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Basic Post Tonal Theory and Analysis 1St Edition Full Chapter
Basic Post Tonal Theory and Analysis 1St Edition Full Chapter
A P P E N D I X 1: S E T- C L A S S L I S T 333
A PPE N DI X 2: GL OS S A RY 339
A P P E N D I X 3 : A N S W E R S T O S T U DY Q U E S T I O N S 343
CR E DITS 351
I N DE X 353
PR EFACE
This book addresses basic questions about concert music of the past hundred or so years. How
have composers responded to the expansion of harmonic resources that reached its pinnacle
around the turn of the twentieth century? If diatonic tonality was no longer a viable option,
what resources and methods stood in its place? To what extent has diatonicism in some form
or reconceptualization still had something to offer? What are the techniques composers have
developed to give their music unity, or novelty, or artistry? What are the sonic environments
of their works, and what is their architecture? How have things changed in the aftermath of
the Second World War and in more recent times? More simply: How have post-tonal com-
posers (re)conceived melody, harmony, rhythm, and form?
The process of answering such questions begins with tools, terminology, materials, and
approaches. The book’s first four chapters offer a step-by-step introduction to the meth-
odology of post-tonal theory, also sometimes called “atonal theory” or “set theory.” The
remaining chapters build from this foundation, in studies of adaptations of the tonal system
(Chapter 5); modeling techniques (6); formal designs (7); rhythmic organization (8); and
twelve-tone music (9, 10). It is possible to skip around within the book after acquiring the
background of Chapters 1–4, with two exceptions: the concepts in Chapter 5 are essential
background for understanding the modeling techniques in Chapter 6, and the first twelve-
tone chapter (9) is a necessary prequel to the second (10).
The book assumes no previous background in post-tonal repertoire, just an ability to
add and subtract, and a solid understanding of the language and literature of the tonal era
as exemplified by music of Bach, Mozart, Beethoven, and Wagner, and their contempo-
raries. Theoretical concepts are grounded in the close study of music by primary figures
in twentieth-century music, including Arnold Schoenberg (1874–1951), Charles Ives (1874–
1954), Béla Bartók (1881–1945), Igor Stravinsky (1882–1971), Anton Webern (1883–1945),
Alban Berg (1885–1935), Olivier Messiaen (1908–1992), and many others.
The book is designed to maximize student engagement with the repertoire and the ana-
lytical machinery. In each chapter students will find:
• Frequent interplay of concepts and applications, with copious musical excerpts and
graphic demonstrations;
• Recurring study of the same work or passage in shifting contexts and increasing depth;
• Division into brief sections, directing and organizing the learning process;
• A vocabulary list (words highlighted in bold within the main text and defined in the
Glossary in Appendix 2);
• Study Questions for monitoring student comprehension at the end of each section, an-
swered in full in Appendix 3;
ix
x BASIC POST-TONAL THEORY AND ANALYSIS
Students who have completed the book will have gained a basic understanding of many
post-tonal works, and will be well equipped for more advanced study in topics such as trans-
formational theory, similarity relations, contour theory, and twelve-tone theory. Curious
researchers will find multiple valuable book-length studies of all of the principal composers,
and pertinent articles in journals such as Journal of Music Theory, Perspectives of New Music,
Music Theory Spectrum, Music Analysis, Theory and Practice, and Intégral.
The intellectual history of the theories presented here dates back to the pioneering work
of Milton Babbitt and David Lewin in the 1950s and ’60s, and draws direct inspiration from
six foundational studies:
• George Perle, Serial Composition and Atonality (Berkeley: University of California Press,
1962; 6th ed., revised, 1991);
• Allen Forte, The Structure of Atonal Music (New Haven, CT: Yale University Press, 1973);
• Charles Wuorinen, Simple Composition (New York: Longman, 1979);
• John Rahn, Basic Atonal Theory (New York: Longman, 1980);
• Robert D. Morris, Composition with Pitch-Classes: A Theory of Compositional Design (New
Haven, CT: Yale University Press, 1987);
• Joseph N. Straus, Introduction to Post-Tonal Theory (Englewood Cliffs, NJ: Prentice-Hall,
1990; 4th ed., Norton, 2016).
Students who have completed this book and who are motivated to explore these predeces-
sors will find many areas of intersection, often involving contrasting approaches to and
notations of the same basic ideas, but also offering ample opportunities for further inquiry
and exploration.
