities have
been represented on the same set of staves since the entities isolated
within the poietic dimension (as part of the tonal tradition)
correspond to their perceived functional role, unlike the previous
Tippett example in which the neighbour-note figure, for instance, only
existed as a poietic entity (drawn from a historically remote
tradition), i.e. it served no prolongational function. Of course, it
is possible that there exist pOietic entities from the pre-tonal era
that do not have a corresponding esthesic function but nevertheless
have some influence on the neutral level of this example (such as the
F3, Eb3, 03, E3, F3 figure in bar 3? ); it is simply that such
possibilities have not been considered as part of this analysis. In
general, the relationship between poietic and esthesic entities is a
complex one: the increasing chromaticization of tonality, for
instance, gradually undermines the exact correspondence between these
two types of entity, thereby multiplying the number of ways a
particular harmonically-chromatic work might be heard. The
esthesic/poietic entities presented in Ex. 52 have been divided into
melodic and harmonic categories. On the esthesic side of the
equation, prolongation has been notated using a conventional slur

-192-
symbol and resolution using a slur with an arrow head directed towards
the chord of resolution. On the poietic side, the existence of these
objects as entities is indicated using square brackets. Only the
three harmonic entities (each one comprising a dissonant chord and its
resolution) which do not appear to be significant in terms of the
delineation/association analysis of pitch and interval in Ex.52(b)
have been isolated (obviously, the entire harmonic content of this
theme has some poietic significance, but if significance can be
ascertained logically it is not necessary to resort to other means for
the present purposes). Of these three entities, the second one can
also be derived from the text itself (E~l). (Notice that some of the
chords of resolution within the entity Eh 1 do not contain the complete
major triad. In these cases, their existence as harmonic entities is
established using the subset/superset relation ~C, which defines a
more limited extent of identity - a concept that is also applied to
other aspects of this analysis, such as the association of incomplete
major triads in bar 8.) However, in order to explain the listener's
sense of resolution, particularly for the first appearance of this
harmonic complex, the text must be compared with its underlying
musical tradition: the existence of these harmonic entities in a wider
musical tradition gives meaning to their appearance in this particular
theme. (This seemingly convoluted way of thinking becomes
increasingly important when the tonal piece being considered is
harmonically more ambiguous.) It might be thought that the simple
ternary form of this theme enables the first and third harmonic
entities in the esthesic/poietic dimension to be defined with
reference to the text alone. However, this is not the case since the
comparison of the two outer sections of this ternary theme does not
logically isolate entities within each individual section.
An esthesic component has also been made to impinge on the

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neutral level of this analysis. The placing of delineation and
association beams linking the root position, first and second
inversion triads at different levels 1n Ex. 52 relates to the perceived
harmonic stability of the various chords. The existence of such a
hierarchy is crucial to an understanding of tonal harmony, but only a
brief mention of this subject is possible as part of the current
discussion, which is not itself primarily concerned with specific
theories of music. Most theories of tonality simply assume the
existence of such a hierarchy without conSidering its conceptual
basis. 1 To contain a harmonic hierarchy within the neutral level it
would be necessary, initially, to establish a correlation between the
acoustic properties of individual chords and our perception of, say,
their relative consonance and dissonance. Even if this could be
achieved, which is doubtful, the effect of harmonic context on these
perceived dissonances/consonances would then have to be ascertained:
the whole enterprise seems doomed to failure. Consequently, the
harmonic hierarchy must enter the analysiS as part of the esthesic
dimension where, arguably, it properly belongs, since if our hearing
of an individual work is shaped by a knowledge of its relationship to
its precursors then an evolving harmonic language militates against a
fixed perception of harmonic entities. Hence, even the adoption of
the circle of fifths as a means for gauging the degree of relatedness
between various major/minor triads is suspect: such a system might be
adequate for some tonal music, but certainly not for tonality in all
its manifestations. The increasing number of so-called distantly-
related triads that were juxtaposed in compositions throughout the

l See, for example, [Lerdahl/Jackendoff, 1983: 1171.

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late nineteenth and twentieth centuries changed the whole concept and
perception of what it is to be 'distantly related'. 1 Only a careful
examination of the harmonic norms at the time of a particular work's
conception (norms to which the listener can, through familiarity,
become attuned) is able to determine the relatedness of key-centres or
triads. Consequently, musical 'relatedness' is an evolving concept,
requiring individual works to be analysed in relation to their poietic
dimensions. In general, the relatedness of, say, a major triad (in
whatever inversion) to a particular tonic can be determined by the
minimum number of harmonic steps it takes to progress from that triad
back to the tonic but, crucially, only when considered within the
harmonic context underlying the composition (although often the
harmonic processes contained within a text are sufficient to indicate
these direct routes). For this reason, the circle of fifths is often
a good guide to the degree of relatedness between triads in mainstream
tonal music since it provides the reasonably direct harmonic routes
between key-centres. However, as a system it does not allow for the
subtle bending of key relationships, or the slight variations in
perceived harmonic stability brought about by the use of non-root
position triads: these subtleties usually have to be tacked on to the
harmonic model.
The use of the cadential six-four chord in the Theme of Op.34 is
interesting in this respect. As Glen Haydon has demonstrated, the
six-four chord WaS established as part of the six-four, five-three
cadential formula constructed on the fifth degree of the scale by the

lThis evolutionary aspect of harmonic theory underlies Robert Wason's

study Viennese Harmonic Theory from Albrechtsberger to Schenker ~nd
Schoenberg (1984).

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composers of the Third Netherland School, most notably Josquin des
Pres, a cadential formula which evidently incorporated the preferred
use of the six-four chord. Indeed, the cadentlal effect of this
formula at that time 'seems to have become so strong that when the
formula occurs on the sixth, fourth, or other degree of the
scale .... either the note values are shortened 50 as to lessen the
usual cadential effect, or there is a definite tendency to modulate to
a nearly related key' [Haydon, 1970: 132]. Although other uses of the
six-four chord- persisted, such as the passing six-four, by the early
sixteenth century the cadential use of the six-four chord was so well
established that Haydon was unable to find any examples of the
arpeggio six-four chord [:56], In other words, the only direct route
from this latter chord to its root position had ceased to be a normal
part of the harmonic lingua franca. From this time on the six-four
chord required resolution. Hence, harmonic usage influences the
listener's perception of harmony. It is in this cadential form that
the six-four chord is encountered at the end of the first phrase of
the Op.34 Theme. However, it should be clear that the nature of this
chord, specifically its harmonic stability, depends entirely on its
historical context and our perception of that context: no purely
neutral description of it is possible. The six-four chord in bar 4 is
two steps removed from the tonic, a separation from the tonic that is
reflected in the measured length of the chord's stem. This compares
with the six-four chord 1n bar 1 which can progress directly to the
tonic, i.e. it is only one step removed. Further refinements to this
model of harmonic hierarchies could easily be introduced. For
instance, Ex. 52 makes no distinction between the dominant triad in its
five-three or six-three positions since both of these inversions can
progress to the tonic in one step. Consequently, in order to
distinguish between the stability of these two triads, each of the

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harmonic levels in Ex. 52 could be subdivided into two or more
categories on the condition that this did not effect the number of
steps required to reach the tonic. These harmonic levels become
significant when considering which elements of a particular structural
level should be carried over to the next structural level.
The melodic entities derived from the text are largely self-
explanatory, although it should be noted that £",' could also be
derived in relation to the vertical dimension of this theme (the use
of the major'triad as a simultaneity). The central analysis of pitch
and interval in Ex.52(b) (which includes a consideration of pitch- and
interval-classes) in terms of delineation and association connections
should also be clear in the light of earlier chapters, if only in a
technical sense. Less clear is the justification for selectivity at
this level of the analysis. For instance, the choice of C5 as the
main referential pitch in the horizontal dimension, a choice which
ultimately leads to the emergence of a Schenkerian-type analysis, is
only one of many possibilities. In this particular case, it is
possible to justify C5's selection in a logical sense by its
statistical significance within the Theme as a whole. Unless all the
logical alternatives can be deduced using the algorithm suggested in
Chapter Four, analytical selectivity is essential. However, provided
that the specific choices are consistent with the logic of the
metatheory, the analysis should be considered valid.
The main analytical insights begin to emerge in Ex.52(c) when the
various elements of Ex. 52(b) undergo a synthesis into a single
simplified graph. Of immediate significance is the influence of
motivic elements on the underlying structure of the Theme, precisely
the kind of interaction that was hoped for at the beginning of this
thesis. Whether such interactions exist in general cannot be guessed
at, but their assimilation within a single theoretical framework in

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Op.34 at least allows for the possibility of such interactions. Of
the four melodic entities presented in Ex.52(b), Em 1 and Em 2 appear to
be the most significant: the first of these functions conventionally
to divide the whole structure, but Em l , although initially thematic in
nature, becomes an integral part of the ensuing structure. This is
most evident in bar 6 where £m 2 is crucial to the isolation of the
structural note Bb4 from the diminished seventh chord (over a tonic
pedal). The isolation of this note is further justified by the
internal structure of this chord compared with its precursor in bar 2:
the shift from a dominant seventh to a diminished chord changes the
internal spacing of pitches, liberating Bb4 from its close proximity
connection with C5. Indeed, the structural necessity to isolate Bb4
as part of the linear descent possibly accounts for the change in
harmony at this pOint. That the pitch-class Bb is of structural
significance receives its most compelling evidence in the final Adagio
molto section of Op.34, Ex.52(f), where it is isolated from the
diminished seventh chord and used as the main note of a trill. This
compares with the preceding version of the Theme's first phrase in
which the pitch-class C is isolated as the main note of a trill,
Ex.52(g), consistent with the analYSis of the first phrase in EX.52(b)
which interpreted the equivalent bar as a prolongation of C5.
Interestingly, the final rendition of the Theme's second phrase in the
Adagio malta section replaces the diminished seventh chord with a
dominant seventh, Ex. 52(h), but adjusts the internal spacing of the
chord to expose the pitch Bb5. Hence, the structural meaning of this
phrase is maintained and, supported by the other structurally isolated
pitches mentioned above, the psychological sense of closure (rooted in
the linear descent from 5 to i) is given an extra clarity appropriate
to the ending of a set of variations.
One point of graphic notation should be addressed concerning the

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simplified second level (and succeeding structural levels), Single
entities that act as a substitute for a group of entities, for reasons
of prolongation, have been notated using unfilled note-heads, Hence,
the six-four chord 1n bar 9 of Ex.52(c) is a substitute for all the
simultaneities contained 1n that bar. Similarly, E4 in bar 12 of
Ex.52(c) is a simplification of the delineation of three E4's in bar
12 of Ex.52{b), a simplification that, in conjunction with the
delineation of C5 in the same bar, reveals the underlying harmonic
sense of this bar. Notice that a distinction is made between
substitute entities in the horizontal dimension and those in the
vertical dimension.. For instance, the C major triad in bar 4 acts as
a substitute entity for the ensuing linear ascent to C5, rather than
just the pitch 05, since the extent of this delineation by non-
identity is determined by the identity between C5 and either C4 or C3
(both part of C major triad simultaneity). Not all possible
simplifications need be carried out in this synthesis process, or even
in the progression from foreground to middleground levels. For
example, the logically possible simplification of the C5-D5-C5 figure
from £m t i~ bar 1 of Ex.52{c) into a single C5 has been omitted in
order to stress the influence of thematic elements on the structure as
a whole. The sole condition governing the simplification process is
that only one such process may be carried out per level. Indeed, this
is one of the defining characteristics of a structural level according
to the metatheory. (The simplification of £m 2 corresponding to that
of £m 1 could not be derived at this level because of the need to first
simplify the delineations in Ex. 52(b). ) A more significant example of
a structure derived at one level being carried over to a higher level
is found in the retention of the dominant seventh chord as the
harmonization of the second degree of the scale. This particular
chord is retained until the final simplified third structural level in

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Ex52(e) in order to preserve a self-contained harmonic/contrapuntal
structure, even though similar esthesical1y functional chords, such as
the dominant seventh chord over a tonic pedal in bar 2, are subsumed
by their harmonic resolutions. Other chords that might theoretically
be omitted from higher levels include the C major triads in bars 4 and
11 to 14, all of which are connected by delineation to the F major

triads. However, these particular delineations relate to the

interval-class contents of the various triads rather than to their
pitch-class contents and are therefore sufficiently less significant
as a means of justifying their exclusion from the final harmonic
simplification process, which is determined on the basis of pitch-
class.
Concerning the selection of substitute entities in the progress
towards ever higher structural levels, most selections are made on the
basis of structural node locations. Since Ex. 52 essentially analyses
pitch configurations, the nodes are mainly formed by the coincidence
of horizontal and vertical pitch structures. Hence, the preference
for the F major triad in bar lover that in bar 2 of the simplified
third level graph is explained by ,the inclusion of C5 in a large scale
association. However, duration and onset patterns are also often
significant factors in the Theme for determining structural nodes, as
Ex.52(j) and (k) indicate. (The concept of metre, as it functions
within the metatheory, is discussed below.) On certain occasions the
choice of a substitute entity cannot be decided on the basis of a
structural node's location. Many feminine cadences fall into this
category since the completion of such cadences is not supported by the
metrically derived nodes. The I-Ic-V cadence that bridges bars 3 and
4 illustrates this point. The metrical placing of Ic, leading to the
creation of a harmonic/metrical node at the beginning of bar 4, might
suggest that it should function as the substitute entity rather than

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the preceding root position triad, contrary to the esthesically
derived relative harmonic stability of these two chords. In fact, the
inclusion of chord I in the long range delineation/association
connection of root positionF major triads overrides all other
possible choices of substitute entitYi an assertion borne out by the
logically based voice-leading analysis in Ex.52(i), an important
analytical technique considered more fully in relation to 'Geliebter,
komm!', analysed in Ex. 53. (The dissonance of the Ic chord, not
included as part of the esthesic/poietic analysis, also supports this
interpretation since the Ic chord would be structurally subverted by
its chord of resolution.)
The resulting analysis combines both Schenkerian and
Schoenbergian elements within a single theoretical framework.
Thematic entities can be seen to function as a means of effecting
divisions of the musical form, but also as significant determinants of
the underlying structure: the descent from 5 to i in this particular
piece could not be derived logically unless these contrasting aspects
(a combination~hematicism and diminution) are caused to interact.
Equally, .the importance of the esthesic/poietic dimensions to the
final analysis cannot be understated. A straightforward logical
approach to the analysis of this example does not facilitate the
simplification of structural levels. The esthesie and poietic
dimensions have to be brought to bear on the neutral level in order to
determine the natures of certain musical functions and the
hierarchical orderings of different entities. Nevertheless, the
creation of a logically derived neutral level provides a useful focus
for the consideration of pOietie and esthesic influence: logic is
limited in the sense that it can only address certain questions, and
not in the sense that it has no useful role to play.

