SYMMETRICAL SETS IN WEBERN’S Op. 10, No. 4 PETER JOHNSON Leto A set is symmetrical when its constituent pitch-classes balance one another about an axis of symmetry. Example 1, the violin phrase that ends Webern’s Op. 10, No. 4, presents the set 8 10 4 2 3, in which the dyads 8,10 and 4,2 both span an axis coincident with pc 3. This set, at various transpositions, is of primary importance in We- bern’s piece, and we shall see that the entire pitch-structure arises from certain of its swbsets, and the transpositions and combinations of these subsets as governed by the function of inversional balance about specific axes. 10°42 3 Ex. 1 mm. 5-6 The notion of inversional symmetry has informed a number of studies of early atonal works, although an analytical procedure that is generally applicable has yet to be evolved. David Lewin [6] and Bruce Archibald [1],* analysing Schoenberg's Die Kreuze (Pierrot, No. 14) and Webern’s Op. 5, No. 2, respectively, have shown that the dynamics of tension and resolution can be related to asymmetrical/ symmetrical pitch-structures over the scale of an entire piece. Perhaps * References will be found at the end of this article.zu PERSPECTIVES OF NEW MUSIC more interestingly, Roy Travis (Schoenberg's Op. 19, No. 2 [7]) and Benjamin Boretz (Webern’s Op. 5, No. 4 [3]) set out to present a schematic framework to rationalize the pitch-class structure of a com- plete piece, the result in each case being a structure that is essentially symmetrical. A similar pitch-class framework is arrived at by Fried- helm Déhl [4], who studies Webern’s Op. 9, No. 5 in terms of chro- matic voice-leading. Each of these writers adopts a different analytical approach, yet each has found that the principle of inversional sym- metry informs the pitch-structure of pieces that at a superficial level seem ostensibly asymmetrical. It will be evident from the above that principles of inversional sym- metry, can justify both local progression and overall formal struc- ture in certain atonal contexts. It is in respect of these aspects of analysis that set-structure analysis, as expounded by Allen Forte [5], seems less effective. Indeed, the great divergence between the set-struc- ture approach and the various studies involving inversional symmetry arises, generally speaking, from the tendency of the former to deal with ‘motivic’ relationships at the surface level of the music,’ while the latter are concerned with the broader, Schenker-like relationships underlying the piece. If this is the case, the two approaches should not be regarded as incompatible, for they complement each other in the same way that motivic and harmonic analyses in tonal music are complementary. Even so, some of the techniques adopted by Forte can be useful in dealing with inversionally balanced structures, as we hope to show here. In The Structure of Atonal Music, Forte tends to ignore inversional relationships in his analyses, and indeed, makes no mention of axes of symmetry. He does, however, discuss some aspects of inversional symmetry (‘inversional invariance’). He observes that most prime forms of sets are either symmetrical in themselves, or hold a symme- trical subset of one fewer elements.? The set 6-243 (0,1,2,5,6,8) shown in Ex. 2 is an instance of an asymmetrical set which holds a symmetrical set of one fewer elements (5-15, (0,1,2,6,8) ). The near- symmetrical property of most sets can, as we shall see, provide the composer with an appropriate and fruitful means of controlling atonal pitch-structures both locally and over the scale of a complete piece.SYMMETRICAL SETS IN WEBERN’S oP. 10, No. 4 221 5-15 (0,1, 2.6.8) L243 (0,1,2,5,6,8) Ex. 2 mm. 0-1 There is a brief analysis of Webern’s Op. 10, No. 4 in Forte’s book—although, as the author admits, the results are not altogether satisfactory.* Forte’s account is in fact over-complex, the proliferation of distinct prime forms tending to obscure the relatively simple under- lying structure. The piece falls naturally into three sections, which, with Forte, we label A, B, and C (see Ex. 3). The upper stave of Ex. 3 shows the melodic Hauptstimme, always clearly defined, but = (10), 1 ol) + 04 usis— 2 626 462403 67— Ex. 3 Sections A, B, and G with integer notation most strongly differentiated in Section C. Section B is the longest sec- tion, three times as long as Section A, yet comprising one fewer dis- tinct pitch-classes. The repeated A’s in this section have a strangely insistent character, but pc 9 occurs nowhere else in the piece. The interval successions* of the three melodic phrases are: 3 Forte, pp. 89-91. 