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JMM: The <strong>Journal</strong> <strong>of</strong> <strong>Music</strong> <strong>and</strong> <strong>Meaning</strong>, vol.4, Winter<br />
2007, section 3. [Do not cite or quote from this version, but only<br />
from the online version]<br />
Lasse Thoresen<br />
with the assistance <strong>of</strong> Andreas Hedman <strong>and</strong> Olav Anton Thommessen<br />
FORM-BUILDING TRANSFORMATIONS: AN APPROACH<br />
TO THE AURAL ANALYSIS OF EMERGENT MUSICAL<br />
FORMS.<br />
1.0 On the Theoretical Background <strong>of</strong> Aural Sonology.<br />
The present approach to analysis, termed Aural Sonology, results from an<br />
attempt to analyze music as represented on a phonogram, rather than on a<br />
score. This approach is particularly useful for dealing with music for which<br />
no score is available (e.g. electroacoustic music) or music in which there is<br />
no simple one-to-one correspondence between score <strong>and</strong> the aural<br />
phenomenon (which is <strong>of</strong>ten the case with late romantic <strong>and</strong> impressionist<br />
music as well as contemporary music), although music in which such a<br />
correspondence is evident (e.g. classical Western music) is by no means<br />
excluded, as long as the piece is represented on a phonogram. Aural<br />
Sonology shifts the focus <strong>of</strong> musical analysis from applying analytical<br />
concepts to what the analyst sees in a score, towards what she hears. The<br />
musical object is not entirely an objective fact but is partly constituted by<br />
the listener’s intentions. Accordingly, in order to achieve a systematic<br />
analytical approach with a degree <strong>of</strong> intersubjective consensus, the analysis<br />
must be backed up by a theory <strong>of</strong> listening intentions, <strong>and</strong> these must not<br />
only be identified but practiced by the analyst: she must learn to observe,<br />
discern <strong>and</strong> select a specific listening intention <strong>of</strong> her own mind, as well as<br />
be able to set <strong>and</strong> maintain a consistent focus on selected str<strong>and</strong>s <strong>of</strong> the<br />
multidimensional reality <strong>of</strong> music as heard. 1<br />
The objective <strong>of</strong> this article is to present one particular method <strong>of</strong> analysis<br />
developed within the framework. However, since Aural Sonology differs from<br />
most other scholarly approaches to analysis, it will be useful for the reader<br />
to have a condensed introduction to some <strong>of</strong> the theoretical <strong>and</strong> aesthetic<br />
assumptions on which it rests.<br />
1.1 Background <strong>and</strong> Aesthetic Orientation<br />
The Aural Sonology Project began in the 1970s. The two main influences<br />
were Sonology as taught at the Institute <strong>of</strong> Sonology, Utrecht Netherl<strong>and</strong>s<br />
(today moved to the Royal Conservatory at the Hague), <strong>and</strong> the<br />
phenomenologically oriented, spectromorphological point <strong>of</strong> view articulated<br />
by Pierre Schaeffer’s “Traité des objets musicaux”, <strong>and</strong> further exp<strong>and</strong>ed at<br />
INA/GRM, Paris, France. The ideas gathered were subsequently refined at
the Norwegian Academy <strong>of</strong> <strong>Music</strong> in Oslo, through a collaboration between<br />
Pr<strong>of</strong>essor Olav Anton Thommessen <strong>and</strong> the present author, both <strong>of</strong> us<br />
pr<strong>of</strong>essors <strong>of</strong> musical composition. The development <strong>of</strong> the methods <strong>of</strong><br />
analysis took place within the context <strong>of</strong> a circle comprising performers <strong>and</strong><br />
composers, which accounts for the general orientation towards an applied<br />
branch <strong>of</strong> music theory designed to enhance artistic sensibilities <strong>and</strong><br />
cognition. Aural Sonology has been regularly taught at the Academy since the<br />
beginning <strong>of</strong> the 1980s, <strong>and</strong> has continued to evolve interactively in the<br />
dialogue between students <strong>and</strong> teachers It has been the aim <strong>of</strong> the project<br />
to develop a conceptual structure <strong>of</strong> analysis <strong>and</strong> theory that is not uniquely<br />
reserved for a particular compositional style or expression, but addresses<br />
music appreciation in Western art music on a general basis.<br />
Aural Sonology has consistently been concerned with aural consciousness<br />
during a period <strong>of</strong> music history in which creative musical thinking has<br />
largely been concentrated on the development <strong>of</strong> novel compositional<br />
techniques <strong>and</strong> technology. The serial composition technique depended on<br />
the written medium as its extratemporal support; algorithmic approaches to<br />
music tended to substitute the sonic representation <strong>of</strong> music with a model. 2<br />
The motivation for launching the Aural Sonology Project was a strong<br />
impression that the aural aspect <strong>of</strong> contemporary music was being neglected<br />
by contemporary composers to the detriment <strong>of</strong> its ability to communicate<br />
with a non-specialized audience. The Aural Sonology Project therefore seeks<br />
to enhance the listeners’ ability to encounter <strong>and</strong> evaluate the sonic results<br />
<strong>of</strong> any technical procedure, by an explication <strong>and</strong> conceptualization <strong>of</strong> its<br />
perceived, aural syntax. Moreover, Aural Sonology intends to benefit from<br />
the study <strong>of</strong> the aural syntaxes <strong>and</strong> principles <strong>of</strong> form in music that have<br />
already proven to make sense in a greater community <strong>of</strong> listeners. This will<br />
be done through an effort to formulate observations in an abstract way such<br />
as to facilitate its eventual transfer to new sonic materials. Therefore, Aural<br />
Sonology seeks to conceptualize <strong>and</strong> represent graphically that which makes<br />
syntactical sense in music as heard. That music – even new music - ought to<br />
make sense to the average listener, not only to the composer or the<br />
intellectual elite, was a position occasionally attacked by the most fervent<br />
adherents <strong>of</strong> the avant-garde, for whom alienation, negation <strong>and</strong><br />
fragmentation were the highest ideals for contemporary music.<br />
The methodological approach chosen combines a phenomenological<br />
perspective with a pragmatic use <strong>of</strong> selected structuralist techniques.<br />
Phenomenology provides the global outlook, with its emphasis on the life<br />
world (hence music as heard), its explication <strong>of</strong> intentionalities, <strong>and</strong> its<br />
emphasis on describing <strong>and</strong> reflecting on an experienced object, rather than<br />
on its explanation. 3 Although a number <strong>of</strong> books <strong>and</strong> essays have been<br />
written on the subject <strong>of</strong> musical phenomenology, as well as on music from a<br />
phenomenological perspective, all seem to overlook the need to develop a<br />
terminology suitable for describing the phenomenon <strong>of</strong> music in experiential
terms, falling back either on philosophical jargon, everyday language, or a<br />
terminology <strong>of</strong> traditional musicological or acoustics, employing terms that<br />
are not coined within a consistent phenomenological point <strong>of</strong> view. Aural<br />
Sonology has taken the step to construct a new <strong>and</strong> consistent terminology<br />
based on aural experience <strong>and</strong> correlated through specified structural<br />
relationships. While structuralist techniques provide helpful schemata for<br />
organizing a conceptual world, structuralism as such lacks the concept <strong>of</strong> a<br />
conscious, perceiving subject, <strong>and</strong> has a tendency to overlook the particular<br />
in favour <strong>of</strong> a postulated universality. The phenomenological perspective<br />
counterbalances this deficiency <strong>of</strong> structuralism. All the structural concepts<br />
developed are condensed into a set <strong>of</strong> graphic symbols, so that the concepts<br />
can be used in practical analysis.<br />
1.2 Listening Intentions, Listening Behaviours<br />
<strong>Music</strong> as heard is a phenomenon <strong>of</strong> enormous richness <strong>and</strong> ambiguity. People<br />
make sense <strong>of</strong> music in a number <strong>of</strong> very different ways, which tends to<br />
make a meaningful discussion about music problematic. Even when listening<br />
to the same piece <strong>of</strong> music, interpreted by the same musicians, the listening<br />
experience itself, <strong>and</strong> its interpretation in words, varies greatly. The musical<br />
experience consists <strong>of</strong> a synthesis <strong>of</strong> signs <strong>and</strong> signals transmitted as sound,<br />
<strong>and</strong> <strong>of</strong> the listening subject’s own perceptions <strong>and</strong> conceptions <strong>of</strong> the music,<br />
i.e. his constitution <strong>of</strong> the musical object. Different listening intentions<br />
constitute different musical objects.<br />
Based on analysis <strong>of</strong> interviews with listeners, Francois Delal<strong>and</strong>e, researcher<br />
at INA/GRM, has come up with suggestions for a number <strong>of</strong> listener<br />
behaviours, each <strong>of</strong> which is representative <strong>of</strong> different musical listening<br />
intentions that constitute widely different musical objects <strong>and</strong><br />
interpretations. The present project can be seen as a specialized<br />
development <strong>of</strong> one <strong>of</strong> these listener behaviours, that which has been<br />
termed taxonomic listening. Francois Delal<strong>and</strong>e (1998, pp. 26-27) defines<br />
this listening behaviour in the following way:<br />
Taxonomic listening is manifest through the listener’s tendency:<br />
- To distinguish sufficiently large morphological units such as sections<br />
or chains <strong>and</strong> to make a mental list <strong>of</strong> them;<br />
- To qualify these, but just enough to distinguish them from each<br />
other,<br />
- To notice how these units are arranged in relation to one another,<br />
- To try <strong>and</strong> memorize all this data.<br />
This is a listening behaviour that leads to the most neutral perceptual<br />
image possible in the sense that the subjects who practice it aim: (1)<br />
to give a complete picture with little detail, a map on a large enough<br />
scale without distorting the design; (2) to parenthesize subjective<br />
characteristics which might affect the true image <strong>of</strong> the object… For<br />
these subjects… it is a canvas on which one will subsequently be able<br />
to plot more personal observations. It is conceived as a practical
eference ... It is possible that these ideas <strong>of</strong> pictures, maps <strong>and</strong> score<br />
– graphic representations on paper – correspond to what happens in<br />