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 The derivation of metre from the component of onset is presented
in Ex.52(j) and (k). In EX.52(k) the first part of the theme has been
divided into its vertical and horizontal dimensions and the onset
patterns of each dimension analysed separately. The horizontal
dimension of bars 1 to 8, the first part of the Theme's ternary form,
maximizes the extent of the associated entities with an onset
periodicity of a minim. beginning on the second (and nodal) C5 of the
Theme. However, the vertical dimension can be further subdivided
using an onset periodicity of a crotchet, an option that failed in bar
7 of the horizontal dimension. Other onset periodicities, such as a
quaver or a dotted crotchet, do not survive beyond bar 3. The
composite onset configuration is given in EX.52(k). In this example,
the instances of congruence between the two onset periodicities,
notated using unfilled note-heads, serve to indicate the beginning of
each new bar. Once established, these bars can be grouped together
into ever larger sections 1n accordance with metatheoret1cal logic, a
process that reveals the metrical organization of this initial section
to be a classic period structure of eight bars, with subdivisions of
both 2+2+2+2 and 4+4 bars (i.e. antecedent followed by consequent).
Both of these metrical subdivisions correspond to the distribution of
thematic material (and are therefore potentially significant).
Ex.52(1) translates the metrical notation into a form identical to the
graphiC notation devised by Lerdahl and Jackendoff (1983), in which
each element of the nodal structure in Ex. 52(k) is replaced by a dot,
thereby demonstrating that the kind of metrical hierarchy proposed by
these authors is consistent with the logic of the metatheory.
Alternatively, a system of strong and weak beats could be introduced
leading to a trochee grouping (- u) at the surface level of the
musical period. However, the extension of this rhythmic grouping to

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higher levels, as proposed by Meyer and Cooper (1960), cannot escape
the criticisms directed at its conceptual basis by Lerdahl and
Jackendoff, namely that it 'requires that any group contain exactly
one strong accent and one or two weak accents, and any larger-level
group must fill its accentual pattern by means of accents standing for
exactly two or three smaller-level groups.' [Lerdahl/Jackendoff, 1983:
271, implying that beats have duration and, more seriously, that a
metrical stress at one level can be contradicted at higher levels.
The logic of the metatheory avoids these conceptual pitfalls since
structural nodes (of which a beat is only one example) are temporal
singularities, and the progress towards higher levels is cumulative
rather than contradictory.
Of course, the derivation of metre in the above way is untypical
even for music of the Classical era. If metrical organization can be
derived in terms of logic alone then it usually requires the analysis
of both temporal and non-temporal components, as well as the
interactions of these two distinct spheres. Even in Op.34 the
influence of non-temporal components is important, but they are not
crucial to the derivation of metre if the musical period is considered
as a whole. However, in practice, the listener's sense of metre is
established well before the end of the opening period in terms of the
interaction of several components: the delineating effect of the chord
at the beginning of bar 1 compared with the previous single note; the
neighbour-note (and neighbour-chord) prolongation of an F major triad
at the second level conterminous with the whole of bar 1; the
delineating effect of the sforz~ndo and non-triadic harmony at the
beginning of bar 2, as well as the contour discontinuity between C5
and E5 at the boundary of bars 1 and 2 (compared with the proximities
of the preceding pitches i.e. C5-C5, C5-D5 and D5-C5). All these
components contribute to the affirmation of the opening C5 as an

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anacrusis and the first dominant seventh chord, over a tonic pedal, as
the beginning of a new bar.
But even the derivation of metre in terms of logic alone is not
typical of metrical organization in general. The condition governing
the structural role of metre requires that at least one bar should be
derived from the principles of the metatheory. If this condition is
met then the ensuing metrical organization is simply projected
esthesically over the remaining musical structure, i.e. the listener
establishes a referential metre against which the music is heard.
Hence, an actual onset periodicity, or any other logically determined
grouping structure, is not ultimately essential to the continuance of
metre: psychological perception can replace logical positivism.

Example 53, Wagner: 'Geliebter, komm!', TBnnhHuser

Two extremes of metric grouping can be found in Wagner's two

versions of 'Geliebter, komm!' from his opera TBnnhHuser. the first
taken from the 'Dresden' version, analysed in Ex.53(b), which was
actually a revision of the first Dresden performance of 1845; and the
second from the 'Paris' version, analysed in Ex.53(c), which was a
revision of the ill-fated Paris production of 1861.1 Hence, these
versions fall either side of the period from Lohengrin to
Das Rheingol~ a period that Arnold Whittall has tentatively posited
as 'Wagner's Great Transition'?' [Whittall, 1983], The aspect of

lThis account of the various revisions that TannhHuser underwent is a

considerable simplification of the actual revision process. The most
recent edition, prepared by Reinhard Strohm, puts the so-called
'Dresden' and 'Paris' versions in their proper historical context.
See [Wagner, 19801.

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transition is most clearly demonstrated in the subtle harmonic
differences between the two versions of 'GelUbter, komm!' (considered
in Ex.53(d», but the contrasting metrical structures referred to by
Carl Oahlhaus that typify the two distinct periods in general - in
which the pre-1848 operas are characterised by 'quadratic periodic
structures' [Oahlhaus, 1979: 44], a 'regular periodicity' that
resolves into 'rhythmic prose' [Oah1haus, 1983: 49-50] in the post-
1853 music dramas - might also reasonably be expected to apply to
these two versions of the aria, as is indeed the case.
Both versions of the aria have been analysed separately in terms
of their respective melodic lines and harmonic rhythms. The notion of
'harmonic rhythm' should not, of course, be taken for granted,
particularly at higher structural levels, since Wagner's chromatic
harmony makes traditional tonal distinctions between chords as
structural harmonic entities and chords as the product of inflective
voice leading difficult to maintain, but such distinctions are
important if the inclusion of every minuscule harmonic inflexion is to
be avoided as part of the rhythmic analysis. For the purposes of the
current discussion it is sufficient to include - in addition to the
major and minor triads - diminished seventh chords and triads with an
added seventh as structural harmonic entities, as illustrated in
Ex.53(d). (A more detailed harmonic analYSis follows the present
consideration of metre.) Other chords are only admitted if they are
not mere momentary interjections between these harmonic entities.
As with the Beethoven example, the metrical divisions of both
versions can be derived from the analysis of onset periodiCity, but to
a more limited extent. The congruence of melodic and harmonic onsets
- the strongest evidence of metrical division - is indicated using a
solid barline, whilst metrical divisions produced by periodicity 1n
only one of the two dimensions 1s indicated by a dotted barline.

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Given that the various lines of association and delineation signify
the presence of onset periodicity, then even a cursory comparison of
the two analyses reveals that the Dresden version is metrically more
regular. In fact, once its metre has been established, the Dresden
version can be grouped into an 8+8+4+4+8 bar structure: even
individual bars can be subdivided into onsets of a minim, thereby
increasing the degree of metrical regularity. Not so with the Paris
version. Firstly, the change from duple to triple time, the most
obvious alteration, militates against regular metrical subdi vision.
Secondly, and perhaps more significantly, even when the melodic line
has commenced there are four barlines that cannot be derived from the
analysis of onset periodic! ty at all (barlines 2, 3, 11 and 34). At
these moments, metre has only an esthesic existence: in the cases of
bars 2 and 3 there is, arguably, no metre at all since the minimum
condition for the presence of metrical division has not yet been
satisfied. The counter-argument to this conjecture is that the triple
time established by the introduction to this section is simply carried
over (esthesically) into the aria, but the motivic associations with
the rest of the opera contained within the introduction undermine this
argument since the aria proper does not continue with these
associations. Furthermore, the entry of the voice and the change of
orchestration preceding this entry are strong indicators of a new
beginning.
If metrical ambiguity is characteristic of the Paris version of
'Geliebter, komm!', then this ambiguity is matched in the pitch
organization - both harmonic and melodic - of the aria's revised
version. However, the implications of these alterations are far more
wide-reaching since their relationship to their historical precedent
actually influences the interpretation of the revised structure. The
circumstances by which such a specific poietic influence can be

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brought to bear on the text and the listener's perception of that text
are, of course, exceptional, but they do enable a clear demonstration
of what is normally a more subtle and evolutionary process of
influence to be made. Only those aspects of the Dresden version that
are germane to the present discussion have been included in Ex.53{e>,
and these have been transposed into F major from the FI major tonality
of the earlier version in order to facilitate comparisons. The second
structural level has been omitted since it simply separates the part
of Venus from the surrounding music, according to a principle of
timbral distinction, and contains no significant analytical results.
The structural differences between the two versions begin to
manifest themselves at the third level. In the Dresden version most
of the important pitch organization can be determined at this level,
but Wagner's introduction of trills to replace the tremolos of the
earlier version make much of the pitch structure of the Paris version
ambiguous at this level, an ambiguity that is not addressed until the
fourth level {see below>. Hence, Wagner's revisions result in the
creation of a whole new structural level. Consequently, the extensive
linear analysis of the Paris version is presented at the fourth level
using unfilled note-heads, with filled note-heads being reserved to
indicate the remnants of the third level.
The presence of a trill on the notes C-O in bar 16 provides an
example of the kind of pitch ambiguity engendered by Wagner's
revisions (similar examples can also be found in bars 8 and 9). In
the Dresden version the mezzo-soprano's 05-C5 figure over the harmonic
notes F and A (transposed) is shadowed by a O-C descent in the
orchestral parts, making 05 an obvious upper neighbour-note; whereas
in the Paris version the same figure is supported by the trilled notes
C and 0,- thereby undermining the status of 05 as a simple neighbour
note and instead suggesting that it might also be a chord note. Just

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how ambiguous the D5 sounds is partly a performance issue since it
depends on the salience of the trill compared with the overall musical
texture. However, in terms of the underlying structure, linear
analysis of the trill at the third level removes the pitch-class D so
that when the melodic line descends from D5 to C5 a simple F major
triad is produced. Nevertheless, the initial D5 is still heard
against its note of resolution and so even at this fourth level a
certain amount of ambiguity remains. One conclusion to this line of
argument is that the Dresden version, or aspects of it, represents a
structure against which to hear the revised version since successive
structural simplifications appear to point back to the earlier text.
Of course, even without the Dresden version the interpretation of the
revised score would follow the same path, but the evolutionary
understanding of the harmony would instead be expressed in general
terms: the historical placings of the T~nnh&user versions that inform
the present analysis are merely a product of serendipity.
The influence of simple linear processes on the determination of
harmonic entities has already been suggested by the contraction of the
trill in bar 16 to a single note. However, Ex.53(e) demonstrates that
far more significant linear processes conspire to create the harmonic
content of 'Geliebter, komm!'. S By delineating the pitch-class
content in the horizontal dimension according to relationships based
on close proximity, often supported by the superposition of contour
delineations, a series of stepwise linear descents - mainly from the S
of the F major triad (but some from the ~) - can be seen to unfold in

SThis technique of deriving harmonic content from the superposition of

linear processes has also been suggested by William Benjamin. See
[Benjamin, 1981l.

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a regenerative sense to produce the chords contained in this aria,
although the elegance of these linear processes is partially obscured
by the restriction of the graphic notation to three staves: ideally
each descent should occupy its own individual stave. In numerical
terms, Ex. 53(e) contains six such descents beginning on scale degree
5, all of which end on either scale degree $ or i (with the exception
of the final descents which are extended as part of a modulation
process), The only other important linear processes that contribute
to the harmonic organization of this aria centre on the logic of the
neighbour note, such as the F4-E4-F4 figure that commences in bar 1
or, more characteristically, the A-Ab-A figure that is contained as
part of several linear descents. Just how extensive the applications
of this linear technique are to harmony in general must be addressed
as part of a future undertaking: the present analysis does no more
than suggest a way of understanding chromatic harmony as the product
of such processes which may, or may not, concur with traditional
VOice-leading teChniques.
Linear descents from scale degree S to r suggest an affinity with
the fundamental line of Schenkerian analysis, although clearly their
use in the above manner represents a significant departure from
conventional Schenkerian analysis. However, in the melodic line,
where a linear descent from 5 to i might reasonably be expected, no
such patterns are forthcoming; a result, partly, of the omission of
scale degree $ from the melodic line. The simplification of the
melodic line presented in Ex.53(f), effected by comparison with the
harmonic structures revealed at the fourth level, demonstrates that
this section of the aria is a prolongation of scale degree 5. Not
until the return of this same melodic material, which precedes
TannhKuser's response to Venus' invocation, does the missing A appear
(as the highest and loudest note sung by Venus), thereby allowing the

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possibility of melodic closure (Ex.53(g». However, closure is not
achieved in a conventional tonal sense, since no Bb exists to connect
the prolonged C to the conspicuously delayed A5 and, more importantly,
the final resolution to F major is yet again thwarted by the
appearance of a diminished seventh chord: Venus demands a response
from Tannh~user, even though she disguises her demand as an
invitat ion.
The beams used to indicate the harmonic relationships in
'Geliebter, komm!' reveal a number of differences {f.," the harmonic
hierarchy and the nature of harmonic entities suggested by the
analysis of the Beethoven Variations, and these differences are
indicative of the evolutionary nature of harmonic relatedness. One
important difference concerns the inclusion of non-triadic chords as
relatively high level harmonic entities, in addition to possessing
strong functional implications (indicated by the arrows). The degree
of relatedness between these chords and the F major tonality of the
aria can mostly be gauged by internal evidence. For example, the
second chord - a diminished seventh - is only one step removed from
the tonic·triad according to the harmonic progression found in bars 9
and 10. However, this relationship might depend on the presence of
the tonic in the bass since the same chord in bar 20, which has a
different root, is two steps removed from the tonic according to
Wagner's harmonic progression. The criterion governing the degree of
relatedness between the diminished seventh chord and the tonic triad
in this aria possibly derives from Wagner's use of the F major triad's
second inversion as a relatively stable harmonic unit, quite unlike
its use in the Beethoven Variations: if the root of the diminished
seventh chord can lead into either the root or fifth of the tonic
triad (but not the third) by no more than a single stepwise motion,
then that particular diminished seventh chord is only one step removed

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from the tonic triadj a condition which, for instance, accounts for
the harmonic status of the diminished seventh chord in bar 31.
Many of the harmonic progressions in this aria unfold in a way
that is consistent with the minimum number of steps necessary to lead
back to the tonic triad, a tendency that is exhibited frequently, for
instance, between bars 16 and 27. The harmonic progression that
begins this section is also of particular theoretical interest since
it demonstrates that the degree of harmonic relatedness is non-
commutative: whilst it is possible to progress from an F major triad
to a G major triad with added seventh in one step (in this music), the
progression in the reverse direction requires a minimum of two steps.
This kind of harmonic analysis does little more than hint at how
one aspect of a theory of harmony should be established, but the need
to study the internal harmonic structure of an individual work and,
ultimately, those works which form its wider harmonic context implies
that the whole notion of, for instance, a single theory of tonal
harmony existing independently of a particular repertoire is an
enormous oversimplification.
The fifth level analysis demonstrates that although non-triadic
chords have an extended structural role in this aria, ultimately the
points of harmonic stability that frame the work are based on triadic
harmony. At this level, even the second inversion of the tonic triad
is arguably subservient to the root position triad (although this
possible distinction has not been indicated graphically): the second
inversion triads beginning at bar 19 (the pairing of which with a
dominant seventh chord constitutes a harmonic entity) are resolved at
bar 27. An alternative interpretation of bar 27 is that rather than
resolving the dissonant second inversion, it is the root position
triad itself that is unstable and hence it undergoes a transformation
back into its second inversion form at bar 32, resulting in another

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1'4, V7 harmonic entity. The difficulty in choosing between these two
interpretations results from the weakened distinction between root
position and second inversion triads that is characteristic of this
music.