4 (interval classes (ic's) between successive pitches)222 PERSPECTIVES OF NEW MUSIC Section A (mandolin) : [2-6-1-4-1] Section B (trumpet, trombone) : [6-2-1-6-1] Section C (violin): [2-6-2-1] from which we may surmise that ic’s 1,2, and 6 are of some impor- tance, The piece as a whole will be shown to involve first the com- bination, and then the differentiation, of two kinds of symmetrical sets, characterized respectively by ic’s 2 and 1. We shall refer to the ‘ic2’ sets collectively as Scheme X, while the ‘icl’ sets are represented by two related schemes, ¥ and Y’. The notion of the ‘scheme’ is introduced to represent a framework of inversional relationships between pc’s and between sets. We define a scheme as a set of symmetrical sets arising from the association of specific pitch-classes, and having a mutual axis or set of axes. The influence of the scheme may extend to all twelve pitch-classes, as with Scheme X (Fig. 1 below), or be limited to a smaller number of pc’s, as with Scheme Y (Fig. 2). A scheme does not determine a specific order of events, but it does govern the contextual association of pc’s or sets. Finally, we may note that a scheme may be transposed, thereby giving rise to new associations among the pc’s, while of course the sets retain their identity as prime forms. In the analysis that follows, an axis is indicated by the symbol P. Following the conventions of integer notation, PO represents an axis through C¥, P1 represents an axis through C%, and so on. PO/1 bi- sects the interval between C and Cf. As we are concerned here with pitch-classes, axes a tritone apart are equivalent (see Fig. 1 below). There is therefore a total of twelve possible axes: PO, Pi,....P5 and PO/1, P1/2,....P5/6.* The unordered set of twelve pitch-classes is therefore symmetrical about twelve axes. By means of the association of pitch-classes, a specific orientation of some or all of the twelve pitch-classes can be achieved, this orientation being determined by the functional axis or axes. Figure 1 shows the specific orientation of the twelve pitch-classes determined by Scheme X. This scheme evolves from the association of pc’s 0 and 2 as an ic2 dyad. Any of the four ic2 dyads shown in Fig. 1 as chords of the circle would serve as a point of departure, but in Op. 10, No. 4, it is © See Lewin [6] pp. 1ff.SYMMETRICAL SETS IN WEBERN’S oP. 10, No. + 223 Fig. 1 Scheme X 0,2 that sets the process in motion. The axis of 0,2 is of course P1. The dyad 6,8 has the same axis, but the set 0,2,6,8 is symmetrical about both Pi and P4. If we now rotate 0,2,6,8 through 45° on Fig. 1 (i¢., transpose to t3) we have 3,5,9,11, which is likewise sym- metrical about P1/P4. Once in place, these eight pe’s have two other axes, P2/3 and P5/6, which we may regard as subsidiary axes in this context. The remaining pc’s 1,7 and 4,10 correspond to the two main axes, and provided they are introduced in pairs (ic6), the main P1/P4 symmetry is not disturbed. The introduction of the four axial pitches into Scheme X gives rise to icl. (The other eight pe’s are all related through ic2 and its mul- tiples.) Another way of presenting Scheme X might have been by way of the set 3-1 (0,1,2), for the sets 0,2 and 0,1,2 have a special identity, quite distinct from 0,1, or 2,3, which are icl dyads. Schemes built from icl dyads (some examples are shown below as Y and Y’) have a distinct character in that ic] occurs as a quasi-motivic interval. In Scheme X, the occurrence of icl is merely an obvious consequence of the use of the twelve pitch-classes. Indeed, if inversional symmetry has anything to do with expressive functions, we would expect the interval succession [2-1] to produce the effect either of resolution or of cadence, and as we shall see, there are at least two occasions in Op. 10, No. 4 where this is demonstrably the case. Having discussed some of the theoretical implications of Scheme X, let us now examine Webern's piece. Scheme X governs the basic pitch-structure in Section A and in the first half of Section B as follows:224 PERSPECTIVES OF NEW MUSIC Section A Section B 53+4 | on ft Les 7 ——____ Section A comes to rest on pc4, indicating the temporary dominance of P4 (balancing the initial definition of P1). Section B begins with pcl0, which associates with pc to restore the dual axes P1/P4. All twelve pc's are successively presented,® but the influence of Scheme X extends to the restatement of pc’s 5,3. The remaining events in Sec- tion B are not encompassed in Scheme X. In Section A, there is one anomaly in an otherwise perfectly bal- anced pattern, for pc5 is displaced from its associated pitches, 3,4. The harp chord (1,5,6) introduces icl, and the mandolin