listening. Paper as a medium is associated with a double function: (1)<br />
a memory aid; (2) an analytical tool for laying out the relative nature<br />
<strong>of</strong> units.<br />
(Delal<strong>and</strong>e, 1998, pp. 26-27)<br />
Exp<strong>and</strong>ing upon Francois Delal<strong>and</strong>e’s observation, it could be said that such<br />
a listening attitude would favour the observation <strong>of</strong> forms, e.g. the study <strong>of</strong><br />
how identifiable smaller parts would integrate into greater wholes. In Aural<br />
Sonology we develop this listening intention in a systematic fashion. The<br />
musical phenomenon, <strong>and</strong> the aural investigation <strong>of</strong> it are generally divided<br />
into three levels:<br />
• Level 1: sound objects i.e. single sound objects, analyzed in<br />
spectromorphologic terms.<br />
• Level 2: elementary gestalts i.e. combinations <strong>of</strong> sound objects into<br />
small patterns.<br />
• Level 3: form gestalts i.e. patterns <strong>of</strong> elementary gestalts.<br />
Traditionally, music theory <strong>and</strong> analysis has taken for granted the nature <strong>of</strong><br />
the sound objects being dealt with. However, it is clear that the pitched,<br />
stable sounds on which traditional music theory are built is a special case in<br />
the larger world <strong>of</strong> sounds. The main focus <strong>of</strong> traditional theory has been a<br />
discussion <strong>of</strong> how pitched sound objects can be combined in scales, <strong>and</strong><br />
chords <strong>and</strong> into larger compounds such as harmony progressions, etc., all <strong>of</strong><br />
which are clearly level 2 phenomena. Studies <strong>of</strong> contemporary music are also<br />
largely concentrated on this level.<br />
The focus <strong>of</strong> the Aural Sonology Project is on levels 1 <strong>and</strong> 3, with a clear<br />
emphasis on level 3. Thus the analysis <strong>of</strong> musical forms as heard, level 3, is<br />
the focus <strong>of</strong> the present article. This means that e.g. the harmonic structure<br />
<strong>of</strong> a piece will not be analyzed on its own terms, <strong>and</strong> will only be significant<br />
to the extent its effect is deemed relevant for the conception <strong>of</strong> an abstract<br />
formal model on level 3.<br />
1.3 The Semiologic Tripartition<br />
To analyze means to reflect, <strong>and</strong> to reflect is a complex process that both<br />
articulates the perception <strong>of</strong> music into more details, <strong>and</strong> seeks to integrate<br />
the details into a comprehension <strong>of</strong> the greater whole. Since the analytic<br />
process <strong>of</strong> reflection evolves over time, it presumes that the object <strong>of</strong><br />
reflection remains static. Thus the object must be contained in an extratemporal,<br />
stable, material medium permitting identical repetition <strong>of</strong> the<br />
object researched. Moreover, the object under study should be represented<br />
in such a way that it can be shared with others. For centuries, musical<br />
notation has provided such a representation <strong>of</strong> the musical work in the<br />
Western context, <strong>and</strong> has been a prerequisite for reflection <strong>and</strong> analysis.
Therefore it has been accorded the status <strong>of</strong> a kind <strong>of</strong> neutral, objective<br />
reality to which the community <strong>of</strong> researchers could return in order to check<br />
one another’s conclusions.<br />
The present approach to analysis consistently replaces the score with the<br />
phonogram as the extra-temporal, material support <strong>of</strong> analytical reflection.<br />
The advent <strong>of</strong> recording technology <strong>and</strong> loudspeakers has opened new<br />
horizons for analyzing music as heard. The only reason why this approach<br />
does not seem to be much exploited in music theory, analysis, <strong>and</strong> in<br />
musicology in general, seems to be a general scepticism towards the ear as a<br />
sufficiently objective instrument <strong>of</strong> observation. Aural Sonology insists that<br />
consensus with regard to listening intentions will solve this predicament <strong>and</strong><br />
open a new field <strong>of</strong> research, complementary to other, established<br />
disciplines. This is made possible thanks to the heritage <strong>of</strong> Pierre Schaeffer,<br />
<strong>and</strong> his successors at GRM such as Guy Reibel, Michel Chion, Francois Bayle,<br />
<strong>and</strong> Francois Delal<strong>and</strong>e, who have carried out pioneering efforts in sorting<br />
out the dimensions <strong>of</strong> the listening consciousness.<br />
The semiologic tripartition may serve as an initial help in sorting out<br />
listening intentions by correlating these to three aspects <strong>of</strong> the musical<br />
object. 4 The three domains are the poïetic domain (related to the process <strong>of</strong><br />
creating a piece <strong>of</strong> music, thus dealing with the composer’s techniques,<br />
strategies <strong>and</strong> expressive intentions, <strong>and</strong> also the performers’ interpretative<br />
intentions), the esthesic domain (dealing with the listeners’ reception <strong>of</strong> the<br />
music) <strong>and</strong> a neutral domain (the uninterpreted, observable aspect <strong>of</strong><br />
music).<br />
Although initially useful, the semiologic tripartition, as proposed by Molino<br />
<strong>and</strong> Nattiez, is problematic in a few respects. The third neutral domain<br />
appears by <strong>and</strong> large to be a musicological construct since it is not clearly<br />
related to music as a system <strong>of</strong> signs. 5 In a life world perspective, it is above<br />
all music as heard (the esthesic domain) that is associated with meaning<br />
formation. The creative aspect <strong>of</strong> music (the poïetic domain) is also relevant<br />
to meaning formation, first <strong>of</strong> all the intentions <strong>of</strong> composers <strong>and</strong> performers<br />
<strong>and</strong> their personal <strong>and</strong> cultural context, <strong>and</strong> the processes <strong>and</strong> techniques <strong>of</strong><br />
composing <strong>and</strong> performing. It is therefore reasonable to propose a<br />
reorganization <strong>of</strong> the semiotic tripartition, in which the neutral domain is<br />
seen as the observable aspects <strong>of</strong> the esthesic <strong>and</strong> the poïetic domains,<br />
respectively, <strong>and</strong> its status as an independent domain <strong>of</strong> research is reduced<br />
considerably.<br />
Hermeneutical side <strong>of</strong><br />
the esthesic domain:<br />
‘Immaterial aspects’ <strong>of</strong><br />
the listening experience:<br />
musical meaning (such as<br />
Esthesic domain Poïetic domain<br />
Neutral side <strong>of</strong> the<br />
esthesic domain<br />
‘material aspects’<br />
<strong>of</strong> the listening<br />
experience as<br />
Neutral side <strong>of</strong> the<br />
poïetic domain: ‘material<br />
aspects’ <strong>of</strong> the creation <strong>of</strong><br />
a piece <strong>of</strong> music as<br />
documented by material<br />
Hermeneutical side <strong>of</strong><br />
the poïetic domain:<br />
‘Immaterial aspects’<br />
<strong>of</strong> the production<br />
aspect <strong>of</strong> music
feelings, associations,<br />
related world views) as<br />
constituted through<br />
different reception<br />
behaviours.<br />
documented on<br />
phonograms: sound<br />
heard as sound,<br />
music heard as<br />
sonic gestalts.<br />
traces (sketches,<br />
computer programs,<br />
performers’ annotations)<br />
as well as interviews etc.<br />
Neutral domain<br />
(interpretations <strong>of</strong><br />
composers’ or<br />
performers’<br />
intentions, feelings,<br />
ideas, world views<br />
etc.)<br />
The restructuring <strong>of</strong> the semiologic tripartition proposed above, suggests<br />
there is a “manifest” <strong>and</strong> a “hidden” side to the esthesic <strong>and</strong> the poïetic<br />
domains, respectively. The manifest side comprises the material traces <strong>of</strong><br />
the work, while the hidden comprises the expressive aspect, that which is<br />
concerned with “meaning” or musical sense. The manifest side always has a<br />
potential for being “neutral”, in the sense that it is observable, <strong>and</strong> since it<br />
is observable it can be shared with others <strong>and</strong> form the basis for shared<br />
underst<strong>and</strong>ing. Admittedly, isolating the neutral sphere <strong>of</strong> music is somehow<br />
artificial, since many listeners’ behaviours do not favour giving focused<br />
attention to the material aspect <strong>of</strong> the sound experience, such as the sound<br />
itself. When diverting from the listener behaviour that is the preferred when<br />
listening to a particular kind <strong>of</strong> music, one risks missing features that are<br />
pertinent to the formations <strong>of</strong> musical meaning understood as feelings,<br />
general ideas, world views etc. This can only be compensated for by the<br />
analysts’ consciousness <strong>of</strong> the artificiality <strong>of</strong> isolating one aspect <strong>of</strong> music as<br />
heard, <strong>and</strong> by his mastery <strong>of</strong> other, complementary listeners’ intentions. In<br />
other words: the ability to shift between different listener attitudes<br />
becomes a prerequisite for relating to music in a way that avoids the<br />
disadvantages <strong>of</strong> reductionism.<br />
The analytical focus <strong>of</strong> Aural Sonology, then, is the neutral side <strong>of</strong> the<br />
esthesic domain, i.e. the material, observable aspects <strong>of</strong> the aural<br />
experience. The neutral side <strong>of</strong> the esthesic domain must be constituted by<br />
an act <strong>of</strong> the listener through his choosing the requisite listening intention.<br />
The two listener intentions preferred for our analytical purposes are the<br />
reductive listening intention (for level 1 this is, briefly, the intention to hear<br />
sound as sound, <strong>and</strong> will not be further dealt with in this article) <strong>and</strong> the<br />
taxonomic listening (levels 1 <strong>and</strong> 2). 6<br />
A study <strong>of</strong> the neutral domain (as defined above) will in fact be a study <strong>of</strong><br />
the signifiant <strong>of</strong> the musical sign. In a semiotic perspective, such a study<br />
may only be relevant for approaching its signifié (interpreting its meaning)<br />
to the extent that the musical signs used are motivated signs (dealing with<br />
iconic or indexical links between expression <strong>and</strong> content) rather than<br />
arbitrary ones (defined purely by convention). The relative lack <strong>of</strong> musical<br />
vocabularies suggests that music is mostly a system <strong>of</strong> motivated signs. 7 Thus<br />
studies <strong>of</strong> the neutral aspects <strong>of</strong> music are potentially relevant also for<br />
approaching musical meaning – the signifié.