Pitch designations throughout the book adopt the ASA (Acoustical Society of America)
standard, where middle C = C4. For the white keys of the piano, for example:
E E E E E
E E E E E E E E E
E E E E E E E E E
E
Ø
E Ó E E
E E E E E E E E
E E E E E E E E
E E E E
E
E E E E E
Preface xi
This book came to life under the watchful eye of Richard Carlin at Oxford University
Press. I thank him for his guidance and support. I also thank his assistant, Jacqueline Levine,
for help with myriad details. For their expertise during editing and production, I thank pro-
duction editor Keith Faivre, copy editor Carrie Crompton, and Art Director Michele Laseau.
I also acknowledge my personal support system: Diane, Alice, and Charlotte.
CHAPTER 1
MUSICAL UNITS
1
2 BASIC POST-TONAL THEORY AND ANALYSIS
EXAMPLE 1.1 Mozart, String Quartet in E ♭ Major, K. 171, Menuet, mm. 1–5
œ œ œ œ œ œ œ œ œ œ. œ. œ.
. . .
& ∫∫∫ 34 œ œ œ œ. œ. œ. œ. œ œ œ. œ. œ. œ. n œ œ œ œ. œ. œ.
1 2 3 4 5
p
& ∫∫∫ 34 Œ œ Œ Œ Œ Œ Œ Œ Œ Œ ∑
p œ nœ œ
B ∫∫∫ 34 Œ œ Œ Œ œ Œ Œ
œ Œ Œ œ Œ Œ ∑
p
? 3 Œ œ Œ Œ œ Œ Œ œ Œ Œ
∫∫∫ 4 œ Œ Œ ∑
p
↓↑↓↑↓↑↓↑↑↑
& bœ bœ œ bœ œ œ œ œ œ bœ œ œ œ œ bœ œ œ œ œ bœ œ œ œ œ œ n œ œ bœ œ œ œ
? bbb œœœ b œœ n œœ bœœ
œ œ bœ
This separation into two components—the melody and the supporting chords—is
immediately apparent to the ear and eye. Right after that, however, orderly tranquility
recedes. In measure 6, the dynamic level jumps from piano to forte, and the instruments pair
off into contrasting duets, each presenting a three-note step-step motive, filling in a third: the
violins unfold the motive slowly, rising in dotted half notes, while the viola and cello present
it more rapidly and repeatedly and with changes in direction (bracketed in Example 1.2).
Finally in measures 8 and 9, the instruments reach consonant agreement in a series of quar-
ter-note chords, confirming tonal arrival in the dominant key. Since we have just heard the
interplay of step-step motives in measures 6 and 7, even the ordinary cadential figure on scale
degrees 2 –1–7 in B ♭ in measure 9 can be heard as part of the motivic fabric.
Chapter 1 Musical Units 3
EXAMPLE 1.2 Mozart, String Quartet in E ♭ Major, K. 171, Menuet, mm. 6–10
{
{
{
{
{
{
To make these observations, we’ve recognized a variety of musical groupings. The melody
in the first five measures is grouped into repetitions of a one-measure motivic pattern. Sup-
porting this is a harmonic grouping of notes into chords in the other three instruments. After
that, the motivic and rhythmic groupings change to create the two duets and step-step motives
in measures 6 and 7. And in the last three measures, the instruments come together into har-
monic groupings of quarter-note chords expressing the cadential harmonies. These groupings
constitute the basic musical units of Mozart’s Menuet. The study of tonal music is tradition-
ally focused on musical units of many varieties, including chords, motives, and phrases.
1. What are the two main musical ideas in the first five measures of Mozart’s string
quartet?
2. What is the primary motivic idea in the next five measures?
1
Answers to all Study Questions appear in Appendix 3.
4 BASIC POST-TONAL THEORY AND ANALYSIS
EXAMPLE 1.3 Webern, Six Bagatelles for String Quartet, op. 9, no. 1
1 2 3
Chapter 1 Musical Units 5
6 BASIC POST-TONAL THEORY AND ANALYSIS
As you become familiar with Webern’s Bagatelle, groupings emerge. In the first three
measures, for example, notes are rhythmically grouped into twos and threes (Ex. 1.4). This
starts right away with the initial cello/viola/first violin notes in measure 1, and then continues
within individual instruments, starting with the second violin’s C4 –G ♭4 –A ♭4 in measure 2.