Example 54, Webern: Three Little Pieces for Cello and Piano, Op.ll/I.

Webern's Op. 11/1 challenges the whole concept of structural

levels, not just 1n the particular cases of metrical hierarchies and
pitch processes, but every aspect of musical structure. S It is
impossible to draw on received theories of music in order to make
sense of this piece: the analysis must perforce start from the first
principles of the metatheory. (Indeed, as the analysis progresses so
evidence emerges suggesting that Webern himself was experimenting with
new forms of pitch organization in this piece, tentatively moving in
the direction of twelve-tone music. ) For this reason, a selection of
components from Op. 11/1 has been isolated in Ex. 54, each component
being analysed separately according to the logic of the metatheory.
If certain derived configurations.of a component are deemed to
contribute significantly to the final assimilated analysis or
'reading' (since the final analysis necessarily involves my own
personal and esthesic judgments) of the work, then some indication of
this fact will be given.
An initial response to Op. 11/1 might centre on the role of the
many interjections of silence throughout the piece. 2 Clearly, an

S5ee Ex. 27 for a complete score of Op.l1/I.

2The term 'silence' is used only loosely to indicate the intended
absence of pitch rather than, as John Cage has shown, Icont ...

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analysis that fails to account for the durations and locations of
these silences, as well as their wider structural functions, has
failed to grasp an important aspect of the work. The most basic
effect of silence is to delineate the musical whole into perceptually
well-defined segments of alternating sound and silence, as depicted in
Ex. 54(a). Whether the resulting segments are structurally significant
in the final analysis or not depends on their interactions with other
components: there 1s no a priori reason to place silence at the head
of the component hierarchy. The third-level analysis in Ex.54(a)
introduces an aspect of the metatheory's methodology that has not yet
been demonstrated, as well as initiating what will ultimately lead to
the inclusion of the silences into the overall structure of Op.ll/I.
Previously, the progress from lower to higher levels has taken place
within a single component (usually pitch), In much of Ex. 54, however,
an analysis that begins with a certain component at one level is often
transferred to a different component at the next higher level. (This
aspect of the methodology was referred to in Chapter Four.) Hence, in
Ex.54(a) an analysis that begins at the second level with the
component. of silence (or sound - the end results are
indistinguishable) transfers to the analysis of duration patterns at
the third level. If the opening crotchet rest is included as part of
this analysis (an esthesic inclusion since it depends on the
listener's observation of the performers' opening gestures) then four
out of the eleven silences that punctuate this piece can be paired

the impossible state of absolute silence: 'There is no such thing as

an empty space or an empty time. There is always something to see,
something to hear. In fact, try as we may to make silence, we
cannot.' [Cage, 1978: 8],

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with their preceding or succeeding sound-durations. Two of these
pairings are approximate (notated using the symbol I~I >, that is, they
are based on the concept of relative similarity - a proximity that
tends to equality. (For example, the first staccato-diminished
duration is approximately equal to the initial crotchet rest
relative to the succeeding dotted crotchet rest.) This pairing of
silences with other aspects of the music is continued in Ex.5~(e) by
relating rests to their surrounding pitch-durations (more precisely,
the durations between two successive pitch attacks>. In this way,
when combined with the results of Ex.5~(a>, eleven out of the twelve
interjecting silences can be directly related to the pitch content of
Op. 11/1.
Ex.54(b) and (c) both analyse the pitch structure of Op.11/I in
terms of non-identity. Ex. 54{a) does this without regard to any
possibly significant repetitions of pitch-class that might, with
different analytical objectives, have been bypassed. Of the eight
delineations produced, seven are elided with at least one other
delineation, either in terms of simultaneous pitch-attack or, in one
case, pitch-overlap (bar 6>. Hence, these delineations do not result
in a segmentation of the musical whole along its time axis. However,
the headnotes of all the delineations do appear to be significant: the
initiation of each new delineation is marked by a pitch-class identity
with either a headnote (or, if there is only one note, the headnote>
of the preceding delineation or a headnote of the succeeding
delineation, as shown in the third-level analysiS (these connections
exist as associations at the second level>. The first two
delineations are connected in this way by the recurrence of four
pitch-classes, although in this case it is necessary to include the
overlap-of F'2 with its succeeding chord in order to establish the
beginning of the delineation. This basic pattern of pairing headnotes

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from neighbouring delineations is repeated in Ex.54(c), even though
the type of pitch analysis has changed. In this second pitch
analysis, the delineations by non-identity group together twelve-note
collections to produce four complete sets and one incomplete
collection of just eight pitch-classes. Hence, the repeated notes in
bar 2 are passed over by the delineation in this example (this kind of
pitch analysis was used in the earlier studies of serial music). Only
the headnote 02 of the incomplete set remains unpaired with a headnote
of another delineation, but even in this case G2 is singled out by
association, since it is the only pitch-class to be repeated within
the ensuing collection, an association pattern that occurs elsewhere
in this analysis (bars 1 and 4). The delineation of these headnotes
into pairs at the third structural level is a subtle provocation since
it implies that these headnotes can act as substitute entities for
whole delineations. Such instances of substitution were commonplace
in the analysis of Beethoven's Op.34 Theme as part of various
prolongational processes. However, in the present case no such
implication is intended: the extension to the third level in this way
is merely a logical convenience intended to clarify the headnote
relationships. Nevertheless, as a provocation this logical
convenience is worth confronting since at its heart lies the reason
why the concept of progressive structural levels is inapplicable to
the study of Webern's Op.ll/1 (and similar pieces). Quite simply, the
inability of such headnotes to represent whole delineations -
listeners do not hear them in this way (an esthesic input) - makes it
impossible to simplify individual structural levels in an esthesically
significant way. Consequently, the third level graphS suggested in
EX.54(b) and (c) cannot exist as the basis for further delineation
processes <processes that might otherwise have led to higher
structural levels) apart from in a strictly logical sense. The

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alternative to structural levels through prolongation will become
increasingly apparent throughout this commentary, but even in terms of
the existing analytical graphs it is clear that a complex network of
segmentations is one possible conceptual solution. Indeed, in the
transition from tonality to atonality, a theory of segmentation is
arguably the natural inheritor of the position formerly occupied by
the prolongation concept, although exactly when prolongation becomes
segmentation is likely to remain a contentious issue for some time (if
it is not intrinsically unanswerable>.
The probability of such headnote pairings occurring in both of
these pitch analyses by chance is very small, indicating that both
they and their respective delineations are in some sense intentional.
However, the precise significance and meaning of these configurations
remains uncertain. Since the two sets of delineation groupings do not
generally enforce one another (a necessary condition for the
production of structural nodes) nor, with two notable exceptions, do
they correspond to the segmentations derived from the study of
silences, then the structural significance of these analyses is
doubtful (a doubt that increases with further investigations). The
two notable exceptions are the delineations commencing in bar 3 of
EX.54(c) and bar 7 of Ex.54(b), both of which are represented in the
final reading, Ex. 54(h). However, the significance of these findings
in general most probably relates to Webern's compositional technique
and its evolution towards serialism. As with serial music, in which
note-rows only rarely correspond, in their entirety, to other salient
aspects of the musical structure, the configurations derived in
Ex.54(b) and (c) serve a background or referential function. Indeed,
the primitiveness of the serial techniques uncovered - notably the use
of unordered twelve-note sets - possibly causes them to be even more
structurally (and perceptually) remote than their fully fledged note-

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row descendants (ascendants?) since the unordered nature of the
various delineations by non-identity prevents them from functioning as
a source of motivic ideas.
The order of simultaneities in Ex. 54(d) has been determined
primarily by the overlap of pitches, an inevitable consequence of
which is that some of the simultaneities so determined might also have
been derived on the basis of common pitch-attack points. However,
simultaneities that only occur by pitch attack, but in the context of
an overlapping pitch, have been omitted. Hence the important
simultaneity by attack in bar 9, pitch-class set 3-3, is not
represented in Ex. 54(d) since it overlaps with E4. The use of pitch-
class set nomenclature to describe these simultaneities does not mean
that the theories of atonality proposed by Allen Forte (1973) are
necessarily consistent with the metatheory. Rather, the nomenclature
is used in this example specifically as a means for comparing pitch-
and interval-class contents, since if any two simultaneities can be
reduced to the same pitch-class set then they automatically contain
related pitch and interval classes. All of the simultaneities
described.in Ex. 54(d) are significant to some degree. The two most
important recurring simultaneities are 6-Z10 (the second appearance of
which is highlighted by changes in timbre, attack strength and
duration) and 4-Z15, both of which function to effect structural
divisions of type II in the final analysis presentd in Ex.54(h): once
again, the pairing of different entities by identity proves to be
important.
The isolation of pc set 3-3 as an entity, by both association and
delineation (bars 4 and 9), is already emerging as a prominent aspect
of this analysis, and further investigations will reveal many more
instances of its prominence in Op. 11/1. Consequently, the
relationship between 3-3 and the simultaneities contained in EX.54(d)

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has been analysed in Table 1 by listing all the possible
configurations of 3-3 within these simultaneities. In terms of
metatheoretical logic this constitutes a study of pitch- and interval-
class identities between 3-3 and the simultaneities. Since 3-3 is
smaller than most of the sets to which it is compared then all of the
configurations indicated are subsets of their respective
simultaneities ('subset' being a concept that quantifies the degree of
identity between entities). Obviously, configurations of trichords
other than 3-3 cannot be contained within 3-3, but of the twelve
remaining simultaneities the set 3-3 is a subset of eleven of them: in
some cases, more than one configuration of 3-3 is possible. The only
listed simultaneity not to include 3-3 is the set 4-11 that appears in
bar 7 (at the beginning of the final section of the work).
Significantly, this set overlaps with its succeeding pitch to form 5-
26, a set which does contain 3-3. Arguably, the connection between
3-3 and the simultaneities in Op. 11/1 is so well established by this
stage of the piece that it is possible to posit an esthesic
relationship between 4-11 and 5-26 such that 5-26 is heard as a
'resolution' of 4-11, as indicated in Ex. 54(h). The hearing of 3-3 as
a recurring subset suggests a significant functional role for this
set. However, the pitch-class set nomenclature, which often seems
aesthetically divorced from anything but the musical logic, is in
danger of obscuring this significance. In more vernacular (not to say
home-spun) terms, the pitch-classes (0,1,4) can be said to constitute
both the warp and, it will transpire, the weft of the pitch fabric.
The status of 3-3 as a subset of the above simultaneities and, it
can be shown, their complements too, suggests that 3-3 might exist as

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a progenitor within Op.ll/1 in the sense meant by Forte (1988). The
criteria that determine this possibility are:

1. Each member of the genus as well as its complement must be a

superset of (must contain) the progenitor(s) .. : ..

2. Each pentachord must contain at least one of the tetrachords

in the genus and each hexachord must contain one of the
pentachords and at least one of the tetrachords in the genus.
[Forte, 1988: 192]

However, Forte's rules for genus formation whittle away the membership
of the various genera to such an extent that no combination of genera
is able to indicate the pervasive influence of 3-3 on the whole of
Op.ll/I: the omission of the all-interval tetrachord 4-Z15 from genera
6, 8 and 9 is particularly alarming [:265]. The failure of the genera
concept in Op. 11/1 provides an important illustration of the
difference between theory and metatheory. Forte's concept of the
genus is theoretical in the sense that its underlying and defining
criteria predetermine the nature of what is ultimately significant:
analytical significance is equated with statistical significance and
so the deriominator of the probabiiity quotient is accordingly
diminished by the imposition of theoretical constraints. This
strategy is characteristic of Forte's work. For instance, the
development of the subcomplex Kh in addition to the set complex K was
necessary because 'the rule of set-complex membership yields
aggregates of considerable size .... This suggests that analysis in
terms of K-structure may sometimes require additional refinement of
the set-complex concept in order to provide significant distinctions
among compositional sets' [Forte, 1973: 961. Of course, it might
transpire that certain repertoires justify this narrowing of the
analytical field. Returning to the issue of genera, it so happens
that Op. 1111 does satisfy the first of Forte's rules for genus

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formation around the progenitor 3-3, but this concord indicates a
particular analytical aspect of the work, one that cannot be imposed
as a theoretical prerequisite. In contrast, the metatheory enables
the study of many musical elements in order to determine what the text
reveals as potentially significant, but even then the final judgment
must be an esthesic one. Only after this investigation has been
completed is it possible to invoke, for example, the language of set
theory in order to describe the analytical findings: set theory should
functions as a mathematical metaphor; a descriptive end rather than a
prescriptive beginning.
The analysis of duration and onset patterns presented in
Ex. 54{e), particularly as they relate to the study of silences in
Op.l11I, was discussed previously. However, certain other duration
and onset patterns also emerge out of this analysis that interact with
aspects of the dynamic organization of the piece. In order to
facilitate the comparison of these two components, the crescendo and
di~nuendo indications - which would normally be graphically notated
in the established way for delineations by proximity - have been
notated using arrows directed to the right and left respectively
<consistent with the notation for accelerando and ritardando or
ritenuto). It can be observed that many of these dynamic patterns
correspond, to varying degrees, to duration and onset patterns based
on identity and close proximity. The most significant of these
correlations is between the crescendo/diminuendo pairs and their
temporal counterparts accelerando/ritardand~ although in most cases
one of these temporal instructions is replaced with a pattern based on
identities in the components of duration and onset. For example, the
crescendo/diminuendo pair in bars 8 to 9 corresponds to a temporal
pattern ·of accelerando (in terms of a series of diminishing durations
rather than a tempo change) followed by a series of four identical

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 durations. The frequency of these crescendo/diminuendo pairs
justifies their isolation as independent entities (Ed)' These dynamic
entities, characterized by a soft/loud/soft contour, contribute to the
overall formal organization of the piece, which also follows a pattern
. of soft/loud/soft. However, the precise structural divisions of the
musical whole derived from the dynamic levels do not correspond to
those suggested by the recurring pitch-class FI, as indicated in
Ex. 54 (h).
In addition to demonstrating correlations between temporal and
dynamic components, EX.54-(e) confirms, if only by omission, the
absence of any significant metrical order. Only from the second half
of bar 4- to the crotchet at the beginning of bar 5 (the only first
beat of a bar in the whole piece to coincide with a pitch attack) is
there a hint at the piece's stated time signature, and even this is
more of a gesture towards tonal rhythms - a poietic inflexion, similar
to the inclusion of major and minor triads as part of atonal chords
in, for example, bars 1 and 4- - than a significant structural event.
6
The time Signature of 8 functions more as a measure of the avoidance
of metrical regularity rather than as a precept to be adhered to.
However, the underlying quaver pulse is well represented by the
durations found in Op. 11/1, either by actual quaver durations or by
simple multiples/divisions of the quaver value (such as semiquavers,
crotchets) .
The analysis of contour patterns in Ex.54(f) is based on a
contour line determined by the succession of highest pitch attacks at
anyone time. The general pattern of rising and falling contour lines
is in itself significant as a surface feature, but the special
emphasis accorded FI2 in bar 1, 85 in bar 2, FI4- in bar 3 and FI6 in
bar 7 - as either the beginning or end points of particular contour
patterns - concurs with other aspects of this analysis. Other

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significant details emerge at the third logical level which transfers
from the component of contour to those of soundlsilence and timbre.
(Hence, this particular third level graph is in fact two graphs
combined into one.) At this level, it is possible to delineate the
initial contour line in bars 2 and 3 in terms of the boundaries of
silence to produce the linear entity 6-Z39, which contains the same
interval-class content as the simultaneity 6-Z10 that frames this
opening section of the work (i.e. they are Z-related pairs), in
agreement with Forte's analysis of this piece [Forte, 1973: 22], This
particular entity by delineation has been included in the final
analysis. Additionally, the contour line yields four occurrences of
the set 3-3 when analysed in terms of its pitch-class content - the
first examples of 3-3 being threaded as the weft of Op.l1/I.
A similar third level analysis is presented in Ex. 54(g), this
time progressing from a second level structure determined by timbre to
a the third level analysis of pitch. The initial timbral line could
itself have been further subdivided in terms of the many cello timbres
employed in Op. 11/1. This would, for example, have isolated the
appearance of 3-3 in bar 4 which is to be played ~m 5te~ However,
the timbral line has been determined in the more general sense of not
being the piano timbre. Once again, an analysis of the pitch content
yields four instances of the set 3-3. In fact, the only pitches that
are not included as part of set 3-3 in this timbral line are the F#2
in bar 1, FI6 in bar 7 (both of which have been shown to be
significant in other ways), 85 in bar 2 and 8b3 in bar 3 (both of
which are included in set 3-3 as part of the contour line). Hence,
3-3 is systematically woven through the whole of Op.l1/I.
Most of the details contained in Ex. 54(h) have now been
discussed. However, there are a number of important omissions that
only arise from the comparison of different musical components.