The analyses produced by the methods introduced by Aural Sonology are<br />
definitely not compositional techniques. Nevertheless they may be <strong>of</strong> great<br />
value to composers <strong>and</strong> performers, since listening <strong>and</strong> reflecting on the<br />
aural reality <strong>of</strong> music in most cases contributes positively to the quality <strong>of</strong><br />
music making <strong>and</strong> performing. Thus while Aural Sonology analyses are<br />
focused on the neutral side <strong>of</strong> the esthesic domain, the exercise <strong>of</strong><br />
conducting such analyses is a useful one for giving the composer a number <strong>of</strong><br />
more specific ideas about the shaping <strong>of</strong> his compositions, as it develops his<br />
ability to conceive <strong>of</strong> what he eventually would like to hear when the piece<br />
is being performed; such an exercise also encourages performers to shape<br />
their interpretations guided by a greater awareness <strong>of</strong> how musical gestalts<br />
evolve in time <strong>and</strong> affect the listener.<br />
1.4 Gestalts <strong>and</strong> Structures<br />
<strong>Music</strong> exists in our life world long before we learn to discuss language <strong>and</strong><br />
grammars conceptually. We are able sing a melody long before we can<br />
define what pitch is verbally; music makes sense to us as listeners <strong>and</strong><br />
performers long before we can describe musical form. <strong>Music</strong> is mostly learnt<br />
like a mother tongue; we learn to speak it before we learn its grammar. A<br />
native speaker relies on his ear to determine whether a certain combination<br />
<strong>of</strong> words is acceptable <strong>and</strong> correct. Similarly, musical thought underst<strong>and</strong>s in<br />
terms <strong>of</strong> aural gestalts, whose wellformedness is judged in an analogous<br />
fashion, relying on the ear. <strong>Music</strong> theory <strong>and</strong> analytical methods generally<br />
try to comprehend music in a conceptual way, describing the intrinsic<br />
coherence <strong>of</strong> the gestalts through structural terms, which is basically what<br />
grammars do in relation to spoken language. Grammars do not define a<br />
language; they describe a language that is already given in the life world.<br />
Similarly, the comprehension <strong>of</strong> musical structure, which is a central concern<br />
to the Aural Sonology Project, will always be a subset <strong>of</strong> what can be<br />
understood by a listener subjected to the temporal flow <strong>of</strong> musical gestalts.<br />
Aural Sonology takes as its starting point the experience <strong>of</strong> ordered,<br />
sonorous gestalts in music as heard. The point <strong>of</strong> departure <strong>of</strong> the analyst is,<br />
accordingly, an emergent phenomenon; from here, she proceeds in the<br />
direction <strong>of</strong> defining her experience by assigning to her experience a<br />
description in terms <strong>of</strong> structure. The initial perspective is holistic: the<br />
analyst starts with a concrete phenomenon as a given whole, meeting it with<br />
an attentive <strong>and</strong> receptive consciousness. The holistic orientation in<br />
combination with elements <strong>of</strong> applied phenomenology <strong>and</strong> structuralism,<br />
make the present project different from a number <strong>of</strong> more traditional<br />
approaches to analysis; e.g. it differs from the methodological position <strong>of</strong><br />
operational structuralism that tries to explain phenomena through the<br />
disclosure <strong>of</strong> generative relationships within the object researched. 8<br />
Aural Sonology is characterized by an effort to develop means for the<br />
description <strong>of</strong> the perceived musical order, <strong>and</strong>, to the extent possible,<br />
correlate the order or gestalt heard with a theoretical structure (which is<br />
an ideal object in phenomenological terms). It must be underlined again that
the kind <strong>of</strong> structure found by our methods <strong>of</strong> analysis is not one that is<br />
intrinsic to the construction <strong>of</strong> the object studied, as it does not necessarily<br />
explain its genesis. Rather, it is a concrete instance <strong>of</strong> experienced order <strong>of</strong><br />
an object; <strong>and</strong> this experience is founded both in objective musical reality<br />
<strong>and</strong> at the same time in certain constitutive intentions on the part <strong>of</strong> the<br />
listener. The equivalent <strong>of</strong> musical structure in the esthesic domain is<br />
actually the experience <strong>of</strong> order, pattern <strong>and</strong> regularity. Thus the object<br />
analyzed presupposes an active constitution on the part <strong>of</strong> the listener.<br />
Combining this with the vehicle <strong>of</strong> a defined method <strong>of</strong> analysis, it may be<br />
possible to make pertinent statements about the experience <strong>of</strong> music that<br />
can be communicated to others who share the same conceptual orientation<br />
<strong>and</strong> master the requisite listening intention. Of course, what the analyst<br />
finds in this way is not necessarily an intrinsic or essential part <strong>of</strong> the music’s<br />
purported meaning, which, in its original traditional context, might<br />
presuppose another constitutive intention. Accordingly, using the methods <strong>of</strong><br />
Aural Sonology, one cannot without further qualifications make definite<br />
judgments about the total aspect <strong>of</strong> meaning <strong>and</strong> signification <strong>of</strong> the work<br />
analyzed. This will have to be dealt with by methods complementary to ours,<br />
i.e. the hermeneutical methods <strong>of</strong>ten used by traditional musicology <strong>and</strong><br />
semiology. However, every scientific methodology constitutes its own object<br />
<strong>of</strong> research, <strong>and</strong> in the final analysis, there is no definite <strong>and</strong> conclusive<br />
truth that can be stated about a work <strong>of</strong> art. Only by approaching music<br />
from many sides, i.e. through the use <strong>of</strong> complementary methods, can one<br />
see to achieve a more complete underst<strong>and</strong>ing. 9<br />
Aural Sonology as a method can thus be seen as an effort to correlate the<br />
experience <strong>of</strong> musical gestalts with a set <strong>of</strong> structured concepts. The nature<br />
<strong>and</strong> number <strong>of</strong> these concepts are largely inconstant, <strong>and</strong> what we can<br />
propose probably only represents a beginning that serves to lay down certain<br />
basic features <strong>of</strong> musical perception <strong>and</strong> cognition as related to form.<br />
1.5 Isotopy <strong>and</strong> Selective Listening.<br />
The structural models devised in Aural Sonology will all have to be related to<br />
a consistent selection <strong>of</strong> features in the perceived music. <strong>Music</strong> as heard is a<br />
concretum, <strong>and</strong> is therefore a composite <strong>of</strong> several attributes, containing an<br />
almost infinite amount <strong>of</strong> information, given the number <strong>of</strong> listener<br />
intentions by which it can be heard. In our analytical context, the analyst<br />
will have to select <strong>and</strong> focus consistently on one str<strong>and</strong> <strong>of</strong> aural order; one<br />
that seems to be <strong>of</strong> importance to the organization <strong>of</strong> the music as a whole.<br />
Such a consistent focus on organizing features within the musical context<br />
could be termed an isotopy with a term adopted from structural semantics. 10<br />
An isotopy in our context is a consistent str<strong>and</strong> <strong>of</strong> aural gestalts perceived<br />
to contain features essential for the organization <strong>of</strong> long stretches <strong>of</strong> the<br />
musical discourse. An isotopy may be said to be the underlying problem<br />
space <strong>of</strong> a piece <strong>of</strong> music, thus the overarching aspect <strong>of</strong> complementary<br />
opposites. Organization is not here seen as being primarily a compositional
strategy (which is a fact belonging to the poïetic domain); it is what the<br />
listener perceives as coordinating or creating coherence in the musical<br />
discourse, by means <strong>of</strong> recurrent patterns <strong>and</strong> related contrasts. For each<br />
particular musical isotopy there is a corresponding particular selective<br />
listening intention.<br />
The Aural Sonology Project has thus far focused mainly on level 3 in creating<br />
methodical approaches to isotopic structures. The general isotopies relevant<br />
to form building that we at present have managed to develop are: 11<br />
• Time-fields (the temporal segmentation <strong>of</strong> the musical discourse)<br />
• Layers (the synchronous segmentation <strong>of</strong> the musical discourse)<br />
• Dynamic form (time directions <strong>and</strong> energetic shape)<br />
• Thematic form (recurrence, variation, <strong>and</strong> contrast)<br />