melody emerges in m.1 as 8,7,3,4, again emphasizing icl. A secondary Scheme Y has emerged (Fig. 2): Fig. 2. Scheme Y This scheme can also be represented in terms of the harp chord, which is the asymmetrical set 3-4: It has often been observed that this piece presents two successive (but differ- ent) twelve-note rows, followed by an incomplete third row. This fact is by no means irrelevant but does not in itself ‘justify’ the pitch-class content of the piece.SYMMETRICAL SETS IN WEBERN’S OP. 10, No. + 225 10 8 8 7 6 6 P5/6 (each vertical set is 3-4) 5 5 4 1 3 3 Scheme Y is based, then, on the dyad 5,6, which emerged as an ir- regularity in Scheme X. The single axis of Scheme Y is one of the subsidiary axes in Scheme X (see Fig. 1). If Schemes X and Y are both operative in m.1, how do they in- teract? At a surface level, icl is exposed as a quasi-motivic, expres- sive interval. At a deeper structural level (Scheme X), pc's 1,74, and 10 are ‘neutral’ axial pitches. The four notes of the mandolin melody in m.1, 8,7,3,4, can thus be understood as a pair of ‘motivic’ icl dyads, and at a deeper level, as a pair of ‘resolution’ or cadence figures: 837, 34 The ‘displaced’ pc5 in m.1 forms an element in the set 6-Z43: 0,1,2,5,6,8. This prime form occurs in all three sections of the piece, as Allen Forte observes, and it is its appearance in Section B that establishes the link between Scheme X and a new set of ic] relation- (Scheme X) ——6-243-—1_ Scheme Y’ (9,10,11,2,3,5) The dyad 3,2 forms the basis of Scheme Y’ in just the same way that the dyad 5,6 had formed the basis of Scheme Y. The set structure is now based on the symmetrical set 4-8, which holds balanced pairs of 3-4 (see Scheme Y), and pairs of a new three-element set 3-5: 8 7 a poy 6238 107 9 c ——_ (0,1,2,3,7,8) tL__3.5_L}—_—-4_ , —___1 U4 3S226 PERSPECTIVES OF NEW MUSIC This scheme explains why the dyad 10,9 is sustained through most of Section B, for the pc's 11 and 5 (heard earlier) play no part in this scheme. The whole of Section B can be interpreted as a working out or clarification of the relationships between the various subsets of sets 6-Z43 and 5-15. 5-15, presented at the start of Section B, falls clearly within the ambit of Scheme X, featuring the set 3-1 and two ic2 dyads. But it also holds two icl dyads, together with sets 3-4 (Scheme Y) and 3-5 (Scheme Y’). The dyad 10,9 is first associated with pcll (set 3-1, Scheme X), but then interacts with pc3 (set 3-5, Scheme Y’) to form part of the symmetrical set 6-Z38. In Section C, the two distinct segments consist respectively of the complement of Y’, and a new transposition of 5-15. The complement of Y’ holds two 3-1 sets, (reminiscent of Scheme X), but contextual associations ensure that icl dyads and set 3-5 are the functional subcomponents: 6 45 6-Z6 P2/3-(0,1,2,5,6,7) O1 i UL—35— 4 U—3.5——_JI The axis is still P2/3. The second segment is likewise organised to ensure the clear identification of its functional subcomponents: ic2 is brought to the fore by the dyads 8,10 and 4,2, while the final note, pc3, provides another instance of an axial pc serving to establish a cadence in the context of set 3-1. The overall plan of the piece therefore involves the progressive differentiation of ‘ic2’ structures (Scheme X) and ‘icl’ structures (Schemes Y and Y’). In Section A, Schemes X and Y are inter- twined, involving common pc's. In Section B, Schemes X and Y’ are presented successively, but are linked contextually by the trumpet melody. In Section C, the two schemes are isolated as two distinct segments. The plan of the piece, together with the relevant axes of symmetry, is diagrammatically represented on the next page. Concerning the overall pattern of axes, there is one curious feature in an otherwise perfectly logical sequence. Conventional notions of structural balance would suggest that the axis at the end of the piece would correspond to one of the axes defined at or near the beginning, or to one that has otherwise been prominent. Webern ends his pieceSYMMETRICAL SETS IN WEBERN’S OP. 10, No. 4 227 Section A Section B Section C xX... oe X (transp.)