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Firstly, the linear entity 6-212 that crosses bars 4 and 5, which is
essential to the analysis of pitch in these bars (and which so far has
remained unexplained), can only be determined by comparing the contour
line in Ex.54(f) with the order of simultaneities in EX.54(d). Such a
comparison reveals that 6-212 appears as both a linear segment of the
contour line and also as a simultaneity. Therefore, 6-Z12 exists in
the horizontal dimension as an entity by association. Furthermore,
the final pitch of the linear 6-212, G5 in bar 5, coincides with the
actual appearance of the highest pitch of 6-212 as a simultaneity, i. e
the linear and vertical forms of 6-212 meet at a common point.
The second pitch anomaly is located in bar 8, a bar which has
been integrated into the overall dynamic and rhythmic organization of
the work, but whose pitches depart from the genera based on progenitor
3-3 in the vertical dimension. As with the previous anomaly, a
comparison of the contour line with the simultaneities of this bar
isolates the set 3-1 as a unifying entity. (The simultaneity 3-5
might also have been included in the final graph since it connects
elements of the contour line in bars 8 and 9; namely Db4, C5, FI6.)
Additionally, the delineation of this whole bar by non-identity has
been included since it leads to the only instance of a pitch-space
being chromatically filled (producing the set 8-1) in this piece.
The many analytical aspects assimilated in Ex.54(h) suggest a
basic ternary form for Op.ll/I, although the precise formal boundaries
are, to a certain extent, obscured by the non-alignment of the dynamic
structural divisions with the divisions based on pitch. Ultimately,
these latter divisions predominate since their basis in pitch
structure is more comprehensive and esthesically more compelling. The
recurring pitch-class FI demarcates the sections of this ternary form.
Hence, the first section terminates on the Bb3 of bar 3; the second
section, which is further subdivided into two episodes (basically

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corresponding to the two pitch anomalies discussed previously)
terminates at the end of bar 6; and the third section begins with the
FI6 in bar 7 (supported by the previous simultaneity 4-11). The two
episodes within the middle section are particularly interesting since
they appear to embody the tension between tonality and atonality
characteristic of this piece: the first episode with its gestures
towards tonal rhythmic patterns and triadic harmony; the second with
its emphatic rejection of these same tonal elements.

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 CONCLUSION

Sweet spring, full of sweet dayes and roses,

A box where sweets compacted lie;
My musick showes ye have your closes,
And all must die.

- George Herbert

The conclusion to this thesis is twofold. Firstly, it is necessary to

consider the extent to which the metatheory is complete as a system of
logic applicable to the analysis of music; and secondly, the shift of
emphasis from theory to analysis in future studies (as well as to more
general forms of contemporary music criticism) needs spelling out in
relation to its limiting effect on metatheoretical logic.
There is no reason to suppose that the axioms and definitions
cont ained in Chapter Four should be inscri bed on st one tablet s. An
alternative strategy for the development of the metatheory was posited
in Chapter Three, in which its contents might be distilled from
existing music theories. This strategy is now a distinct possibility
in as much as the metatheory could be used to study and assimilate
existing theories, or aspects of them, in considerable depth - much
more so than the often cursory allusions to them in this thesis might
indicate. Such an endeavour would almost certainly reveal new
metatheoretical constructs, leading to an expansion of the metatheory
itself (although care would have to be taken to distinguish
theoretical from metatheoretical statements). One addition that
immediately springs to mind involves the use of note-counting
techniques, typified by Jonathan Dunsby's analysis of the Brahms
Intermezzo in B minor, Op. 119/1 [Dunsby, 1982]. Indeed, this kind of

-225-
analysis could have been expressed axiomatically in Chapter Four since
musicologists have used similar counting techniques to study other
musical components. For instance, William Wilsen has applied this
method to the analysis of duration values in Webern's pre-Opus 1 songs
(Wilsen, 1975] in order to determine whether they support Webern's
claim that' All twelve notes have equal rights' (Webern, 1963]. The
reason for the exclusion of such counting systems from this thesis is
that their structural implications in general are unclear and so they
would have remained little more than an appendage to the main thrust
of the thesis. (Oversimplifications that equate musical significance
with statistical Significance cannot be considered a viable option at
the level of metatheory. )
In practice, any detailed consideration of existing music
theories is likely to take place in the context of specific pieces.
The essential difference between the analyses of, for example,
Webern's Op. 11/1, Wagner's 'Geliebter, komm!' or Beethoven's Op.34
Theme as presented in this thesis and the form these analyses would
take if they were piece-centred (rather than theory-centred) concerns
the relative balance of the three dimensions of the semiological
tripartition. The connection of the Beethoven, Wagner and Webern
examples to musical tradition in general was only briefly discussed.
A more complete analysis would involve not only establishing general
connections with aspects of musical tradition, but also specific
connections, or a series of connections, between different pieces -
even stylistically remote ones. One possible means of uncovering such
musical lineages is to study non-tonal compositions that contain
explicit references to tonal precursors; such as an actual quotation
or a thematic allusion - a strategy that has the benefit of testing
the application of the metatheory in a wide variety of musical styles.
By analYSing the way in which the original musical object is distorted

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it might be possible to establish connections with intermediary
composers, since the manner of a musical distortion can usually be
associated with the known compositional techniques of particular
composers. In this way it becomes possible to plot the
historical/theoretical locus between compositions and its evolutionary
influence on our perception of the musical text.

Ex. 55: Schenker's graphiC analysis of Haydn's "Chaos".

Of course, the implications of this proposed strategy go far

beyond the consideration of purely structuralist ideas: the
interactions between metatheoretical logic and the semiological
tripartition suggest that the traditionally disjunct spheres of
analysiS and criticis~ for instance, can be situated within the same
musicological horizon. Lawrence Kramer has begun to explore the
bright lights of this expansive vista by suggesting an interpretation
of Haydn's 'Representation of Chaos' in terms of both Schenker's
analysis of the work [Schenker, 1974] and the cultural understanding
of cosmological chaos that presumably informed Haydn's own particular
world-view. Specifically, the three linear progressions that
collectively span the work, including the fundamental line that is
completed after only two-thirds of the movement has passed, represent
'a chaos being mapped and mastered, an incipient space being delimited
and enclosed by the drawing of a continuous boundary' [Kramer, 1992:
101j that is, a chaos contained rather than removed, an interpretation
that unifies the evident 'chaos' of the musical surface with the
background structure. This interpretation contrasts with Schenker's
view that the linear progressions indicate the progressive
mollification of primordial chaos, an interpretation that not only
contradicts the musical surface but, Kramer argues, is at odds with

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the cosmogony of Haydn's era. The difference between these two
interpretations hinges on the conceptual priority accorded to the
background structure and the wider cultural context of the oratorio
respectively. Schenker 'generates meaning from the bottom up,
constructing a parallel in which interpretive unfolding follows
compositional unfolding' and, furthermore, he assumes that 'the
structural background is foundational in the strongest sense, that it
supplies the essential truth to which all further knowledge of the
music can be subordinated' (:8]. However, if this conceptual
priority is reversed then a wider range of meanings can be
accommodated: 'the musical structure of the "Representation of Chaos"
paraphrases sacred history in the terms of objectivist-masculinist
epistemology. The structure, indeed, can be said to arise from and
embody the paraphrase' [: 11l. The interpretation of background
structures in this or similar ways is particularly convincing in cases
where clear extramusical meanings exist. (See below for a discussion
of those cases in which there is no explicit extramusical meaning. )
The analysis of 'Geliebter, komm!', to involve an example from this
thesis, is more compelling if the succession of linear descents at the
background level are equated with the beguiling power emanating from
Venus, a seductive charm intended to entice the vacillating Tannh~user

that also finds physical expression in Venus' attempts to draw him

gently to her (' Sie versucht, ihn sanft nach sich zu ziehen'). Kramer
expresses such particular cases in more general terms: 'There is no
self-evident reason why deep structures cannot be understood to be
generated from the top down, foreground to background. In such
cases, the dynamism between layers will once again act both to produce
and to transmit qualitative values' [:6l. In practice, Kramer is not
completely innocent of bottom to top analytical/critical orientation:
he does, after all, begin his interpretive process with Schenker's

-228-
background structure. Even so, in general terms his ideas accord well
with the conceptual framework proposed in this thesis: the progress
towards background structures as understood in metatheoretical terms
depends crucially on interactions with the pOietic and esthesic
dimensions, which includes the influence of cultural 'entities' such
as cosmological theories.
(This extension of the entity concept perhaps requires
clarification. The admission of a cosmological theory, or any other
non-text based object, as an entity would depend on that theory's
general acceptance - or 'repetition' - within a particular culture
<past or present). This extended use of the entity concept is
completely consistent with the metatheory as it presently stands and
will become increasingly important in future research. Whether this
extension of the concept is quantitative or qualitative has an
important bearing on the limitations of logic: the point at which the
concept can only be applied qualitatively must obviously coincide with
the abandonment of logic in a formal sense. Furthermore, that such
poietic or esthesic entities are potentially consistent with
metatheoretical logic suggests that their validity should be tested
explicitly. To refer to the Haydn example, Kramer's interpretation of
the background structure of the "Representation of Chaos" must be
compared with other background structures, particularly in The
Creation, in order to check the consistency of the interpretation or,
alternatively, to account for any apparent interpretive anomalies. )
The interpretation or, more precisely, derivation of musical
structures that do not contain explicit references to extramusical
material brings the present discussion back to the notion of meaning
being dependent on individual works existing in relation to a musical
tradition. If the meaning of a work cannot be established by internal
considerations of the text (and even in works with extramusical

-229-
references it is unlikely that a meaning can be convincingly
established in this way), then it is necessary to relate works to
their wider cultural context. Quite how wide-ranging these
comparisons should be, or the form they should take, is impossible to
answer in general terms: they might range from the pairing of works
related by specific quotations or allusions, in which one of the works
contains an explicit extramusical meaning (such as the quotation of
Beethoven's Ninth Symphony in the final movement of Tippett's Third
Symphony); to a"vocabulary of emotional 'entities' of the kind
proposed (using less formal lang~age) by Oeryck Cooke (1959), or the
expressive 'topics' (a specific instance of an entity) recently
resurrected from the musical vernacular of the eighteenth century in
the context of musical structure by V. Kofi Agawu <1991>. By
incorporating these entities into the fabric of the metatheory, then
even in works with no immediately apparent extramusical references the
interpretation and derivation of meaningful background structures
becomes a real possibility. Of course, this synthesis of history,
analysis and criticism ultimately complicates musicology and makes the
notion of a completely objective analysis untenable: as soon as
understanding is made a function of knowledge within and beyond a text
then the understanding of that text will always be provisional, a
'reading' by a particular musicologist.

Without a doubt, the kind of musicological studies envisaged

above will require many more 'sweet springs', and so their cadences
must be no more than caesuraSi much, in fact, like the conclusion to
this thesis.

-230-
MUSIC EXAMPLES

-231-
Ex. 1, Schenker's analysis of Handel's Suite No.2 in P Major,
1st Adagio.

IMAfI'-' C.

Ci) G)

~F Id( tOE!
(j)
f

®---I
(!) )
~ fj~J

Ex. 2, Nattiez' second paradigmatic analysis of Debussy's Syrin~

-232-
 Andante g-razloso 1.:-...
.~
r I
I~
"IIi I I I

- -
!
IJ r r I V
P if
J!: l'
p
11 ~ .~. j ~ ~ j)J .I) ;
4 4 I r

-" II It - - '}.. 4,
'" 4
:
r r
!
IT V ~
if
.~.' ~ i Jl~ ~ J )lJ
p
11 ~ --= -;
4 ~ 4#'

Ex. 3, Mozart: Piano Sonata in A Major, K331 (Theme).

I.

r;wi t ~M ~[ ~i¥Ft_pE itt r 2]

Ex. 4, Debussy: Syrinx.

Ex.5, Guido d'Arezzo: Organum extract from Micrologus.

-233-
 "I

I'J
- ---.
-- 'Ft
=---=:--=~

t--

.----..
F='L~ ~-...J ~
-..
.
_=~~~~.i.
F.. ·r· --~'1
._--"
,--.

-~-·--~-t·
--
- --
----
-- ---- -
- .--- --
- .\r-- .

~ ~ ~

"
l7,
-
.- ..
:w
·--r~-·------
==-_. ='-:'~ ~~~
-

. _._. . ~t=-=· ·- .- . . . .[~._._. .~ .

1k~'I

--- . . tJ.==~ . --. --: - --==---:..

lu j;----.,
~'" --..J --'" -

,--. ,--.
-

.--. ,--.
- ~:=:...
- ---==.
-
=--= .=--.::::~
-_.
~.~:~--.:-
.It-- ---- .

------ b
--~-

~ ~ ~
~ ~

I
1

~gu
I
I

,~~'~~.~t.~~~~~~~~.,.~II~~~~~~~~~-~-i~g~~~:=-=

Ex. 6, J.5 Bach: Fugue XVII from Book II of the

Forty-Eight Preludes and Fugues.

-234--
 Lento. rna non troppo. J: oa. 80
with. IbiD 1I'OOd.D .tiok. .. _ ............................................................................. ..
Cymbal on tbe ""Ireme .d'.................................................... : 00 tb. dome
Percus8ion I
4-
~~~----~~~~~ __----~~~~~~~~~~~--~---h~
Percussion II }
~---:-
4-
____.---+8~-J.~J
P
~t-4t"-*-J +'l--=~----.J-J
4- ~
2 -------+-t--.JJ J J ,,-
*8 -+1 -+1 1

• ...J me •• I:I. tbe celt,.e, -J. •••••:OQ ttl. eJ:tr.....d•• oftlle *'a.

P.I

........................... , ".. oodeD ltick

Cym. II- On the ed~o • u with lort beaded .tick <extrema ~dr;OI 10ft bead.d ltiek
POCO. I i., e- 14 Q 3 Q'
4 2
S.D.c.c.

4
~~~+-~~~~--~~~~~L4~~~~--~~~t

p,dol.~c~' ____ --t-------____

....OOd.D .Uck lort beaded lUck ............................................................................................... .