• Formal transformations (looser <strong>and</strong> firmer gestalts, transformations<br />
between them).<br />
The present article will concentrate on Formal transformations, while<br />
touching on thematic form (form-building processes) as well. In addition to<br />
such general formal isotopies, there are other types as well:<br />
• Actual, thematized isotopies: Each piece may have its individual musical<br />
isotopy, i.e. recurrent patterns <strong>and</strong> related opposites that take place<br />
within the same isotopy, <strong>and</strong>/or interrelated passages between different<br />
isotopies.<br />
• Condensed, essential isotopies: Recurrent features may be given a<br />
condensed representation in which the isotopic fields are reduced to<br />
essential formulae. Such an essential isotopy can combine several str<strong>and</strong>s<br />
<strong>of</strong> isotopical description, <strong>and</strong> define a musical deep structure.<br />
• Condensed isotopies can be seen as contextual meanings, i.e. as the<br />
observable side <strong>of</strong> an iconic sign with a signifié in the extra-musical<br />
domain.<br />
2.0 <strong>Music</strong>al Form<br />
In his concise book on traditional forms in Western art music, Arnold<br />
Schoenberg (1977, p. 20) makes a number <strong>of</strong> interesting observations<br />
concerning the nature <strong>of</strong> musical forms in general, <strong>and</strong> their importance for<br />
the reception <strong>of</strong> the music: Form means that the piece is organized, <strong>and</strong><br />
organization means that the music “consists <strong>of</strong> elements functioning like<br />
those <strong>of</strong> a living organism.” Like the elements <strong>of</strong> an organism, the<br />
constituent parts <strong>of</strong> music must be differentiated according to their<br />
importance <strong>and</strong> function, but the differentiation must never endanger the<br />
underlying unity <strong>of</strong> the composition. Form in this sense ensures intelligibility,<br />
logic <strong>and</strong> coherence; it is what makes the music comprehensible. Concern<br />
about form is a means <strong>of</strong> surmounting limited powers <strong>of</strong> human<br />
underst<strong>and</strong>ing; as a person is unable to keep in mind very long time<br />
stretches, the musical discourse must be subdivided into manageable
segments. However, these shorter segments must again be joined by relation<br />
to the others in such a way that one segment presupposes the other <strong>and</strong> vice<br />
versa. This is what one could call formal functions, in a sense similar to that<br />
we have with harmonic functions. Variety can endanger comprehensibility<br />
<strong>and</strong> logic, <strong>and</strong> this can be avoided by subjecting the musical elements to<br />
appropriate constraints. Delimitation, subdivision <strong>and</strong> simple repetition are<br />
useful in counteracting the tendency toward disproportionate variety. In<br />
fact, Schoenberg states that musical comprehension is impossible without<br />
repetition. But repetition can easily cause monotony <strong>and</strong> boredom on the<br />
part <strong>of</strong> the listener. This must be counteracted by variation <strong>of</strong> the repeated<br />
elements. In a true work <strong>of</strong> music that obeys the classical laws <strong>of</strong> internal<br />
unity, even musical contrasts should be related.<br />
The ideal <strong>of</strong> organic form as discussed by Schoenberg is also essential to our<br />
approach. When it comes to form, we are concerned with subdivisions in the<br />
sense <strong>of</strong> how the musical object can be articulated through phrases <strong>and</strong><br />
sections, as well as through simultaneous layers. Proceeding from here, we<br />
are also concerned with the functions these subdivisions have in relation to<br />
one another. Aural Sonology discusses form as an emergent phenomenon,<br />
i.e. it takes account <strong>of</strong> the phenomenon as such, without giving an account<br />
<strong>of</strong> why or how the form shows up the way it does. This means that whether<br />
the form is based on harmonic fields, thematic recurrence, tensions <strong>and</strong><br />
relaxations, or contrasting textures, the form is accounted for in an abstract<br />
sense. Our study <strong>of</strong> form is confined to level 3, <strong>and</strong> does not <strong>of</strong>fer insight<br />
into what happens on level 1 or level 2 (referring to the levels we defined in<br />
chapter 1.2). This level <strong>of</strong> abstractness will enhance the potential <strong>of</strong> our<br />
method to cross over stylistic borders, while it renounces the precision <strong>and</strong><br />
specificity <strong>of</strong> an analysis that shows how the forms are founded in concrete<br />
musical realities.<br />
Approaching musical forms as emergent forms is fundamentally different<br />
from approaching musical forms as normative conventions. The difference<br />
lies more in the attitude than the facts; when looking for emergent forms<br />
the music itself has to be allowed to present its own form, its own rationality<br />
to the listener’s ear, <strong>and</strong> this presupposes a listener who ideally should be<br />
willing to bracket her preconceptions <strong>of</strong> form during the first hearings <strong>of</strong> a<br />
piece <strong>of</strong> music, <strong>and</strong> only afterwards apply his already acquired assumptions<br />
<strong>of</strong> form with sensitivity <strong>and</strong> honesty in order to avoid forcing the music into a<br />
wrong or inadequate mould. The aesthetic implication <strong>of</strong> this is a conception<br />
<strong>of</strong> musical form that would regard good form more in terms <strong>of</strong> its emergent<br />
wholeness <strong>and</strong> rationality, rather than as compliance to formal conventions<br />
<strong>and</strong> codes. The concept <strong>of</strong> emergent forms is closely linked to the idea that<br />
musical comprehension can never entirely match musical underst<strong>and</strong>ing,<br />
which means – paraphrasing Pascal - that the ear can have reasons that the<br />
reasoning mind has not yet grasped.<br />
Aural Sonology has developed consistent approaches to three aspects <strong>of</strong><br />
musical form: form-building functions (dynamic forms), 12 form-building<br />
processes (forms based on recurrence <strong>and</strong> contrast), <strong>and</strong> form-building
transformations (forms contrasting ‘loose <strong>and</strong> firm gestalts’). 13 The<br />
remainder <strong>of</strong> our presentation will focus on the latter, the form-building<br />
transformations, <strong>and</strong> in no way aspires to deal exhaustively with musical<br />
form in general.<br />
2.1 Typology <strong>of</strong> Form-Building Elements<br />
The perception <strong>of</strong> musical form arises from the perceived interrelationships<br />
between certain constituent elements. The elements constitutive <strong>of</strong> form<br />
will be called form-building elements (or simple form elements). These are<br />
<strong>of</strong>ten found in the melodic/rhythmic lines in the foreground layer(s). 14 Most<br />
<strong>of</strong> the time background elements can be left out. There are, however, cases<br />
in which musical textures as such obtain form-building significance. Thus the<br />
discussion <strong>of</strong> the complexity <strong>of</strong> form-elements will have to apply both to<br />
lines (i.e. melodic/rhythmic elements) <strong>and</strong> to textures. 15<br />
The typology <strong>of</strong> form-building elements is based on their complexity (see<br />
Figure 1):<br />
Figure 1.<br />
-Very simple elements. Examples: repetitive figures with a couple <strong>of</strong> pitches<br />
<strong>and</strong> even rhythmical values such as very simple accompaniment figures<br />
(lines); monophony or basic homophony (texture).<br />
-Relatively simple elements. Examples: articulated yet simple figures such as<br />
scales/passages or refined accompaniment figures (lines); heterophony, or<br />
homophony with slight polyphonic elements (texture).<br />
-Medium complex elements. Examples: a classical, simple theme (lines); a<br />
two- or three-part simple polyphony (texture).<br />
-Relatively complex elements. Examples: complex themes with great<br />
diversity <strong>of</strong> pitch <strong>and</strong> rhythm (lines); complex polyphony (texture).<br />
-Very complex elements. Examples: extremely asymmetric lines using a large<br />
number <strong>of</strong> values in an unpredictable manner (lines); accumulations in<br />
electroacoustic <strong>and</strong> avant-garde music (texture).<br />
The scale <strong>of</strong> complexity may to some extent be considered relative to the<br />
composition or to the style <strong>of</strong> the composition that is being analyzed.<br />
A form-element, e.g. a theme, will <strong>of</strong>ten be presented in its integral form,<br />
then broken down by being partitioned into smaller units. The symmetrically<br />
opposite shapes <strong>of</strong> the sign for partitioned elements may be used to suggest<br />
the opening or closing features <strong>of</strong> the context or <strong>of</strong> the (<strong>of</strong>ten preceding)<br />
integral element from which they have been partitioned.