The first violin has a five-note melody in measures 2 and 3, separated by slurs into a 3 + 2
grouping. The viola adds a rhythmically distinct oscillation in measure 2 between two notes,
A 3 and B3. And so forth. Throughout the remaining seven measures of the piece, these same
sorts of two- and three-note groupings continue, defined by rhythm, articulation, and/or
registral proximity.
Chapter 1 Musical Units 7
Look again through the entire score in Example 1.3. There are a few individual notes
that don’t relate as strongly with others to make two- or three-note groupings, but for the
most part, the only obvious musical units of a size other than two or three are the four-note
sonorities formed by concurrent double stops in the second violin and cello in measure 4, and
in first violin and viola in measures 8 and 9. These chords are conspicuous because of their
size and rhythmic uniformity, calling to mind the harmonies in uniform rhythms at the end
of Mozart’s Menuet (Ex. 1.2).
Groupings based on specific recurring intervals or rhythms are more of a rarity in
Webern’s Bagatelle. This music has nothing like the repeating motivic patterns in the first
five measures of Mozart’s Menuet. Webern writes tiny gestures that resemble each other, such
as the viola’s leap up followed by a step down in measure 4, recalled by the second violin in
measure 9 (Ex. 1.5). But for the most part, the Bagatelle is distinguished by its variety of ges-
ture, rhythm, and articulation, not by repeating rhythmic or motivic patterns.
a. viola, m. 4 b. 2nd violin, m. 9
& #w w bw
The chromatic cluster is an element of harmonic consistency in the Bagatelle. We see it
again, for example, in the final measure (Ex. 1.7a), where the cello and viola present a chro-
matic clustering of B, C, and C ♯ (Ex. 1.7b).
To say that these two musical units are both “chromatic clusters” doesn’t mean they
look and sound exactly like consecutive notes in a chromatic scale. In measure 1, the musi-
cal ordering is D–E ♭ –C ♯, not C ♯ –D–E ♭ as in the actual chromatic scale. In measure 10, the
ordering is B–C ♯ –C, not B–C–C ♯. And even if these notes were ordered as in a chromatic
scale, they wouldn’t all relate by actual steps. The D4 and E ♭4 in measure 1 are literally a half
step apart, but the C ♯5 is up in the next octave, many half steps away. All three notes clustered
in measure 10 lie in different octaves—B2, C ♯4, and C5.
Chapter 1 Musical Units 9
w #w
w
www
www
a. measure 1 b. measure 8
register in measures 8 and 9, just before the primary G ♭4 –F5 –E 5 in the second violin (Ex. 1.9).
A secondary chromatic cluster begins with the viola’s tremolo C ♯ 7 harmonic, followed by the
cello’s harmonic D5, and concludes with the second violin’s E ♭6 in measure 9. In fact, this
formation is another realization of the same three notes (C ♯ –D–E ♭) of the primary chromatic
cluster in measure 1.
w bw
#w
Secondary chromatic clusters often lurk in the Bagatelle, like a subtle subtext in a novel
or play. Notice how often, for example, a two-note grouping can be joined with a third note
from another grouping in close proximity to form a three-note chromatic cluster (Ex. 1.3).
Here are a few such instances:
• As the viola moves back and forth between A 3 and B3 in measure 2, the first violin com-
pletes the cluster with its B ♭5.
• The next two first violin notes in measure 2—E 5 and F4 —similarly cluster with the
cello’s F ♯ 2 .
• The beginning of the cello motive starting in measure 3, C4 –B4, completes a chromatic
cluster with the second violin’s pizzicato B ♭3 on the next downbeat.
12 BASIC POST-TONAL THEORY AND ANALYSIS
Now listen to the Bagatelle a few more times, thinking about the structure and sound of
the three-note chromatic cluster. At some point during the discovery process, the music starts
to sound more familiar, more comprehensible, more engaging. You start noticing chromatic
clusters of other sizes. (Consider, for example, the role of the next note after the cluster in
measure 1.) You also start to notice recurring note groupings that aren’t chromatically based.
You begin to make further and deeper connections between Webern and his predecessors
in the string quartet tradition. You begin to realize that Webern and, for instance, his Aus-
trian compatriot Mozart aren’t actually as different as they might at first seem.
VOCABULARY
chromatic cluster primary grouping secondary grouping
musical unit
EXERCISES