C),m'll (IXtrom.odge)
pura, I

4-
8

Ex.7. Bart6k: Sonata for Two Pianos and Percussion/II.

-235-
 kUmt',z lJeau~OlLP - .saoitement
. ~ ""'g !!¥ ~ I.JI.J __ PI
~ It)
·Hoderalo J.6()
__ PI

J: :.~
"110"
~
.~-
7

:2! ~ l!::
,.,.~

~' /A'
.:!!:
,
i. HO.
I'"

·
IA. 1
01

fIT 7 .I ,,~
~
.
C_.
~

< IV
170·
'"T
"A A .&:
tf
l1li' ~ ~

tJYI"
ai'
cru~
!~
-
,~

.,.- ~
.. .., t>.; oi~
01
,--.",
· ---.--..
~

.-..,..,
IV • V ".!!!!!:!!.. ffJY
CodI&
,qr =-,.
01
!v flY.,
.. · 6
Co< (1&)

...
. d'
fIT ,.;.~ flIT

T.,..,..~( .
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01

T.,..,. ~ 1:- ,;~ flIT

1

. .

T.
ItT
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":::!f!:-
• T.
.
. I.·.....
I . .f ,.,~
t:IlJ'
B-'Iii
o #

N
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.
o
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'/~
;or.
~"
::7-
V""
.,~
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.r -
~,
! ~
,.,3.:; 11fI
en ./" C.B.
I C.B.

O{i- ~ 3-::1 ;l
lID
~ . 6_
~ ~;. .P.<-
,. -
Cr· a .
.f "....... - ifIf'
Anim= -8uDikmezt
C:r.•.
C.c.
a
,- il-:7l""!.
c <. ) 1 C.t.
(
It- ir-n{ it .or J
1 C.r.
t
15 12 Zl i T.e.
,/TJr

T.c.
, J ,j
, , - 7-fIIT
.
Ctb.

2c.-
Caa.
/(J.:.'--. 2C, - \
S ... I T ~ ~ . 3 ~ .
la 13 H r
In .#T' 13
./I/' .01- .ar w.;.:f
~
8. ell

<;rh.
'.i

~
Gd •. Ck.
~ ~ t:
co.
3eoa,
n co u

3u.
! I.e:: I ... .4'

- - -.
••• 111 .&r. L-Y.
b I""I'"!"l L.r.
,
Go••.
JJIf'
, .t¥
\:-t.
$' I"
.
.Q!Y'
T.-t. I
y",1
Trcl
C1CIl r .12 L.Y .~ 1..tU I
4
CYdi
Vrr
\
I
.4
1

a
_. I:;
J.L- Y f
is
L
4 .... IL. __
V'C.
15 2".w- \3 Cn
LY
=---.ff •
.rTIi
/
1 f.
"Y ==-1' P ,,,.IU ,••• 1" __ •
,,.....
$-
,..." . " . . , . "

Ex, 8, Varese: Integrales,

 Il)
Moderato poco Allegro
Flute
Petite Flute
;~
J'l
'-
C!arin~t O!n rni ~
D~
t.
Cors en ta
., attacc(J ppttfU
1\
2,
tJ
Cors en fa
3. ( 11

\~
'1.
) -;r--
Trornpcttp.s en ut \ ~.
2. I~~

Tenor \be.
,\ti
SOllrd.~
-
, 1i'?'.-•• ~.
:'l:
'\
Trombone If g{I&t.
I
Bass I t
l'lloderato poco .Allegro '$-)
Snare drum ,J A mufrlPd \

Indian drum
1 H/.Irdem~"t ~';; ~
/.'[,,.,,.. ''f'
"JS. ·~~r s-~
Bass d~um A \ \ ~" ~ I"" J I J
~ to fir pIO,,!,! •• :>

'I rf l:'\ .,..\ ~

Tambourine
0 ....
A
~

, Crash Cymbal . IOrlg

II
2 Cymbals
7fOj l' J.. L&J¥,,,,, ~ib"r
at. efatal/,.

Tamtam
. :~- r.\J.
j i:Vt. .
, . • •'.t.lad,..
i' ';,;~-
Triangle
~ .
Anvil
-,
..L
~

Slap Stick ....-

.L
/,,~
\ . \
-,:
;J
high
2 Chinese blocks
low ~ " •
.
ai~Q

gn.~

Lion Roar
\ 1
~p--=.jj
!J, ,r~
JUttle
... / ~
Big Rattle
Sleigh Bells . "'/
i'
Siren .......
1'P

Ex.9, Varese: Hyperpris£

-237-
 H~'
.1. ot===::=.:
£.,
n-; If! ,..,..--r ~ ~ ~ J ~ I'

t, f.~ t.. £1 f, t,. f.,. f. t,. t., t" t" E,.

~.I,
£,
...,-..
.T."" _.- ~-

f.
I -c-
Li.. lat -
1---
if
} ~ -
C

t,~ E"
of' -
-If'

,. .... -... ...... ~. ........ - ~

~ .. -
--
~ r }
,
- ---
Pr,...
til

"'~~
£,

"-- f--- 1----

-1&",
t,. £, t~ flo

L.t
t{ t. ~ t, ~

lilt
f. E..,

~It

Ex. 9/cont I d.

-238-
 C: lJ
\ IJ

J :

...

a
.....IIII.,
E-ill
~
::t:
......
0
(J)
...-4
I: (J)
>.
M
E oi «l
C
«l
(J)

'0
L.
«l
C
I-
OJ
(XI

..
,....
'0
.....,
en
><
t.zJ

t
r::c
i
I
!! ~
........
""\5' ~ I
i .: I
.H~ : ... : :
~

1l 04
IO:! ~ ! " ~ "
oJ
1J1
l ~

G !

-239-
 CD @ 6) @
1I0UI)
11l0lillONcj
TI.\'~~
[I' I-b
Tn 1-3
n I-l-
,
>::

ff )Q~
P
[~.) »:;'n':i' '7
LJlST(" I ltr
If
.....) >;'7:>:>:>Y:>"~:;' 17~
1/1 pt3~11 4 I'tfro I[ vtr •
if »?>"'»>7>">'7>~ 17
G-iA'~O ]I" 6-ro [ •
ff
U~NEL.LA TV" ~( [ •
if
~V,,,,vAV"

.
._)

I
..,.
N
lIN PIllO PI FUr-o

lIN 'Ilt" PI c.EtrtJo VI l,n[1

..
)
V Fro (
"V\.A-"\..-y
•
f1.A ~ yNV\.
- - - - - - - - - [
~,IV\
-"
o
I
r .) L if fl
PU\loIO
l
ft
. -::'
Pal.
, , - ~
- o --
'If -- It- O¥
-====::::::. Vc.
1-'1
f-s +,," .....

Vb 1-1 It- nv'

~-(, + nv'

ft
1(," I'tV 1," 7"
.) VI,.rOlll\~ r"b +lot lo,,",ut ~~ "I~ 0. !-ri..,.,k (oJ ,,;:) 5aIJ .. pitu ~ tJOoJ urtk ~ ha~o) .......) Vi,orollsl1 rub ut1h .. fie
1ft : -to ~c rlt,J OrI1ailpitlt . : .fD~ p~,rJ D'l41.( .,J,c ((ci-I"1~I.r ~ ',h (j,~~-l-wJ J,c ~:o +1l"'~O ..r v..(~i" ~t(

Ex. 10, Penderecki: Fl uorescences.

 f(}) E.(1)

~) I§ r~ t IU'it' Q \-- I:t t

; I. f~' rj
1. ~,.. ~*
I -~I,
:
I

~. ; k' IfjJji 5q]jht ;. ,ffi IIEW fJ J,J V

1. j ~; I I 4

I '
10, !
J ij@ I, ]
Itt. ) 4 I 1 :
b1i ~ I

1t. +. W:
I ~I I

•• -., ,
~,.
~l
~ , ,\
9& I I

~),bGk
.,,
.

Ex. 11, Debussy: Syrinx.

-241-
f ,
Ex.17
Developing' va.ria.tions of a. motive based on a. broken chord
Rhythmic changes

~ W' It r J J tr' ~ J J ir F J. ) lim' ~ J, ; lin r nlir r n I

4r 'r r' J J i'r r m {r r r' J Jil" r' P(j r r r J) J I

4wlluffiJ J In tllJ n J fr tb J J I
( 'I
Ex,IS
Addition of ancillary notes
~.)
W' r U J J Ilf Gr F!IF -
b) ~O) ~d) m~·)
Ilf pCP IltrtEFwl
mm

Ex. 12, Schoenberg: Examples 17 and 18 from

Fundamentals of MusiclJl Composition.

-242-
 Wi" ",un - d"r- bar - I ich isl doch di" - so gu·tc Hir·tc lei· dCI fur die:

Alto
Viulinoll
Wic i~ doch dic - s. SIn - f"! Dcr gu . te Hir. h:
,---... 1':\
Tenure
Viuh ~~Il=t=-
\ Wic wun-der-bar-lich iSI doch die - sc SIn - fc IOcr gu - lei: Hir-Ie ki . Jet f~1r die
• • .~ 1':\
Basso

Wi. wun-do.- bar - lich isl doch dl. _ se SIn - Eel Ocr gu - I" HI< - 'C Ie, - del fur dic

(j
r... r...
~t~r+- -/- +---~+-:-~/Ei~_ -~ -::,:e_~-::.
-- Ct-----
v Sell> fe, dic Schuld be - .. hit dcr H .. _ rc, dtr Go - rech _ te, Hir sci· nt Knc,h . . teo

-~- t=r:-;.~==-a~~~~
fe, die Schuld be-zahlt dcr Hf!r • re, der Ge r~ ~,fur ,ci - no Kn~<,;h - • te,
t:'\
-t-Jf=~
~ fc, die Schuld be-uhlt dcr Hcr - re, dcr Ge rech te, liir sei ne Knech - tc.
~ -t~ ..... t:'\ t:'\

Sd.. - fc, die Schuld be-uhlt d"r Her - re, dcr -

Gc rcch te. fur sci -
-#--~--F--.

nc Knech -
~•.
te.

b)
.,
l ') 1 , 10 II 11. I~ I~ I) 1(, 11
I'
A
-=
u
,; ~

" .:
J i- t T T T

~.

J :. ii'
P'
p
J ..
~
~ 4tJ . ""t ...... .
~

£
J T

.::=
F ==-=
J v1 I V.• I , I If. 1 v
t..'
~

IV V I --r "I " I

r
m:

Ex. 13. J. S. Bach: • Wie wunderbarlich l • MlJt thSus-P{Jssion.

-243-
 11 L
AI~
1 1 "
~'.
1 ~
! ____
• ,... ~. ~
/\~
~ ...
..,
- -..
"!" 3 3
.f frt.se
p t_ tt_ 1..- . Ii· 1Il~. :~J-
'.t .. .J '.L .. J .1: ..... .1
~ . .

,~...... ..J 1!..... ..J I 3 1

·.1: .... 1

y - - - - - " 7z -_...... ~----~,

of..J of...... ..! 1!......... .1

3
1 .... J

, . •

.
&

~.
to) a
~ . : " I• li~

Ex. 14, Beethoven: Piano Sonata Op.2, No. 111.

-244-
 Itt.

Ex. 15, Beethoven: Symphony No.3/I.

IA) II'
L"rtr0 JI : ~. (••, '-
-
- --
... .".- -
.. ..... ..
-~ p ......
~CJ
fUR. -- -
,...., " .......
(
...
"If.... .......

-'"
~

...........
"'"~~
~

... ...
~

... ...
~ ~

1.11
" ~

I (0111 IR fA
oJ
-1-" j!!!.-- '~l"
III. Ir "
oJ

,
------
-_.-

,
I
I
I I
I fI
-
-
J ....-~ !--~
.. t ~ ~;r~
•J --
It
z
·1 l* OJ

U.

rna
I.

. .. . . .. I~

Ex. 16, Stravinsky: Concerto for Piano and Wind Instruments/II.

-245-
~) MaBig ~=120
1 cantabile 3

---•-
~b;
q~ ~
39
rit _
~
- -- A 40

-
I
• V •
, , .ff
, ,

b) '-0
~
it t·
~' I' ~ i'
I. z. t*"I. t r. I. 1. r. "
~ If. II. It,

"

Ex. 17, Schoenberg: Piano Piece Op.33a.