The simple arrangement <strong>of</strong> degrees from simple to complex is, however, not<br />
sufficient to describe a range <strong>of</strong> phenomena that is perceived as pertinent<br />
for the aural experience <strong>of</strong> musical form. One such phenomenon is that <strong>of</strong><br />
articulation, another that <strong>of</strong> distinction (i.e. <strong>of</strong> being characteristic). When a<br />
form-element is well articulated, it is in possession <strong>of</strong> a reasonable number<br />
<strong>of</strong> details that are distinctly perceivable as such. A high articulation will be<br />
an additional feature <strong>of</strong> the middle range complexities. Most classical<br />
themes are well articulated. However, passagework, soloist figurations etc.<br />
may have medium complexity without being highly articulated; theme-like<br />
passages have “structural” complexity, passagework “ornamental”<br />
complexity. Structural complexity is by definition highly articulated, while<br />
ornamental complexity is not.<br />
When a form-segment is distinctive, it has a character that tends to set it<br />
apart in the particular piece in which it occurs to such a degree that, in<br />
hindsight, it could be considered typical or representative for the piece as a<br />
whole. Distinction also means that certain form-elements are unique to the<br />
particular piece in question, setting it apart from other pieces within the<br />
same style. As an example, one may think <strong>of</strong> a piece <strong>of</strong> bebop jazz that<br />
presents the theme to begin with; this will be a distinctive element. The<br />
improvisations that follow will be characterized by passages <strong>and</strong> figurations,<br />
<strong>of</strong>ten rather complex, but they will mostly be more typical <strong>of</strong> the genre <strong>of</strong><br />
bebop jazz, or <strong>of</strong> the player, than <strong>of</strong> the piece as such. These form-elements<br />
will not be marked out as distinctive in our analysis. In order not to unduly<br />
complicate the method <strong>of</strong> analysis, we have opted not to develop separate<br />
analytical tools for articulation <strong>and</strong> distinction, since they <strong>of</strong>ten seem to be<br />
connected. If the need to draw a distinction were to arise, it would be<br />
better to do so in a verbal commentary to the analysis.<br />
The linear arrangement <strong>of</strong> elements from simple to complex will have to be<br />
reorganized since that which was formerly a middle value, i.e. the medium<br />
complex form-element, has now been taken to represent a maximum <strong>of</strong><br />
distinction or articulation. At the opposite extreme <strong>of</strong> high articulation <strong>and</strong><br />
distinction we thus find the very simple <strong>and</strong> the very complex grouped<br />
together as equivalent in being unarticulated <strong>and</strong> anonymous. 16<br />
A form-building element that possesses high articulation or distinction will<br />
have a horizontal line drawn through its sign. The signs for articulation <strong>and</strong><br />
distinction can also be used to qualify textures when these are sufficiently<br />
unique <strong>and</strong> characteristic. A conceptual space that has been reorganized<br />
according to criteria <strong>of</strong> articulation <strong>and</strong> distinction will look more like a<br />
circle than a line. To close the circle a new sign has been added, one<br />
designed to show the combination <strong>of</strong> an internally complex, yet globally<br />
simple form-building segment (see Figure 2).<br />
Figure 2.
2.2 Context Organization <strong>of</strong> Form-Elements<br />
Form-building segments will be defined through the combination <strong>of</strong> formelements<br />
(as presented in the typology above) into an organized context. A<br />
form-segment is a coherent succession <strong>of</strong> form-elements, where the<br />
evaluation <strong>of</strong> similarity <strong>and</strong> contrast between adjoining elements will serve<br />
as the main criterion for determining what belongs to the form-segment <strong>and</strong><br />
what does not. Thus, when there is similarity between juxtaposed formelements,<br />
a coherent form-segment is easily created. Contrasts tend to<br />
fragment coherent segments or set them <strong>of</strong>f from each other; however,<br />
fragmented form elements, too, can be held together in unifying gestalt (a<br />
phrase) due to other musical dimensions, such as harmony, or constant<br />
background layers. Although the form-segments generally tend to be a<br />
succession, there are also situations in which elements are superposed in<br />
simultaneity.<br />
In order to demarcate a form-segment in notation, a number <strong>of</strong> constituent<br />
form-elements will be joined together by lines indicating identity or<br />
similarity (see Figure 3).<br />
Figure 3. L. v. Beethoven’s Piano Sonata op. 2:1, movement I, first phrase.<br />
Breaking the line joining similar form-building segments indicates a greater<br />
degree <strong>of</strong> contrast (see Figure 4).<br />
Figure 4. L. v. Beethoven’s Piano Sonata op. 2:1, movement I, beginning <strong>of</strong><br />
development.<br />
In the above example, further precision is added through a sign specifying<br />
the degree <strong>of</strong> similarity. This is one <strong>of</strong> a scale <strong>of</strong> 6 signs suggesting degrees<br />
<strong>of</strong> similarity (see Figure 5). 17<br />
Figure 5.<br />
A partitioning <strong>of</strong> an integral element will become a fragment if it is further<br />
abbreviated or set <strong>of</strong>f by pauses. A dot over the partitioned element or one<br />
breaking the line that connects the form-elements <strong>of</strong> greater similarity will<br />
be used (see Figure 6).<br />
Figure 6. L. Janacek, String Quartet, Kreutzer Sonata, movement 3.<br />
The context organization will <strong>of</strong>ten reveal hierarchical structures in which<br />
shorter form-segments combine to form larger segments (see Figure 7).<br />
Figure 7. L. v. Beethoven op. 2:1 beginning movement I.
When form-elements are superposed simultaneously in different layers, they<br />
may be drawn on the vertical line. The preferred upper limit for displaying<br />
form-elements in synchronicity would be no more than four elements on one<br />
line. As mentioned, background elements may generally be left out (see<br />
Figure 8).<br />
Figure 8. J. S. Bach, Ihr aber seid nicht fleischlich.<br />
If a more detailed analysis <strong>of</strong> simultaneous form-elements is desirable, the<br />
specific indications <strong>of</strong> complexities can be integrated into a supplementary<br />
layer analysis.<br />
When the superposition <strong>of</strong> form-elements reaches a certain complexity or<br />
merge perceptually, they should be denoted as a texture, rather than single<br />
elements. Slurs mark the transition from single elements to texture (see<br />
Figure 9).<br />
Figure 9.<br />
2.3 Form-Building Transformations<br />
The term form-building transformations describes a set <strong>of</strong> patterns that<br />
result from characteristic combinations <strong>of</strong> types <strong>of</strong> form-elements. While the<br />
form-building processes are concerned with patterns <strong>of</strong> recurrence,<br />
variation, <strong>and</strong> contrast, form-building transformations are concerned with<br />
the logic <strong>of</strong> the organization <strong>of</strong> complexity vs. simplicity, wholeness vs.<br />
division, lines vs. textures, distinctive vs. anonymous passages.<br />
Form-transformations can be either discontinuous or continuous. In a<br />
continuous transformation the passage from one state to the opposite takes<br />
place in a linear fashion; in the case <strong>of</strong> a discontinuous transformation (the<br />
normal case in classical music) the passage may be step-wise, or may simply<br />
contrast the initial state <strong>of</strong> the transformation with its end or its inverse.<br />
The transformation is also discontinuous when a linear transformation is<br />
interrupted by sections <strong>of</strong> another character (see Figure 10).<br />
Figure 10.<br />
Form-building transformations can take the form <strong>of</strong> alternation: the musical<br />
discourse moves to <strong>and</strong> fro between two different states <strong>of</strong> a transformation.<br />
Different types <strong>of</strong> form transformations are listed below. The<br />
transformations are non-exclusive; i.e. they may be combined. For the sake<br />
<strong>of</strong> conceptual simplicity, they are divided into four types:<br />
Simple vs. complex, part vs. whole; few vs. many; distinctive vs.<br />
anonymous. Each category is exemplified with two examples, one in a
classical or romantic repertoire, one from the modern repertoire (see Figure<br />
11).<br />
Figure 11.<br />
-The transformation from complex to simple is termed simplification. The<br />
inverse transformation is termed complication.<br />
Figure 12. Simplification: F. Mendelssohn Bartholdy, String quartet<br />
op.44:1.<br />
Comments to the analysis:<br />
This simplification comes after a process <strong>of</strong> partitioning the main theme, <strong>and</strong><br />
recombining the parts into a polyphonic play. (The transformations liquidation <strong>and</strong><br />
crystallization will be discussed in detail in the next chapter). The relative contrast<br />
between the two simple bars at the end, <strong>and</strong> the relative complex texture <strong>of</strong> the<br />
preceding fugato, may qualify it as a discontinuous transformation, although the<br />
collection <strong>of</strong> the preceding polyphony into a synchronized chordal descent serves to<br />
round it <strong>of</strong>f, <strong>and</strong> prepare the introduction <strong>of</strong> the simple final section.<br />
Figure 13. Simplification: G. Grisey, Modulations.<br />
Comments to the analysis:<br />
This example shows a continuous transformation <strong>of</strong> textures that become simpler<br />
<strong>and</strong> simpler. The example has been considerably abbreviated.<br />
Figure 14. Complication: L. v. Beethoven, Diabelli Variations, op 120.<br />
Comments to the analysis:<br />
The example presents the beginning <strong>of</strong> three consecutive variations (nos. 15, 16,<br />
17) each <strong>of</strong> them with the same, underlying chordal progression. The motivic<br />
elements remain relatively simple; however the textural element seems to<br />
dominate over the melodic, <strong>and</strong> accordingly the analysis shows the development <strong>of</strong><br />
textural complexity. The transformation is discontinuous. The build-up in<br />
complexity is supported by a step-wise increase in energy (dynamics, tempo,<br />
register); this, however, is part <strong>of</strong> the dynamic form, thus belonging to another<br />
formal isotopy. Nonetheless, the synergy between the two isotopies is evident.<br />
Figure 15. Complication: I. Xenakis, Persephassa.<br />
Comments to the analysis:<br />
A continuous transformation (complication) passes from regular pulses with some<br />
irregular elements, to a texture <strong>of</strong> irregular pulses, thus from relatively simple to<br />
very complex texture.<br />
-The transformation from integral (undivided) to partitioned (divided) is<br />
called partitioning. The inverse transformation is called integration. This<br />
transformation is also applicable to both lines <strong>and</strong> textures.<br />
Figure 16. Partitioning: L. v. Beethoven, Piano Sonata op. 2:2.