__ \ Schemes: y. Y’ \_(compl.) Axes: P3—___ with an entirely new axis, P3. There is only one factor in the piece to suggest that this axis might occur, namely the reiterated Ats (pc9) in Section B. A 4-8 set does occur at the start of the piece, 0,1,5,6, which is symmetrical about P3, but this is hidden in the texture (along with many other sets and trivial inversional patterns) and the remaining pitches of Section A cannot be grouped as a P3 scheme. But if analytical justification of P3 is lacking within the piece, it can certainly be found in the preceding movement, Op. 10, No. 3. This is the piece containing the two sustained, shimmering chord textures, (mm, 0-3 and 7-10). The first of these (Ex. 4) presents the set 6-Z43 (8,9,10,1,2,4)—a fact of interest in itself, but doubly signifi- cant if we group this set with the first violin note, pc5, which yields a symmetrical seven-element set whose axis is P3. The second violin note is outside this inversional scheme, but the third and fourth notes, 0,6 clearly articulate it. The second sustained chord texture (mm. 7-10) presents the pc's 1,2,3,4,5, and is thus itself symmetrical about P3. As we would expect there are other axes operative in this piece, and the special association of P3 with these two strange passages, and with the somewhat enigmatic wisp of violin melody that concludes Op. 10, No. 4, seem far from coincidental. Ex. 4 Webern, Op. 10, No. 3, mm, 0-3228 PERSPECTIVES OF NEW MUSIC The notion of inversional symmetry can be of value in resolving one of the difficulties inherent in the set-structure approach to analy- sis.’ Forte discusses Op. 10, No. 4 in the context of a section on seg- mentation. In deciding which collections of pc’s should be regarded as relevant sets, Forte emphasizes the need to look beyond the super- ficial divisions suggested by contextual features such as simultancities, melodic phrases, and so on.* But he does advise the prospective analyst not to isolate sets that overlap two sections, advice that we have shown to be unsound in the context of Op. 10, No. 4. On the other hand, systematic segmentation (such as is achieved by the technique of im- brication®) tends to produce a plethora of prime forms that can be cumbersome to handle—and indeed, one may miss the main points. Forte's analysis illustrates this: from the twenty-eight notes constitut- ing the whole piece (discounting immediate repetitions), Forte ex- tracts twenty-one prime forms. Even so, 4-25 does not figure among them, The notion of inversional symmetry offers specific criteria for segmentation and for the selection and classification of prime forms, and furthermore suggests how a ‘thematic’ asymmetrical set may de- termine specific features of a composition. In Op. 10, No. 4, the set 6-Z43 is the source of Schemes X, Y, and Y’, for it holds the sym- metrical sets 4~25, 4-7, and 4-8: 4-25 (0,2,6,8) 5-15 (0,1,2,6,8) 4-8 (0,1,5,6) 3-5 (0,1,6) 4-7 (0,1.45)> 3-4 (01,5) CH NUAD We have seen how Schemes Y and Y’ both emerged from the hori- zontal or vertical association of the 5,6 elements, or their respective transpositions. Lewin [6] claims that all of Schoenberg’s music is governed by the principle of inversional balance. Evidence so far suggests that similar 7 See Benjamin (2) pp. 175-79. ® Forte, p. 83: “The general neglect of this problem area [of segmentation] is probably due to a widespread, but unstated, assumption that atonal music is struc- tured, if at all, only at the most obvious surface level.” * Forte, p. 83: Imbrication is “the systematic (sequential) extraction of sub- components of some configuration”.SYMMETRICAL SETS IN WEBERN’S oP. 10, No. 4 229 principles govern Webern's early atonal works. Neither claim can be substantiated until a massive amount of analytical evidence has been compiled or until an analytical technique has been evolved that will show such symmetrical patterns as exist clearly and economically. It remains to be seen whether the notion of the scheme of symmetrical sets will be of general value in this respect, for in other contexts, the approaches suggested by, for example, Lewin, Archibald, or Boretz may be more productive. But however clearly we are able to ration- alize the underlying structures of these early atonal works, we should not forget that their unique expressive qualities are in part determined by their fragmentary character at the surface level. Ultimately, per- haps, it will be at the interface between the surface irregularities and the underlying symmetries that the most fascinating aspects of these pieces will be found. REFERENCES [1] Bruce Archibald, “Some Thoughts on Symmetry in Early Webern: Op. 5, No. 2” in Perspectives of New Music, Vol. 10, No. 2. [2] William E. Benjamin, review of [5] in PNM, Vol. 13, No. 1. [3] Benjamin Boretz, “Meta-Variations Part IV, Analytical Fallout (1)” in PNM, Vol. 11, No. 1. [4] Friedhelm Dahl, Webern (Munich, 1976), esp. p. 178. [5] Allen Forte, The Structure of Atonal Music (New Haven, 1973). [6] David Lewin, “Inversional Balance as an Organizing Force in Schoen- berg’s Music” in PNM, Vol. 6, No. 2. [7] Roy Travis, “Directed Motion in Schoenberg and Webern” in PNM, Vol. 4, No. 2.