-246-
 ~~~~~~~;~~~~~~~~~~~~~~I~~W~I~":~"~-~.~'~I.~
C'I~
"•
•
.' r .: I
., .

• T •j'

··I~~~~-~~~
_ _.li0ii, ~I..I., I " ...UlIr ......... aol.

.'Y
•

Ex. 18, J.S. Bach: 'Ich will dir mein Herze schenken', Mattht!lus-Pl!ssion

-247-
\~fllD mm ' I F lulr r
If ~ .c,It .r

-:-1

Ex. l8/cont' d.

-248-
\~U III 941-a4J2_ W'~3¥1
(~, tfrI:'rTJ'T-:T"r"J~-r:T"J- £;J"-r;c~
... I. ..1 ... L.. t .. t. _L_. L.. T. .. L.. L ..1 r.. t. __ roo.

Ex. 19, J. S. Bach: Gig-ue from Suite No.3 for solo' cello BWV 1007.

Ex. 20, Var~se: Density 21.~

-249-
 Allegro (J -Ill. J.- 88)
a) 8

>---- -~ ~
8 _______________________________________________________ LJ

(8r-------------------------------------------------------------------
4~ .. _~
. >"'

- - - - ~ <»
8 _________________________________ _

~.
(8)_______________ -------- - . q ~J >~
-------------------------._---------------------

(8):.:::----- ___ n_ --:: ::-::::::::::::::::---------:: -

--~--:::: :::::::::::::~ --.-
U ~ ~ -q. -

Ex.21, Tippett: Piano Sonata No.3.

-250-
 I ~- -- -- - - - - -- - ---- - - --- - - - - - -;,.~ - - - - - - - - - • -. - _. - - • - • - • - - - - • - - - - - • - -. - - - - -

~~.---~
~ ~~~ .~ - ~
.. ..
Iv
-
~

>. "
~ Ln; :M ~

".. " .. fI"

If'
::::=:--

n
ptJDnlt

2~ ~ !~-j ~ b~ 1---
I feJ p~so"l~ :
..;~ ~ r-:::..~ ~
po~
r-...

pp"", ... ~
ptJDlllt
/"i .J 1,

~ ..->
I --
p"omc 'fill. •

Ex. 21/cont' d.

-251-
 ---
fmllfC.

------------------------
Ex. 21/cont' d.

-252-
 ------------ ------
-----

_-1 J------....
ilJ jj] 1.1 Eli B~ ~.
lit) mp ~===:;=:
J J
~~D T

, It) f J .7 .J "
.~~ y.
" ..., r 1 .J"i ~ r- JiL (i:J ~
<

t
t) ~
"-
--
, 11'1 ...
.J '" ---, .--:
I

.
~.~
. 9- ~

Ex. 21/cont' d.

-253-
pochiss. phi mosso ).69

Ex. 21/cont' d.

-254-
b)
~.
-.d I I I

(I~ •r;; I . .. ~

ill ~li~ ~'"-

F" '( ~ \ I 'I I 1 I I 1.1 I ...J

-.
~j--

c)
%..10.

~) ItO.
-n £ht:
.
l~

~ f-J
,. -.I 1J
-J .... • ~'i i! IF ~

Ex. 21/cont' d.

-255-
 a)
Pltr.
)I, It . ...
II: O./'. I·#''''-~
8:--.-- --~--,-p- ."
fl.1.:
I"' .. - ~ .. ..L ~

01.1. Z
.::.J'
-..., po - .~ :::-
I···~.. Iff
C.1.
'!
.. .
~ ~
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~

-
Ii ~ ~
Ctl. \.2

,.,.1.1
I"'
-~
_ -.l _-fI'
g. V· ..~ .•~. .-.....!?'.
"-"":::: ...,..-!- ''! ~ ~

D,,:_tr!.."..V';!'dO J~ t32 ~ --
Ii

..,:::,,..
\. .~ ~ ~
O./'. "
PI, ..
.. r T r '\

Ii ~ ~ ~ ~
•• Z
Cfr.
... O./'. I..ll,~ fiX 'V .~
P

r.-I&'
,..-,
=
- - -- -
:::--- --
==-

Ex. 22, Stravinsky: Concerto for Piano and Wind Instruments/III.

-256-
 PI ...
1/\ ... ;.. -. .. ...
'" .. 1
_J
JI .I\..
nl.' ., .,q

0•• La "
;.. ~ -. -. ...
- -~ .J> 11 A ,lL 1
y r
-:. ~
C.I.

CLio 1.1
,'"
11. ~ . .
~
~ ... "... .. .~ .M- ~,
I" .,q
LL
,.,. I.'
~ ~ ~
p ~ rJ

PI ... t~ I I
I'"
-
" "'e .... -.
'lI'
r
.. ..
'J'~

r I .or
-.h ~
~~
~1
~
(I'

'Y.
W. I

.....
I!
'-..;j

J (w

"'OJ
!
'"".::l~

I
~-
~

1
~

1
.

#
;:
.,q

~
"

I. Z
."., ~ h .~ ..i .i k j.,

'y p p p ~ -y p .~
r r r I
'IY
IJl
I
Ctr
'" fur
..
H_".,.fI
I. Z "
Tr-" Ii: lar
U
I'" ~

-.t
fr-II
1.1
lar

J.

0-1.
J
lIT

b) n )(.6 ~ ... .k. ,~ J 1-,.

( J ""'J I r , . ;
n At.
IcJ I

..h.

• .[ :r !
ts.
I '-...I
if - -- ~ J ' J)r J' J' •

Ex. 221 cont' d.

-257-
 Tempo primo del tema.
a) cl/l/ll/bile
...-:--. ---;--...

r 3 r a r. ........ Jl' ..... .

t .... I·.t.I'f....... H:... H:. ..I·f...... I·£ ..... H: ..... I-l'J
.!.-----~
.I.. .1.
-
r r' j' ~ " '/ 14 1 ~

.~ ......................................... 1'1: ..... .

... Iof ....................... H~ ....................... !of .................. :....... I·.t. ... 1
~. .1.

4 q~ .
.. .11: ........................11: .......................... ..I1: ......................... J·f.......... .J of......... .J

. (ffiJ.

u.r
-
1:........... .J.,t........ ..J'.t.. .J

Ex. 23, Beethoven: Piano Sonata Op. 109/III.

-258-
b)C~:~ I: :11:::I::I::::t:::
ft i
I
I
I

r: l:t :---t
, ~.".

t~.
~. Il ~ 'J'

\:::::;::::tr:-:b-;~r= ~.- - -~
Ex. 23/cont' d.

Ex. 24: Meyer'S examples of melodic rhythmic grouping.

-259-
 -!:!
®
~

cl
t: :;:
@ '"

®--~~--------~~

®
.1: ~ l::- . Q

@ 1-
ii. i ....
'!S.!.. ~! ~:!

-260-
 Afl II g·jo sustl'nu to.
5, d.; ... .; :.uon.lI': tullo q'h.'Ilo pezza ddl(J.tl'!j"lm.lm~nt( .. 110 .. ,,1'" 'lIOrdllll
[...·/·IU/'rt·/t'R","n]

~ ~:cr
... H:....... J.J:..... H:.....H: ...... H~ ......................................... ..J·.\: ... H.

n .... ., .

~
IJ L.-tr__ L-+__ f-."" ~ r" --+?
tf''' q-'!] I~!:r~~ T
T

.r .. .
.-=.:. .

J + + ~T

Ex. 26, Beethoven: Piano Sonata Op.27, No.2!I.

-261-
 a) Mullige .h I...\1\) -
J n't ..•• ·tempo

1 mil Dilmprt'f 2 h~ 'i:i;;.

Violnncdl
r.~,:, ..Jp =-PfJP
ppp ( .It~.h
fI ~~
U J~' .~.
... ~~;:~ pp---
Klavier j ppp pp=-f~: J-
'~ X
ppp
nccel.· . . • • . rit.· . . tempo
11m Slag •••••• , ~'Z.
. 5 ar~o am Grlrtbrell
r it.· . . - ..
4 ~
.~
6 ~"0.

~~ p=-
pp--= f "!i=- pp==-- 1P
1\
, ~~
Iv
-- :
... .J \
: p' ~; I
pp==--
~~.
\ "11
~
f==1
1·' i
.~,..

~--.......-
J1fJ.

ppp -= =====--
-
t .

tempo

r
itq:e
V am Steg•••.••••• , •••
.......-:
.
7 8 9 ~
:
-===--
pp PPP.--==
r=--
flDchtig
fI
- :>

ru pP L L..
I,i;i: J lW
L

'I =:::--

t-
I.
n ..... ~i I I ..

I,' l:z;.
I'~
J

~Vl--/
~

c.) n * .~,
IJ ~j
( IcJ ,~,
~, .~ ..
l
.

t ,

W" ~j..
'-._ ..... _-
Ex. 27. Webern: Three Little Pieces for Cello and Piano.

-262-
 --..
.....

..J1. ~
1\

e,r-p",
4 -( U-~)
.,-
- ) 5

'I-
~.~
,,- 1 - ~.l--

~~~.J ~
~ J.
.I'n

. ~ Vh~ ~"

-~ I --==-
(e.-o ) '1 ~~
6
f-O ~ ~;:rl.l;) '\
1\ ,.; • "- .1
I
'q.'
. .,
q~,:.,~
----~
«.I
W..... ,\
if
~ .~ ~~ I lJ

- -
I
--== .. I
p~ .y/
'-- .-/

" 8
.
P-o
~
pOCO m- -9
.LH. ~ .~ -- - .~
~
-
~
- -

«.I
p _'"'1~... /~~ -
--===- '( ./
/I. bl I~ 11-'--=
I f-
I
" roO$" - P+ II..;J -.i q:l
• .......,

Ex. 28, Schoenberg: Piano Piece Op.33a.

-263-
 poco rit _

-
a te~m~~__~-----------------------------------

Ex. 28/cont' d.

-264-
 (.f:)
~ - - - - - - - -
17~ ~J ~ ----------,
" I •
: oJ
, , ,
~L b+ L _l

(~)- - - - - -.1_ _-......'

'Ir - - - - - ______ ~ __ __
--
-1 ~-
....

\1,
.4- •• •• -- _.

,. ,.

Ex. 28/ cent I d.

-265-
 I ~ I

'f ... .1 'f.J~ .. H..J

'~ll~jl~~
I
I

~I tid J llJ fJdtfH J I ~c:

Ex. 29, Beethoven: Piano Sonata Op.2, No. l/I!.

-266-
 JO
•• CD .,
- d \J"J'j 1. ~....-.- .
n.
I"
,.= -=..r
a.
I

"--=f

~-
~II
-
--=,.--=== ====--
a.

-
I"
--==- ~ """
- I

,. --- J
-
I

-. ",-
=
,. --- -
-
I
er.,
,. Cor, I" ~

,. - P,-- _:;J. ~
, IF.I

.
... Q~
~

r d' ~......
•• .!~!t > .I)",
~:I:
-~
r"- hf
r-
,.~
~

I
",L lip.
II
,,~
N
0'1
-...J
I
. "-

.
..
- puz

.., .. acies_~" "7

¥lll 'dl
~-.~ ,.- VI.
.'
piU .reo

... . . ..1';10100 __ r.r ;,

PIZ1 .~--
... .- ..
'i'-----""f ... "
I
&tea. ntt In .........
,.1
dl
I"
,
"...
=-=.......-==!
YL I
IP --====:: ,. "L ,

a..
1-----'
"," . >- li
til II
n
,. ,
-
Ex. 30, Debussy: Pre] ude a ]' apres-midi d' un {dune.
 (t 1
1\
I ('
\ ~
J ~

~l ,-

J
8
.,.I
~
<II
\ ~j
1-

\.
..
1
oIl- .. ... .~-- .

\
~
J. l-
. -'
I fl.,
..
c.J-'t.

1
io
~~
~
], I
to
..
..•
> -- --~

• .
>
....c::
o
-...u
o('")
><
Ul
~ A ~ ....
J ~
A" . ~" ~ p.,. A ~"

~
Ii... i
~
A J 4 i ~
I

~ J~
~ A
J

- ~

..

(
~~ -
. .. -
-
.. - ..
(
.
~
~~ ~
I

~ I,
po.
\
!
...
.,(.
\
-' ,. 1',. ~ <]
~
~

": . ... :
io
'" '" '" .
;

-268-
 10. -

~)~*iJdij ]JLJJ-~f¥¥f-i4fmr¥ff(j
=

n •
I,. ~i ~r f rr rif r I f rr f rr I,J ldfldJig~JJ:-1
I.)

)~.

I~" ¥... , ~f !r f rr rf rI r r r rr I~r '@r IF rrrr [ m r rf 11-===:-.

Ex. 30/cont' d.

-269-
 a) J = 105 ...--:;-'
=)- - j) = J : l·to-
~(~~OO~ \., DJJJiJ bhJth1g
Jc
..............
Violin I (~ -
1% (",orr.)
.. .. , .

f~>~rt.: -;;y_.._-_ .... ~..-.!!-Y

tJ

v""nne
mp=- mp=-p - ma~. Iff=-

r, p~l. (K!~ale) rundo arco

. "..

f71UJrt:.l!'
tJ ~~. ~ ;;1'. mf;::t.
Viola <D
- "y <D ~

Cello
I ·i=~··:~········
~Ig g !lEd 1%li, gW~"-
'tace. corlo
""'. ~~ :. ~-e;-

p.rm tro"O "ibrare

p==-pp
~
fmolto ..pr. = -"P--=f==
I ...
f .':='
=
,"
[ID -" p

[ID
71'j'

"- ..
:1"
• piZf· (~) 6 (piZZ. DDMD&le) areo
I "
... .~ ....:;. . pPp~
~-=~ p ==--
---~ L"....-:;::,.A...,..!~
f>

'--~
"f· kggiero
"Oft farttollia
(Tempo giustoj
".~ ..--::::=-... .tt

7?"!f ,...
N
I
con:-
~
'--"-'
,--.
~
:'!.!f
f"ffllto~r. ;r- ~~~-;;:.:, ... -",~ >
..y-. .,Fial
J>i"~ ~: - =f~

"
o
I p ,
f----P"·
., J'. ,
-"!i
···~~·"t-
"..............

--=== f
/!!\_-=--- ~

w.
JIJI
-
, r. • p
:
oJ
f~~ f,;;-w-
" ': >
fil] ..
~ f.
oJ f-;;::!";
,. pii. .18~tf.. _fl_ .~
-
~: ~..- - - " ~(~) - ~-
.., ",,;;:----
"!'" f' f if)
f. I..
p
f~ ~~ p~ ...1= ·n-nn
=--~ ~pp .--
~~
..-,:: ~
"'(:)!' >
f~ .ff:-.JJ.
~mf

f."h.-= I.fJ ---

-==:p --==fI!i:-
......2L...
~ u.-~

.......l......t
~. ,~

ifumfr"
-...

.",(Jto ~SpT.

...... b~T .... I

~
., j

Ex.31, Elliott Carter: String Quartet No.2 <Introduction). . . - -

if j
if•..;,.
 , . ~

- 1I1C- &. . -----

8····· .. ··· ........ ··
~.'!!.~.

i-..l.-..J
-- pp
.J
:ffa~ ~.

... p
l.b
-
5-:' (1~~~- .-.- mp lIP
.......-:r-'1~

-
if) ......l....-.. L-.:......I \".L _~-
p ~pp
--:- y

~~"" p ....
f p

,)
:u:
l/ ........ . s···· .. ········· .... ·· ...... ·.. ···· .. ···· .. ···· ..•.. ·:
'(i!€--e' :~- ,.i-~'--'~

...
t.

oJ
~
b:,!:"V1~
pp-=mp
";!ii

fr
#!t
:.J
1·
o..-L....
..
ff
,.
~

~
h- r-:r.-" .k!- ~~- I~e'

Ct=~T
-~
if""
I I ~--..

~ •*. ~ .
pp--=="V1
f ~- 0)~-
@]
,) Subito men0 moss0 (J =112) -
oJ\IU

".» - f
......
- -
J¥r--- I
.li!.- . r~~'
tJ _ "':
~:; pY
"'n~t"t:8A.
I>~-:-~ I~ ~

j j ' = - f ,b~
rti'- -. p --="!f>1¥1
."7'" .- ' -~

Pb f~
" f

./ t,

0)
-c:: ~--.... -.:..;...·n
JJ

.:s.~ ~!:. ~
, oJ
"j'
---
. .Ir.~-;:= -.' -... 'II
."1----•.- !:~

~:-
..:it.
f - ..... -p P
--.. Ik; 40.. bp'

"\ .!.~..:. ./.

(p) p ~-----w
p attaC'C'rJ

Ex. 31/cont' d.

-271-
 rt
or =- ~ ____~_-_
tJ

~ ggg- r~--
IL-_ _ _ _ _L-r_ _-_ _ _- _~-=_..I-- .-.