Comments to the analysis:<br />
This is a classical theme presentation, in which the characteristic head <strong>of</strong> the<br />
theme is repeated <strong>and</strong> partitioned in order to perform a liquidation <strong>of</strong> the<br />
characteristic features, while at the same time allowing the theme to be absorbed.<br />
The partitioning transformation happens two times; the ascending fourth at the end<br />
<strong>of</strong> the initial motive ends up as an anonymous ‘om-pa’ figure between left <strong>and</strong> right<br />
h<strong>and</strong>.<br />
Figure 17. Partitioning: W. Walton, Symphony no 2.<br />
Comments to the analysis:<br />
The principal motive, itself relatively short, is presented twice, first in woodwinds,<br />
then in the violins. After an inserted fragment (serving as an alert) there follows a<br />
series <strong>of</strong> partitioned motives, <strong>and</strong> then a new series, this time consisting only <strong>of</strong><br />
two notes; the partitioning transformation is exacerbated <strong>and</strong> the final strokes<br />
could be considered fragments. A new motive is introduced; it is less distinctive<br />
than the initial one, <strong>and</strong> less complex since it actually consists <strong>of</strong> fewer durational<br />
values. The fact that the sonority itself is more complex (tremolo articulation <strong>of</strong><br />
melody notes) is regarded as not being pertinent to the specific focus <strong>of</strong> this<br />
analysis, which is more concerned with “structural intensity” than “perceptual<br />
intensity” (the latter being a concern for the analysis <strong>of</strong> dynamic form). The second<br />
motive is also partitioned.<br />
Figure 18. Integration: F. Liszt: Eine Faust Symphonie, first<br />
movement.<br />
Comments to the analysis:<br />
The motive <strong>of</strong> (one <strong>of</strong>) the contrast theme(s) is prepared by a few notes set apart<br />
by inserted brass fragments. The initial motive, despite taking part in an<br />
integration transformation, is itself first partitioned, while the dynamic form leads<br />
the process on to the forte presentation <strong>of</strong> the integrated theme.<br />
Figure 19. Integration: A. V. Mosolov, Savod.<br />
Comments to the analysis:<br />
An ostinato is presented, <strong>and</strong> different fragments are added into a more or less<br />
coherent, repeated pattern. When the trombone enters with a melody, the pattern<br />
is turned into an accompaniment (background or middleground, in relation to the<br />
foreground melody). This transformation might also be seen as a proliferation <strong>and</strong><br />
fusion, explained later.<br />
-The exacerbation <strong>of</strong> the latter transformations is termed fragmentation <strong>and</strong><br />
synthesis, respectively. This transformation can also take place both with<br />
lines <strong>and</strong> textures.<br />
Figure 20. Fragmentation: C. P. E. Bach, Keyboard Sonata in F sharp<br />
minor, Wq 52/4, H37: No. 1.<br />
Comments to the analysis:
The music alternates between two highly divergent characters, <strong>and</strong> there is no<br />
attempt to pave the way for the new by a rounded or finished ending <strong>of</strong> the<br />
respective segments. The context, therefore, is fragmented.<br />
Figure 21. Fragmentation: G. Ligeti, Etude 3 (Book 1) Touches<br />
bloquées.<br />
Comments to the analysis:<br />
The end <strong>of</strong> this etude is a gradual transformation, brought about by an increasing<br />
number <strong>of</strong> ‘muted’ keys between the sounding ones. In the preceding form segment<br />
(not presented here) there is another, more dramatic presentation <strong>of</strong> a fragmented<br />
texture. It would be reasonable to state that synthesis (opening <strong>of</strong> the piece) vs.<br />
fragmentation is an actual or thematized isotopy underlying this piece, the<br />
indexical logic <strong>of</strong> which is derived from the play on muted vs. sounding keys.<br />
Figure 22. Synthesis: F. Liszt, Piano Sonata in b-minor.<br />
Comments to the analysis:<br />
Two different motives, a <strong>and</strong> b, are presented twice in a fragmented context.<br />
Following an interlude with a forward leaning dynamical shape, <strong>and</strong> using materials<br />
only marginally related to the main motive a, we are made to expect a culminating<br />
statement, which is to be the presentation <strong>of</strong> a full thematic statement. However,<br />
the listener is still left in suspense while the separated a <strong>and</strong> b are repeated.<br />
Eventually the synthesis arrives, <strong>and</strong> we have a full statement <strong>of</strong> the theme.<br />
Figure 23. Synthesis: L. Thoresen, Tradlarudl.<br />
Comments to the analysis:<br />
The analysis is concentrated on the solo line. The fully synthesized, melodic<br />
gestalt occurs towards the end, preceded by fragments <strong>of</strong> increasing length.<br />
- The transformation from single lines to several superposed lines (that still<br />
are perceptible as lines) is termed proliferation, typical for starting with a<br />
few simple elements, to which more are added. The inverse transformation<br />
is called collection: It starts with a number <strong>of</strong> superposed elements, <strong>and</strong><br />
ends with a simple one, or a simple collection <strong>of</strong> the elements.<br />
Figure 24. Proliferation <strong>and</strong> Collection: J. C. Bach, Sinfonia op. 18, no<br />
1.<br />
Comments to the analysis:<br />
One evident example <strong>of</strong> proliferation, the opening <strong>of</strong> a fugue, was already<br />
demonstrated in Figure 8. Johann Christian Bach’s Sinfonia demonstrates another,<br />
less polyphonic realization <strong>of</strong> the same formal archetype. For the sake <strong>of</strong> simplicity,<br />
the proliferation <strong>and</strong> collection transformations are shown together in a single<br />
example. The selected section <strong>of</strong> the piece shows a discontinuous alternation<br />
between collection (generally unison sections) <strong>and</strong> proliferation (sections with<br />
several layers, <strong>and</strong> generally figurations in the foreground, rather than melody).<br />
Around the middle <strong>of</strong> the example (following the antecedent <strong>and</strong> its consequent), a
gradual build-up begins, preparing for an eventual dispersion <strong>of</strong> the proliferating,<br />
ascending lines, as if the lines were cast into the open. Through their descent, they<br />
are nicely collected into the closing unison section, as if elegantly gathered <strong>and</strong><br />
knit in a bundle (collection).<br />
Figure 25. Proliferation: K. Stockhausen, Gruppen (1).<br />
Comments to the analysis:<br />
The proliferation is based on single notes <strong>and</strong> tiny cells, rather than on motives <strong>of</strong><br />
thematic relevance. Although the rhythm is irregular, the increasing temporal<br />
density <strong>and</strong> exp<strong>and</strong>ing register leave no doubt about the overall tendency.<br />
However, as a conceptual counterpoint to this linear growth, there are chordal<br />
coincidences that in short moments suggest a gathering <strong>of</strong> the points (collection;<br />
not represented in the analysis). The evolution <strong>of</strong> the same music example is shown<br />
in Figure 28 (fusion <strong>and</strong> anamorphosis).<br />
Figure 26. Collection: W. Lutoslawski, Paroles Tissés.<br />
Comments to the analysis:<br />
The selected example begins with a proliferation <strong>of</strong> small cells; eventually they<br />
fuse into a texture, while a new linear element is added on top, continuing the<br />
proliferation. The sudden introduction <strong>of</strong> the solo line represents a discontinuous<br />
collection <strong>of</strong> the previous proliferation.<br />
- A further development <strong>of</strong> the previous transformation happens when many<br />
superposed lines become a texture (everything from a chord to a more<br />
intricate pattern); this transformation is called fusion. The inverse<br />
transformation is called fission (beginning with a texture which is dissolved<br />
into the perception <strong>of</strong> individual elements). A common example in classical<br />
<strong>and</strong> baroque music would be the contrasting <strong>of</strong> polyphony <strong>and</strong> homophony. A<br />
proliferation transformation – a multiplication <strong>of</strong> elements - can halt before<br />
the lines start integration into a texture; however if it does, the<br />
proliferation may be seamlessly followed by a fusion. The Example from K.<br />
Stockhausen’s Gruppen is a demonstration <strong>of</strong> this; it moves from<br />
proliferation to fusion.<br />
Figure 27. Fusion: J. S. Bach, “Omnes Generationes” from Magnificat<br />
in D major.<br />
Comments to the analysis:<br />
The sound example fades in the middle <strong>of</strong> a dense, fugal stretto. To suggest what is<br />
heard, two distinctive linear elements in superposition are shown (suggesting the<br />
two upper lines <strong>of</strong> the thematic stretto); below these is shown a texture <strong>of</strong> medium<br />
complexity, suggesting the web <strong>of</strong> parts not heard as a foreground. The fusion<br />
transformation goes on to simplify the background into simple chords, <strong>and</strong> reduces<br />
the number <strong>of</strong> foreground elements. However, the situation does not proceed in a<br />
fully linear way to the fermata chord, indicated by the simple texture; it spreads<br />
out (proliferates) again before the fermata chord is reached. As the fugue<br />
proceeds, a brief fission is heard before all the forces again fuse into the<br />
concluding tonic chord.
Figure 28. Fusion: K. Stockhausen, Gruppen (2 & 3).<br />
Comments to the analysis:<br />
The sound example begins more or less where the previous recording <strong>of</strong> Gruppen<br />
stopped, i.e. at a stage in which the linear element – identification <strong>of</strong> individual<br />
lines <strong>and</strong> instrument sounds – tends to become difficult <strong>and</strong> the listening mind<br />
changes its intentions from trying to perceive individual parts to grasping a global<br />
object. At this point, the fusion takes place. This spot is not in any way marked by<br />
the music; it takes place solely in the listener’s mind, <strong>and</strong> the exact spot where it<br />
occurs, cannot be objectively determined. At a certain point the complex texture<br />
(“accumulation” it could be called, using a term from Schaeffer’s<br />
spectromorphology) turns into a simpler texture <strong>of</strong> huge chords. This can be seen as<br />
another fusion; or it could be conceived as an anamorphosis (discussed later).<br />
Long, linear evolutions, like the one shown through the two examples from<br />
Gruppen, can sometimes be too predictable to keep the listeners’ attention; but<br />
not so in this case. The composer has ingeniously interspersed the evolution with<br />
surprises: sudden, interpolated single notes. Thus a secondary element <strong>of</strong> collection<br />
runs counter to the general evolution (proliferation). This aspect is not represented<br />
in the analysis shown.<br />
Figure 29: Fission: G. F. Händel, “All We Like Sheep” from The<br />
Messiah.<br />
Comments to the analysis:<br />
The first words “All we like sheep” are presented in a simple, unison rhythm, once<br />
echoed by the orchestra (the inverted form segment). The words ‘have gone astray’<br />
increase the melodic range <strong>and</strong> are set in a more agile rhythm. The echo in the<br />
bright voices suggests a two part texture. With the words ‘We have turned’ we are<br />
back to very elementary materials; however, each short cell is set apart by being<br />
distributed among different groups <strong>of</strong> singers as a part <strong>of</strong> the ongoing fission or<br />
dispersion transformation. As the last stage <strong>of</strong> fission, a fully developed fugal<br />
theme starts. The formal transformation <strong>of</strong> fission iconically represents the<br />
metaphors used in the text (‘we all … have gone astray’, ‘we have turned everyone<br />
to his own way’).<br />
Figure 30. Fission: W. Lutoslawski, Jeux Vénitiens.<br />
Comments to the analysis:<br />
The first forty seconds <strong>of</strong> this example are basically a discontinuous alternation<br />
between simple textures with a great degree <strong>of</strong> fusion, <strong>and</strong> complex textures, with<br />
much greater inner activity, i.e. textures that tend towards fission. This alternation<br />
prepares for the more radical fission to take place: more <strong>and</strong> more individual lines<br />
emerge in a dramatic continuous transformation leading towards the climax <strong>of</strong> the<br />
piece.<br />
- A further development <strong>of</strong> the two previous cases occurs when a form<br />
segment becomes extremely complex, loses inner articulation <strong>and</strong> is<br />
ultimately turned into a simple, unarticulated segment. The transformation<br />
from extremely complex directly to simple form segments is called<br />
anamorphosis; the inverse transformation catamorphosis. Examples <strong>of</strong> this
pair <strong>of</strong> transformations are rarely, if at all, found in classical music, although<br />
they do occur occasionally in the avant-garde music <strong>of</strong> the 20 th century.<br />
These transformations pass out from the ordinary context <strong>of</strong> polyphony vs.<br />
homophony (fission vs. fusion), in that they carry the transformation to a<br />
complete extreme by transforming texture into a simple sound object.<br />
Figure 31. Anamorphosis: L. Thoresen, Ovringar, ending.<br />
Comments to the analysis:<br />
The example shows the end <strong>of</strong> Ovringar. It begins in the middle <strong>of</strong> a very complex<br />
texture, which still can be heard as separate parts. From here a fusion begins,<br />
which eventually (after the cut in the examples) continues as an anamorphosis: the<br />
transformation <strong>of</strong> texture into sound, in this case noise (examples <strong>of</strong> similar<br />
transformations are found e.g. in the music <strong>of</strong> T. Murail (Memoires, Erosions), G.<br />
Grisey, <strong>and</strong> K. Saariaho).<br />
Figure 32. Catamorphosis: L. Thoresen, Ovringar, opening.<br />
Comments to the analysis:<br />
This example shows the opening <strong>of</strong> Ovringar, analyzed as a catamorphosis, the<br />
symmetric opposite <strong>of</strong> anamorphosis, which is the transformation ending the piece.<br />
It shows the gradual passage from a relatively simple noise sound into textures <strong>of</strong><br />
increasing inner activity <strong>and</strong> articulation. Eventually a fission takes place <strong>and</strong> a<br />
melodic element emerges.<br />
The final pair <strong>of</strong> transformations listed, liquidation <strong>and</strong> crystallization,<br />
require a definition <strong>of</strong> Prägnanz to be understood, <strong>and</strong> examples will be<br />
given at the end <strong>of</strong> the next chapter.<br />
2.4 Prägnanz<br />
In the last pair <strong>of</strong> form-transformations discussed above, that <strong>of</strong><br />
liquidation/crystallization, one other characteristic <strong>of</strong> musical form is<br />
involved, namely that <strong>of</strong> Prägnanz. This is an emergent quality considered<br />
essential for the presentation <strong>of</strong> the classical theme, which thus deserves a<br />
more detailed discussion. The word Prägnanz used in a musical context could<br />
be said to have two meanings: One would suggest that we have an idea that<br />
gives birth to materials <strong>and</strong> ideas that are essential to the further<br />
development <strong>of</strong> the composition. A theme in a sonata, as opposed to a<br />
melody in a song, would have this quality. 18 The word can also refer to the<br />
gestalt quality <strong>of</strong> the statement itself, <strong>and</strong> it is on this aspect <strong>of</strong> the concept<br />
we shall concentrate in this context. In the latter sense, a pregnant formsegment<br />
is characterized by an optimal combination <strong>of</strong> articulated,<br />
distinctive form-elements, contextual self-affirmation <strong>and</strong> well-defined<br />
boundaries, <strong>and</strong> good continuation. Moreover, the form-elements have to be<br />
sufficiently complex <strong>and</strong> articulated, <strong>and</strong> they can never belong to the<br />
lowest category <strong>of</strong> differentiation (simple form-elements) or to that <strong>of</strong><br />
extreme complexity. The tendency towards articulation <strong>and</strong> complexity
must, however, be counterbalanced by a self-affirming or redundant<br />
context, which means that the form-elements or segments must be repeated<br />
(exactly or varied) in the immediate context.<br />
It would be reasonable to assume that the more complex the form-elements<br />
are, the more repetitions could be allowed without losing Prägnanz (this still<br />
remains to be demonstrated). Too much repetition, however, will lessen the<br />
Prägnanz <strong>of</strong> the form-segment, just as, symmetrically, too much information<br />
will threaten its unity <strong>and</strong> comprehensibility. To have well-defined<br />
boundaries, the pregnant gestalt needs to occur in a phrase whose ending is<br />
clearly marked out in the context.<br />
The criterion <strong>of</strong> a good continuation applies to the immediate surroundings<br />
<strong>of</strong> the distinctive core statement <strong>of</strong> a pregnant gestalt. The beginning <strong>of</strong> the<br />
score statement should preferably be well prepared by the previous score<br />
statement so the listener is alerted to the coming <strong>of</strong> something important.<br />
After the important information there should be a phase that allows for<br />
absorption <strong>of</strong> the information without introducing anything significant <strong>and</strong><br />
new, <strong>and</strong> the listener should moreover be alerted to the imminent ending <strong>of</strong><br />
the pregnant statement. In this way the listener will be able to ‘detach’ the<br />
information from the context, remember it outside the general flow <strong>of</strong><br />
temporal retentions <strong>and</strong> protensions, <strong>and</strong> transfer it to his/her long-term<br />
memory. The musical information may now be consciously recalled <strong>and</strong> its<br />
return expected. The articulated part <strong>of</strong> a pregnant statement should be<br />
surrounded by less important surroundings (thus materials with more<br />
anonymity).<br />
In a larger musical context, a pregnant theme presentation mostly serves to<br />
present musical information in a fashion that is both comprehensible <strong>and</strong><br />
memorable. Therefore, a pregnant organization <strong>of</strong> the constituent motives<br />
<strong>of</strong> a particular piece into a distinct theme will enhance the ability <strong>of</strong> the<br />
listener to comprehend the piece as a whole, provided the remaining piece<br />
avails itself <strong>of</strong> the musical elements presented in the initial gestalt. This<br />
latter condition is, in fact, one attribute <strong>of</strong> the phenomenon <strong>of</strong> Prägnanz<br />
itself, namely the law <strong>of</strong> good continuation, <strong>and</strong> is moreover intrinsic to the<br />
underst<strong>and</strong>ing <strong>of</strong> a theme as opposed to a melody.<br />
One instance <strong>of</strong> the presentation <strong>of</strong> a distinctive thematic motive could look<br />
like this (see Figure 12):<br />
Figure 33.<br />
Here, two well articulated/distinctive form-elements are repeated in a<br />
clearly demarcated phrase. What is not shown in this example is whether the<br />