,) 11.
~f-
l
fi'f~~~
'" _l oil J.
--- --

[Jh
-~

-- --

;:
I I
;.
I r~ ,.
d f
. ---
~~~==_~~~~~~::i:~-
--
- .~
Ii

Ex. 311cont 1 d.

Vtt. I. \!u.n. Vv.lV. VOl. 1/.

= • ill
= t/·

~)
c- - - , - - - - -Ie" -
, - J
19' • I I.) B :t===: '-11
Ie' [
-----
I
...
,

_Ie) _ _ I __ _ _ _ I

::

Ex. 32. Beethoven: Piano Variations Op.34.

-272-
a) • 0
All egro (J _144:>
---~:> .. ~ ~~ .. '~~ .. ..
..
:> :>

[<Y
I .. J==r.; & f I
I •• "i I
- ...

~---------------------------------~

ep #-p p

b
I • a I I
(

:u:
ep --
~-
---
-p
u-

~--------------------~ ~'------------------

-
-=u-
~p
ep 'U
P P

S·············
b

I 1)
(mf)

u
e
¥- -p SImp" cal P,d

Ex. 33, Chopin: Etude Op. 10, No. 1.

-273-
.
8-···_···············
()J~~fLt i£.fI.:. - .', ... _.................

I~ 4
(
. b.. )
. ~
..
I

(
1*- 1*-

......
\,U
8b...·.......·-...·.]
. () PF~~1 £1*- - ~.
- ~~
8 .. ·_ ....····...... ··
1*-

I~ Int
( ) crUC.
L ~

~e
8 ....·· ..··..·· .. ]
bO"_
-

--
_~

~----------
-- :e:

8 ..·······....!

-
r--

r ~---------------
u _______________

Ex. 33/cont· d.

-274-
 #~~ ~
-
-u
-- ------
70
.Q +, u ..,~ ......,
- . ~ ~ ~ . -.-:-
-_. -
l~ .
~)
~ • -
..

/ L p::=f5
..
.
-

72• Q ~+u ,-
" ...
- .... ., -to ==t; 1> __
.
-
..=.t=t=
.
,y •••.••••...•••••••••.•

c-) (f)
(p) ~
L

-------------------
u __
--

77

e;;
Jrn- JaW J4"itlr c=j
8 .. ·.. ···············~···············]§

[ r-=. RE!~ ~.-~. 1--

.

~... :t==-
(p)
1"':'\

~------------------
'0'
-u
~----------------

Ex. 33/ cent I d.

-275-
 .. , .- -
~) I.

i,~~~~~v_~
.,

~I. ~1.

H r r J .i

Ex. 33/cont I d.

-276-
 a) Refer to Ex. 31 (a) .

.~~~~::~~~~;~,*,~~·"R~~
~\¥ l~r\J I) I,fW.~i$~W'f~1=;-
: " 'It

IS'
;. I <l.J rtL,f- ._~
1 ::!:t-·
I , I
- J----------
-···co,. ------~- -,-
-----_.-.
IJ ~r
f lr
~

I~r I'r 1\

,
1::::=:=.- .,
1::= . i-" . ~-~fC:::"'-:
-1 r- t-----
I
~'*' 1t

Ex, 34, Elliott Carter: String Quartet No,2 (Introduction).

-277-
 I ~
- ___ "'-.1=0(...... ~
. ., .......
~~~
...,... ,
~ ~- .-r-_
Allegro fantastico (J = 112)
t, -~1lliI b.. ~ ~ .. !i
oJ ffV =-mfr
~;-~~~.
mp nf5
~

PP " "

fman:. ~ !..;' ~~
~' .~.
PP=i- "!f~: ----
I"

"
.
,pin.
==--"!f I" \·~I-".f
~. ff (,. ,. ,./'"' ~'b~~
ppc=p
~:-

~---
.,
~
oJ

-. !I" taste>, 3~ct:O fmarr:· -=-- mp:-p p~;P;:==-

J---~t ...r:: ~, ..
......" rib. n""--
¥ .sul tn.!lilo
ff-'nf'
~

np=
" ~

[@
-
mf=--- ;~
10>

I~I=. - ....
, .. ,"1

,I,

--=
!>--:::--:--- ~
b,. 't:e:_ '-
.,

.
~- -- I"

OJ
"
f ,. ,. fp-....-' ~
pp'-"

PP
/ma",.

I oJ p. .,,5 5
=--- ~.- &ehn-& ••
'
"""'1!'"' ------
elSpr. ... f:~ ~. ~
N II- P 'I' T"~ >
--~
"
0>
., mf"-" "4-1 Col pp ,i
I
moltt:J rib.
-lIP
fr" ..J,..., L~ /:1--:-i~
f-=
...~

" ppp r
P--=f=- ~p f >-----'"
f=--p

_tt;~
-C~l-J =n.: 112-
~
"=,, r;;::;:::r"1---:
(.h= 1t\6.7)
, I. 'E;. - _ >-

I"
I Ai
!j~ --=;::t:::::I- '~
;~ ),=-f !j
===
~~
-~ -=

Ex. 35, Elliott Carter: String Quartet No.2/!. ~Ir

vir
J.:..
!j '~,
if ~~ \
"':---. f
5.
r: ...,
~
.~."" "~~i·
jf~t
........~· ..L ........ !...........;;:-~...~.~; ,_u :..~
,~

.. ,.
:~.

~
-:::::::;;:1f ·7 I t--.2
-r
 .. j (,
,II\. V
(IU
(!®
IU
~ /~
~I
~
~r
. -"

'(
,[~ r
~
L:
.~ \~
~A
~' q, ~~ :..;
Ui I~/'

~
~
i\
~~ - '(t!
:o!
!(
·f

~
l1
.!
.- J
~ Sl. e1
01
v

G~

i IIII~
L .~

01
.~
.-

(~
( ~
~ ~
Ii
'1 ~A L..~

t}-
I~h L q,

i 1
~ &:
~
f~,( ~
(
p.
,.
~

I~,""!! 1
q, ,.
.'.1ll q,

.j
,,: r;.
~I .. ,.'~.!I- .
,.
~A
U V
tn' ."l>-~
,
~
• ",,' • ",,' I
"
II ( '<: r ",,'! •
'''I! (
.....
c
o
.....u
It)
C"'l
X

1~
W
)~ "''t
lo,l~
~A ~ I ,~ ~
;~ ..... It~~
~)}~ "
~\r
..... A

-)
~I
,I. . ~A ~
~ . ..... ~ ~'

'.~'~
·5
:1

~
~
\.

~
'"
j 1
1 ~
II.....
~'t-
~
\~ i'
f
~~-
~
) ~ Ii
h:', El ~ c.!,
)
~
co
• .::
1
~

tTl.)
i 1: "

~)
1
inq,
~
~~ q,
It ;0 ~q,

(~ \
(

J ~ Q
)
f~ l
, , "lie,,';)
f
~
1
,.• ~.~ ( .. 't-
):11' urn Mil' ( ;',,'
'"
liP'
"'i urn []III(

-279-
Adag'lo, rna non troppo, con affetlo.
Langsam und sehnlluchtsvoll.
S/01ll Qlld/IIII of IOl/gillg.

Tempo del primo pezzo; tutLo il Cembalo rna piano.

Zeitma.ss des ersten Stiickes. AII.S3ilon.
Tempo ofllie/irsllllO'Vttlltllt; 'WilluJ/lt ~blll soP/Yo
~t:'\"J ))J~ ~

r~------ --

I. a.. I.
,)
I! "
l ...
'\
/ k'
. ~.
II.
• ~Ifgs±tt?l

V
l. (r>l1f_VI'L "'AlI)

,. I •
1\
• (-¥J
l (l~T/~"'L' WI»)

Ex. 36, Beethoven: Piano Sonata Op. 10llIII.

-280-
 II.'•• ___ -.~ =.;
rl.l
.A

_ ..... , ...,. -100"

...... ~ .....
... I: -IA
.~ I...;"-'
- -- .- . ."'" ... ~-
r.'.
I" ---=:..J ~.

,.., ,.., ,.., ~'"""~

-"" -
.. . ..
-
I~

..... ~IW . .. --....

.....".

.... .... ... ..........

-"
. I,::," """
... ....
I .... " I"

~ '""'I ~ ""'-I

Ex. 37, Stravinsky: Concerto for Piano and Wind Instruments/II.

-281-
 ffi; tJ9' j~ca_
!ITl1t),

~)
,,

~fu~"§r~r~btiJL-{~..L-r§r~r_'~--l~r_:~F§;F{~i_~-1-~~~-~l~l :
..
Ei:T
7.

ftiLf'DlIJQOr' If ;fl
,
rF5t¥ ~~~~-I
il11J, { iff &sf r fest
(~ :
~FP-~=::-~

(ill.
c.) -- - -- -or--- - - --T-

..
'j - -- -T - -

oJ T ... ,. .. T

A
r----r-- - - -r - - - - - T - - - - - - T-
e) # ... . .
~ ... .&
• £ ~

, L • __ 1 ____1 ___ i .. _.1 ___ 1 ___ .r

, I I 1_
-"-
IC
I I I , I

IL
I , I I , I -'-
~

- - ------ -- -- - - - - - -

Ex. 37/cont I d.

-282-
~). .I "If mp --== rrif==rinK===--_l'P_ _ _ _ _
lc
-
sin"
~----- ----.. - ..,.,....,
""~ _-~----__
-
- "

• >
~~ ~~ ~ ~>-- ~
I. \1'1'

~.---
rOI.I',

.. .
lilliI,g

--"-"------
- ~ ~
mI'
~~
i:;;;t
rr.I(lI,QJI' ::===-
It .._

1'1'
.... ~·

5 ,-----r~iI-'------

(v
.. -J~ •
...

9"
-r~. f!' b~'~,- ~ ,:; F" --.. ------..
~

f : p
-- .. .
~.'''.*' .-.' b.-
r--.~ "
--. "......., =

L/
*b1li -II.. '- ."
-----
rrrf
1
==:::::n-
= (p)==- 1'1' ---===== (mIJ)===-

16 slowing

•
poco f

b) I.

~trlltkk
ftl.

Ex. 38, Tippett: Piano Sonata No, 41111.

-283-
 l\lodel'c
11\) 8--------__
I. ~~ ~ --;;----:~------:~-~-=-=~ Gi'!--~ b~ ~ ..... =>
, "
~=

,-
t!
ppp ff f 11 711:/ f pp 11
" br- =>
~~
- r-.... ---
PIANO
\~ ,.1J-;--'
. "1 '"-I
nif
p
pp r::::jj lIif
~ -~~
lIif p-
=>
I ;
--

Jf -

4,
"
~

- -
.>--,
-- #~ ~~ r: - ~-~.
~----
~'
:::±:=

~ -
~ I ~
'111' ~J
~
t!
II I f
p jf 1/ p=fj
" ::::;::::::---
tJ ""=::.
-- - ~' ~.

p
"- b::-. ii-!- ~[P' - -#~fl
-r-+~---

q!,-

- f
}J
f
I ;
b;' -- I'~ "
+----
\
f OJ 1/1
pp~
p
- .-
8---------
s -~---:~:.~--=-~"j ~~. ~~,a-,a. '~G~ ~
, "
t!
ff nif f pp
---,a~,a

.~

p
-
r ~ ppp ff
~~-t:-

li1
- h .~
-
~:j
---::::=
f "vJ lIif IIIj
~ ,
=> L~ .-. ~h--- .
=:::
t!,~ -
"

ff ff ff

J1fb=>--

Ex. 39, Messiaen: Mode de valeurs et d'lntensit~s.

-284-
 ~ -1#c~~ ~~q;~ ~~'
:>-

~ 1\
:>- b,~-r;~. -~~*
£.-
--
I 0) 111./· 11:/ U >
--..:::'I
}J
I
~7 PP }f
1\ "~
.
(" -~l -":"
~ ~
p-' 1 -- I- ii~-
jJP ~jf P p }J f
A ::;»

b~ b.i. OJ Jf jJP jJ --

r " - - - _ _ _ _ _ _ _ . - . " ",

I~ t It It t M mIfi'l r 'r~t J

.. _ .. _- ---- .. --------------------
(t.)

Ex. 391 cont· d.

-285-
 Aa.pide: (J. ~O&)
a). >

l'l';l.
Msol

.'lllo

8
- - pocorlt.

AUo

a tc!11JlO
r'""'J"
11
./1
~, .. 10:--... Ill· .~ t~ k1 ~~~
F/.
MSo!
. .t J .t .If

/I
I_~' . _i' IIa ~"J_
I"

1\
J/
Ii ... Ii
8== ~!'
~~. 11
.6 4
-
iuil.

.f~
I" .f •

/luo
" "J.
~U6.

I f:!.-.
jliu.
r--..
'tl . ;
H .t
T
if .~ ~

EX.40(a) and (b), Boulez: 'Avant L'Artis~nt furieux,

Le m~rte~u s~ns MlJ!tre.

-286-
b)

Ex. 40/cont' d.

-287-
 pp p pp PI'

pp

c;)
,.
I~ .
Ill, ,. &-.

~.
~.

•
,. • ~F
lat);
•• h ~. I,(~. t~_

Ex.40(c), Boulez: 'Commentaire I de Bourreux de solitude'.

Ex.41, Webern: Three Little Pieces for Cello and Piano, Op.ll/I.

-288-
-269-
 Los poiJIu d'orsw ct lI,poVlts d ;,rrit comm... brus'luu coupWYs ,*,,,. II trmpo, lauf ,nd'~.:ztfr>ns "",lra&rcs:
nSJIJz. .rapide (J ~ Ut)
,~ --.. ~
Xyl"rimba
""
I"
t; \; f ~~ ":! ';qt p

~ II.-
/'"
> :1- \ ~

*
~ ~

Yt'hrapllOII#

I~ 4 1'\\
]-
1 P
.; I:.....2lI
P 1If}J

dI
"11 .6 jI "1'

fY
.P

01, ItrtJiltI

m,yauclle I .If

') f
ffa.tf
..
•
f

'71
~
"'P
-

"
4 JJ::,~z ":-4p!'dll~
hoi

•
,~ 0
iJ)

./I~
~ ~r?
I" .ffl.il f p

~! ti
"!f

'" l1.!ir ~ ~ fft. k -

j
pi".(roca-/_JCJ
jll,'!U'A ,o;,.t/,,<,,,I,"" ~(mtoJ 18) •
r "11~- ~ ~ 'D' " II
J
ff l' .If- ,/ "TI Jf J' '"
1" J/a/3OhJ 9"" If trourtnt tlans /c" po,.,i., de ~/o,DhQiJIIII If a"AI1'r1." pID. SQlfI' ,",~fll )Jlk/" ,,,IIv, tn /ndI961anl h raJ.",. ,";ell#,
)

Ilcceltlrandu ___ Q ,"f(Jtl/~ rcrpii2 (J -leol a tempo (J -1:0) (J .• ~O)

,f> ~~ ~ w:I I - - -
1'1. /I
':.. f""-.o.

III
;lfP- lJ .'"
l'P'l
.!,,
"'P 1P

1:\ '~tl ..-- 'I ~~ - ~ ~ .-

"
JIb"
""fI ./I p~
,~g "" -..,. p .I "'P
.~

,o!\'1
hI,a '"
:If p I
~
i

Ita
Accelerando _ .• II
~~tt~' ,...
g.... r,;
HouLS
f
rapid~ (J • t20)
_ ..
rtf.• - •. N a tempo (J -l~O)(J.·so)
p

,,,T
')

4
h ~,I
-
rP_
~~'-~: "t J! j~ 7ft.pp n..p
III ~ .iT P P.P ""P
pp
1':\'1 l
,,.,, p~~ ~b&
r--:-:l
Rl/o
• p-....-.-
--- ",- .." ]I f.!)!~ oJ""
"". a'lo9u. trop ~1'Q1e .. non r.9ui,. d c., ,nd,-o,''''
if

~) 1~*,~E~~~I~~!~t~'~~1~f~'r~\lr~f~f~f~(§t=f~~f~~~~~.
¥~m~b
{~'ft..i.,)

Ex. 43, Boulez: 'Commentaire II de Bourre~ux de solitude',

Le mBrte~u s~ns MfJ!tre.

-290-
 @
fl 114
• 4

. v -,.
ItJ " I"
" "'."Of

• Ft !" It!D:We
•
r If* fI~ .
" -ll. r

1\ a • 1 I
• 1
• f

I tJ If*. !' ... 11* ~ ~, ~. II· p.

>-
~ .. ~!---
£!.Til:. • .

-
>-
:
• ">
'-
K • " T. "'>

>

I
"'''''''--'''' •'" •'". -
... '--= If'

. . . . . . . . . . . . . . . . . . . . .
---
J
...
......'"-....-- 'Ii" ....
'"
•
y

fl -flccll."Il"do.
- - - •
It) --ot
. . . . . ·f
1
~ .; ~
-• -
-
I

Ex. ~~, Bart6k: 'Chromatic Invention', No, 1~5a from Mikrokosmos

-291-
') n 11. r-- - - - - - - - r- - - - -- ---T-- -- - --
J It'" . ! .' ,.. ,. ~ f. 1 :~.

t! l" ~
r-----
1 .[ - - - - - 1
~
I I
~
>
-- -

to.
n
-- ----r-- ~:T --- :-r-----T------r-----l
,.
:J Ij"'" ~

rj
1> :f'~ .-1
:>
... . ...,.. L_·_~: _l_"~~ ~: ___]

. - *1
• q

~(".~,,) - - - - - - - - - - - - - - - --

Ex. 4-4-1 cont· d.

-292-
 Ex. 45: Prolongational Types.

n
. .:----1 ~) ..) 4) ,..'- - - --, c) f)

(J
~1
) ) )
, ';lIe: ~ ".;./... \.- " '::.Ie .. Ir-

Ex. 46: Prolongational Types.

/ •
c)
n
:>c
r--l ~) ~--l .) f- ---1 J) (- - - -, .) r a
• - - -l f) _- ~- -1::::
eel
:It. Itt, .ill-- l.jjlf. I :IIW- I~

v:'c
/

" I- I 1.....--... I ........ ...--..., +,

J -
tJ. l~ ItJ l.iJ ;; iJJ
I I I r I I

Ex. 47: Prolonging set-class 3-1.

-293-
 B~ EI7
r--

-
(Su E")(. o~ .
~
(A~)-.- (.. ~)- _ - - -
lo... r_.... ' to,-.oiu.
r- _ __ _

_1_~~-. t - _(el)- - -
_ _ _ _ e _ _

- - - - -(e~oII!)\
... utic.i,...tc.I il<,,","-t.rt ..t~~~)' .:
_ _ _

I
c.

I
e~ ci9

,
... ~
.....-:: iM.-~ ._ " \........ . J}. ~i' .... 1..4t-fj- ql-j~

L-:fJ..L n--f L-J r ~. v

,..j ......
-J"\..I!~""'" ~5-'
f~-r.· .~
~
'-!_ 1"-- ~.;t

~:;-=t'"~"5:::= -=-- ~-- b:'"j " (ftl}--- .h h b r.-

, .. ,

~'(~ j
~l
~:i ~ 3 It
" -c.,
~ 7 •
.!r-
liS-A
1P
:...c fq el>
L....-.- ,..
11'--'14 ~t.
C
, G (

I
N

,
1.0
.fa
-sL ra..~SI"-5
. )

Ex. 48: Roy Travis' analysis of Schoenberg's

Lit t le Piano Piece Op. 19, No.2.
 L
. ;. . .
~i Jl
.::;. ;:
i jL
.~:
~i
. L. :1_..
t:::: .
. ..
j
n

L J

,I ,~,.
r - ---- - - - 1 -- - - - - - -- - -l
( J 1. " ti
II' ..... _
- - -
f ,) . - - - - .-
~
~ ,) .. - - - -
~

~
,. ,
L. L.
• -

L
·v--_"_. H - Jl
- J

Ex. 49, Tippett: Piano Sonata No.3.

-295-
 II
All egro mo Ito e con b rIO.
"
. 1

:
1~
-
r
Ie.! ?l·V?] Ii (7.
Ii p :i'-m
-- Ie
p~ if,.....,.....,
:
... - .......--2 -
1 2 I
.. - -- ~.I
2 •

r.
b) ,.
'f)
- -- - - - -
-t - - - - - =a=-~- -#
-
--,--
J J£', , ,
I-a' -
T
$'
f ~ fl

. • 8f-- -_
L ___ - ---
--

(6) _ _ _ _ _ _oj 1: _ ~ ___ "_ ---1---

( ... )- - - - - - -- -- - - - - _1.- _ _

c.) r -- - - - - - - --]
• (mUl)

'ttL,

Ex. 50, Beethoven: Piano Sonata Op.7/1.

-296-
 Mii.Bige J

Piano

Die Tu_ """- .w.ririeIIal I".,....,.

1\
PItIg.(.j,. l'II.':"'r~------J.·.-,- - - - - - - - -
( .
e)
qfl~~ f:..--':::: ?~
.I.!~ ,,_--... &P

.... ~V sf
4fq~~
. -==-
Ijq~5
- -.........;- '"-"

. , Pet/.. ..•.•....•..... .... .... ..... ....•.. .........•.... Mill Pet/. ................................... .

Ex. 51, Schoenberg: Piano Piece Op. 11/1.

-297-
 1'hema
Adagio

II
C4t1tllbil.
~ I~ .~ r---:i .. ..
-.:r :r
I -.b-l it I l U r ~
i

r.;L
p
r j~ :.$ !~ ~ .J J -I..

..
'-- -- - ;r -,J r

S 1\ ,~ ~ ~I I~ I~

.., r y I
~J
4 I

..-.:--.. ..
cresco f p
~.-e it oj! !I ~

r .l ~ ~~ ~ ~ 1

1.1\

..,
" I~ ~ ~ - ..
--.

[ r I W } Ir -U r
pcres~
I

j---n
I l V i
,..J. . . . ~ :.s Ie: .J .J I. - ,~

_____
---0 ..I r

111\

. j

Ex. 52, Beethoven: Variations on an Original Theme Op.34.

-298-
 I.
ri
l l.,- - - - - - -"'--=-~
.. '
----Ie: ---:..; ----- -- -l-r...i - - _~~
~- cc~;

..... l .... ---::--or-

'"----------
......._ _ _t _____ v -
d) L 1- ----- - - ----r -----
I-.l.~
- - ------
1
IPI
r-
i
--
-
1.1 if' ~ II" ~I
~
~ I:

_____ t--
l .J L'-----

Ex. 521cont' d.

-299-
 -.. - - - - - -- - - - - -~ - - -1- rT.~ - -1- - - - - - - T-I~~ -
"~ ~l
-
IJ Ip It (~
.;: J leo l'_

------- f.----"'" - - -----~ , -, t

d)-
II
- - -- - - -
~
- ..-- - - - -
.....
- - -1-ITr - - -
-:- -
-
J r
~
~ ~ it
'"
------ --- - - - - - - - JL

Ex. 52/cont' d.

-300-
 i li~5 cLi .
I
l!S5'
""
I
I
;.:n-----r -;;,-- :.=..-r- -;.:;..; - -,:.:.J
; n.- - - I J

~~ II. ----- ----

r--. . . ----~- -
..... - - ~ .T - - - - -.:.:. T ,~- - - - - -
( =:::j::::
2oo1l.1~il. IJ I ~-'
(1IIl\r~IFln)
.L~ It It.

-- - - - - - - - - -" - _ _ _ _ _ _ J. __ _
---- -------

.If - - -- I - - - --
I I ,I

IJ
I! It ~ ~ It •
_V~
.
I I

Ex. 52/cont' d.

-301-
 A A
L
;
r r. - - - - - - ~1T. - - -- - - -;r ---T - 1-,d
r- - - - -1 r-
~ ~ ~
,
}
.
1 I
A
"
.l ~ ~ ~ it' ~ T J
• --

-- - L--" ------ L..-

- -- - - --

t} t •.
,) ". f . . - -

\_--~--

I)

J'" Lir.!.
j
I

: :I
I

I~
3rJ 1oM'- 41:
(Sill"""")
•

Ex. 52/cont I d.

-302-
k} , r.-I--L.:..:--·T
- - -- - ..- -__- T_:-.- I------
lOft lIt f ,/ f ·~,t--I---fj·--f-~I-:-::-l-
t=
I ,
----------~"
- - - -'--------:::-=-=-==---'-'--------',',,----'-'~ -~
" -
~='
- II

l) ~it'A3lrt"'ciaa,tJf{;,
.
; ' ••
. . : .. . .
•• •. I
m~,
. .. '@it'!
II! 'IQ I
'/!ifl .
.
. .' .'

Ex, 521cont' d.

-303-
 Andante.
n, .,It
if!
-
t.~
~~~ f' ..:t t·b. to!:
..
cr· I.

,
I':,

1
01
,,"
P

::..
1'iolc.
III~-?-..:-'

1'..;:;iF
r.
~
~:- ~~!
pJAl:
i . . .:.·...,.
l

T.rI
I
fiJ
~
t
~
..
/fl _.. ~;::y;-

;-
~
.
p-
- -

<-: , OT pAlo.
11~-

,--
101 ~1_ .. ~
Ilr~.
-,;
Ip.--~ ~. £. rt

--== .ma.=- , ".p

..
01

.. t.
I. To
01 , elL
,01
".p
1-
Ie:
YL
,
,01
A

A
,--
It" rt"t" 1-'::--- fA >

==---
t't rt f"~

--.
p---= F=- 1'1
e
tU.afl;ltf;
. .fl.~
1[1
(Il

Ik
01
:f&~.

I.
~ Iba'

"·11
~

01 IF)

-.
1'~ 'iI
r~~ "l~

W
I

...
o
,
t.YL'
:
" ~
,--. E £ ¥ij~ ~f~ ~-

--. .. ~ -~ .
I.
~t: ...... If t' .. It' ..
.
p-_. -. ... -
01 ,.~ oJ W
I _or
- II.
...~".
1.\'1.
Ie=' ' .
'01

:
--- ..---
..
:or
.L_" -
fir

aYL ":. ,--- ~~ ~ :-

'--- ......
I.VI. ....
or

'ilT
q~
»

----=.1.
:
.. ---- .----. ,- ;
.
. lIP (i T____, _ _

.. ,
';..... ~.

=.~~,.;:.. ~-
~

(AaI-..--:=.r---
--~..
..,_
~.u..-;"'"7"~""" ~q.
-- ,oJ c.. •
,',,:it".....,':' -

'.....c::: ,.
~
---
~

Ex. 53, Wagner: I Gel1ebter, komm!', TannhHuser.

 ! M! ~t ,i
1-.. c
(
.; ~ j
•
II: 1 1'1
'tU ~ I(
i.
.
i ~N !I
It! It!
I II'
•
~ Illi 1i ~ j ~
. Ii 1 , !
v· ~

~ (".: ~\ ~.i ~.
,

,
,
~ ~ ~ ~ ~ Ii
It ~ I: "f
•
IlJ
11
-,
II
!

"
~ 1"1
,

---
t- ' I!< ~' I! : I!. ,
I! ' fi ' P , P'
I~
~' I!. '

--- ~' I!.' Io' I! ~ B-

d .....
c:
u
o
.....
("')
It"l
X

~
I tr..I
!-

[(' /1 ~iu I-
II

U~

~ I'll ,1lJ ,t

~t .
~ ~ I~ c".w I--
1\1 .', il- I: "~
; ... I .•
~\!
., fl. . .. Ii ~,

~
•
i
~~ .~
\, (. I" . I
~ !- ~ < ~ ~ , ~
- Ii ~. ~
< c
I!" t' ~_ ~ 1/
f--- a iii a ~
S ti I i~

-305-
 I I / I II
. ~

t'l
1>0-
'"
(; :(
/J ;1: ~
1
f-.. '.. ~~ :'" ~\ ~ I.. II
~il
\
~~ l
,,,,'
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l
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r~
, ,

,,
,ist • lli'"'
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,

'ffl ~l

\, p
r~ ~ ~ I) I~~
t-< Ii fi· Ii .
~<

..
< < <
~ 'il •
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'--'{- i¢
~ ~e ~ 5 5 I Ji c:
o
u
"
(")
It')

I X
t1l
I

- "'E( - , .- . ,;ro
ti. I iii!! l .~

-306-
 ~( (,i ~ h.C
I ~

l
/

I'
.u
(
<Ul
t ~ /j '.u L lj
iImJ
F- w lO, ,L ~(

f
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,-
I
r
.... ! Ie'!!!:
It '(fUUj I" "'-,,, t t . ..
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1I ~~ 1··
I~
tf
~: ~ ~c
., \ ~ft t:
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il
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ij

(~ II
II

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t:
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lao
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I. . . .

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~ ~. 1;1' ~e ~.
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la'
i
lac fa
II \ lu
• ,e Ia I

-307-
 (

....... ...c:
o
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C")
In

I I:
><
W

-308-
 I !} I
I~ ~ 1.,I
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1I. 1
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t
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.;
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(£ f ~~
tl}
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.;(
; ~ ~ .~ j . .. ~
< tw <: ~ < I- < I- , ~ .. c t.> .. <: Ii ", Ii ' ~
..;
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c ~,

-309-
 r'., I} ~J l~
,~
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al
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r:.: ~ Jl 0111
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-310-
b) (I~
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Ex. 53/cont' d.

-311-
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Ex. 53/cont I d.

-312-
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Ex. 53/cont' d.

-313-
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37.

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Ex. 53/cont' d.

-314--
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Ex. 53/cont' d.

-315-
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Ex. 54, Webern: Three Little Pieces for Cello and Piano, Op.11/I.

-316-
 c.)
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Ex. 541 cont I d.

-317-
Table 1

Simultaneity Pitch-Class Set Subset configurations of 3-3

6-Z10 (0, 1,3,4,5,7) (0,1,4) <1,4,5) (3,4, 7)

5-21 (0, 1,4-,5,8) (0,1,4-) (4,5,8)

5-3 (0, 1,2,4,5) (0,1,4) <1,2,5)

6-Z10 <0, 1,3, 4,5, 7) (0,1,4) <1,4,5) (3, 4, 7>

4-Z15 (0, 1,4,6) (0,1,4)

6-Z17 (0, 1,2,4, 7, 8) (0, 1,4) (4,7,8)

6-Z3 (0, 1,2,3,5,6) (1,2,5) (2,3,6)

6-Z12 (0, 1,2,4,6, 7) (0, 1,4)

3-1 (0, 1,2)

3-5 (0,1,6)

3-5 (0, 1,6)

4-11 (0, 1,3,5)

5-26 (0,2,4,5,8) (4,5,8)

4-19 (0, 1,4,8) (0, 1,4)

4-Z15 (0, 1,4,6) (0, 1,4)

-318-
 l.
e) I.

(I~.
t 71 1 7

S".
"
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.; ,. ~
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(P' ----.-.~
. -=c.-..'--"'-- -,

IJY ""l'-- )/ .-..

~. ~...
'=;j ..:. -.
----~.-
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Ex. !54/cont I d.

-319-
 ,)
3'" uw.:
n,dlC.. tlt'_

,..-----B~1) - - -tot -l-r...,.....,.- - - -_I. -- - - - --.-

(( .... I&)
h) I. Ig
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,.
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Ex. 54/cont' d.

-320-
a. "} ] _----------------_.... ': .. _----------
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II
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~ . J
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~~ /---::;: -~. ":
~,' ,) .~ 0 ~ 0

Ex. 55: Schenker's graphic analysis of Haydn's 'Chaos',

-321-
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