criterion <strong>of</strong> good continuation is fulfilled. The form-building transformation<br />
<strong>of</strong> liquidation creates a context for the distinctive form elements that allows<br />
them both to st<strong>and</strong> out, <strong>and</strong> to be absorbed by the listener. The liquidation
process thwarts the balance between information <strong>and</strong> redundancy in favour<br />
either <strong>of</strong> differentiation, or <strong>of</strong> redundancy, so that distinctive materials can<br />
st<strong>and</strong> out in relation to less distinctive materials. If the less distinctive<br />
materials are related to the distinctive ones, the effect <strong>of</strong> the liquidation is<br />
also to allow the information to ‘sink in’ <strong>and</strong> to be absorbed by the listener.<br />
The inverse transformation we have termed crystallization suggesting the<br />
movement from looser to firmer gestalts. 19<br />
The classical theme is the ultimate example <strong>of</strong> Prägnanz, combining firm<br />
gestalts with the loosely organized form-segments, such as the ones used in<br />
passagework, transitional passages etc., in the same way that a foreground<br />
presupposes a background. The combination <strong>of</strong> repeated, self-affirming,<br />
characteristic motives in a context with looser forms gives us the<br />
prototypical shapes <strong>of</strong> the ways in which a theme is presented in a classical<br />
work: The Period (consisting <strong>of</strong> two major time segments, i.e. an antecedent<br />
<strong>and</strong> a consequent, each <strong>of</strong> which begins with a distinctive motive followed<br />
by less distinctive materials), <strong>and</strong> the Sentence (an initial repetition <strong>of</strong> the<br />
distinctive motive, followed by transformations <strong>of</strong> the same motive,<br />
breaking it down to less characteristic configurations) (see Figure 13).<br />
Figure 34a. Period: Mozart, Piano Sonata in A minor KV 310, 2nd movement.<br />
Figure 34b. Sentence: Beethoven, Piano Sonata in C major op. 2:2.<br />
Crystallization is a less studied phenomenon; as a musical form it is probably<br />
the creation <strong>of</strong> late classicism or early romanticism. It inverts the position <strong>of</strong><br />
firm <strong>and</strong> loose gestalts that we find in the classical sentence, by placing the<br />
loose material in front <strong>of</strong> the core motive. One is given the impression <strong>of</strong><br />
witnessing the genesis <strong>of</strong> a theme, rather than being faced with a finished<br />
statement that has to be absorbed. The definitive example <strong>of</strong> this type <strong>of</strong><br />
transformation is the opening <strong>of</strong> Beethoven’s ninth symphony.<br />
Figure 35. Crystallization: L. v. Beethoven, Symphony no. 9, mov. I.<br />
Comments to the analysis.<br />
Two note fragments <strong>of</strong> the theme are presented over a drone. The fragments move<br />
closer, <strong>and</strong> more notes are included in greater speed, all supported by a forward<br />
oriented dynamic form function. Eventually, these fragments are synthesized into<br />
the first motive <strong>of</strong> the theme, which is a pregnant statement in view <strong>of</strong> the way it<br />
is prepared (synthesis <strong>of</strong> related motive fragments), <strong>and</strong> its repetition shortly after.<br />
A moment <strong>of</strong> great impact takes place exactly before the beginning <strong>of</strong> the theme,<br />
<strong>and</strong> it is interesting to note how it is brought about: What precedes the theme is<br />
not a fragment <strong>of</strong> the theme, but a fusion <strong>of</strong> the fragments with the tremulato<br />
background chord. The synthesis process, therefore, does not proceed in a linear<br />
way towards the theme; the speeding up <strong>of</strong> the fragments leads to fusion into a<br />
texture, <strong>and</strong> while clearly leading up to the theme, the theme itself is nevertheless
allowed to enter with the greatest possible contrast in relation to what immediately<br />
precedes it.<br />
While liquidation <strong>and</strong> crystallization are linked to distinctiveness, they can<br />
be supported by most <strong>of</strong> the aforementioned transformations. Examples have<br />
already been shown:<br />
-Figure 12 (Mendelssohn's Quartet in D major) demonstrates a liquidation by<br />
partitioning <strong>and</strong> followed by proliferation, terminating by simplification.<br />
-Figure 18 (contrast theme in Liszt’s Eine Faust Symphonie) <strong>and</strong> 22: (The b-minor<br />
sonata by F. Liszt) show a similar formal construction: The synthesis transformation<br />
supports the crystallization transformation. After the theme is presented in a firm<br />
gestalt, a liquidation through partitioning follows. The formal pattern suggested is<br />
therefore symmetric: crystallization, repeated presentation <strong>of</strong> distinctive<br />
materials, liquidation.<br />
-Figure 24 (Sinfonia op. 18, no 1 by J. C. Bach) the transformations <strong>of</strong> collection<br />
<strong>and</strong> proliferation are organized as a period: The antecedent consists <strong>of</strong> a focused<br />
main motive (collection) followed by a proliferating segment; then a consequent is<br />
constructed in the same way. The focus on collection <strong>and</strong> proliferation is<br />
maintained in the transitional passage that follows, although the motives used may<br />
only be distantly related to that <strong>of</strong> the characteristic motive.<br />
-Figure 32 (Thoresen, beginning <strong>of</strong> Ovringar) shows a catamorphosis that is being<br />
followed by a fission, as the result <strong>of</strong> which a melodic shape emerges (a motive<br />
from a piece <strong>of</strong> archaic fiddle music. The catamorphosis <strong>and</strong> fission realize a longrange<br />
crystallization transformation, reinforced by the forward-oriented dynamic<br />
function, thus preparing the arrival <strong>of</strong> the folk tune in a pregnant context (not<br />
included in the sound example).<br />
The pregnant formulation <strong>of</strong> a musical statement is very much linked to the<br />
classical conception <strong>of</strong> a characteristic <strong>and</strong> memorable theme – ‘the theme<br />
as the theorem’. This particular musical feature is seldom found in the<br />
contemporary music created during the last 60 years; many composers<br />
whether <strong>of</strong> the serialist, spectralist, electroacoustic, or minimalist schools,<br />
insisted on the importance <strong>of</strong> avoiding pregnant statements. An example <strong>of</strong> a<br />
contemporary use <strong>of</strong> materials for this purpose is demonstrated in Figure 36.<br />
Figure 36. Liquidation: L.Thoresen Illuminations.<br />
Comments to the analysis:<br />
At the very opening <strong>of</strong> this double concerto for two violoncelli <strong>and</strong> orchestra a<br />
static sound prepares the listener to prepare for the erupting fortissimo texture.<br />
This texture has a medium complexity, <strong>and</strong> is one <strong>of</strong> the most characteristic<br />
textures <strong>of</strong> the piece. The next texture suggests a fission, presenting melodic<br />
elements deduced from the motives used by the two solo cellos (not included in the<br />
sound example); however the next textures are less articulated <strong>and</strong> <strong>of</strong> a simpler<br />
kind. A backward leaning or reclining dynamic function supports the transformation<br />
from complex to simple texture. Thus a virtual liquidation transformation is made<br />
without linear elements.
In classical music, the normal way to carry out liquidation is through<br />
partitioning <strong>and</strong> fragmentation. However, simplification, proliferation,<br />
fusion <strong>and</strong> anamorphosis are also potential vehicles <strong>of</strong> liquidation. Similarly,<br />
the vehicle <strong>of</strong> crystallization is normally integration, but can also be<br />
synthetization, complication, collection, fission <strong>and</strong> catamorphosis.<br />
However, the context organization <strong>of</strong> the form segments can also exert an<br />
influence on the perception <strong>of</strong> Prägnanz. E.g. if the same distinctive element<br />
is repeated excessively, it will become redundant <strong>and</strong> devoid <strong>of</strong> interest,<br />
thus in effect resembling a simplification transformation that affects the<br />
very substance <strong>of</strong> the musical material.<br />
2.5 Closing Comments<br />
The preceding presentation <strong>of</strong> form-building transformations is not entirely<br />
complete, since a study <strong>of</strong> listener modalities in relation to form-building<br />
transformations has been left out in order to keep the length <strong>of</strong> this paper<br />
within reasonable limits. However, even if that study had been included, the<br />
discussion <strong>of</strong> musical form would by no means be comprehensive. At least<br />
two other form-building isotopies, namely form-building functions, <strong>and</strong> formbuilding<br />
processes, still need to be discussed. Moreover the articulation <strong>of</strong><br />
musical gestalts into successive <strong>and</strong> simultaneous units will need to be<br />
treated in detail. The Aural Sonology Project has developed detailed<br />
analytical instruments for dealing with all <strong>of</strong> these dimensions. Additionally,<br />
the numerous ways in which form-building isotopies interact remain to be<br />
examined. The form-building isotopies mentioned in this article are basically<br />
syntactic; nevertheless, they can occasionally be interpreted as metaphors<br />
for non-musical meanings. Semantically oriented logics, e.g. narrative<br />
schemes, may interact with or override these three isotopies. Indeed,<br />
neither theoretical, nor rational, nor structure-oriented discourses will<br />
adequately <strong>and</strong> a priori cover the immense field <strong>of</strong> musical form.<br />
It should be understood that the findings presented here are merely one<br />
component <strong>of</strong> an inquiry that can probably never be carried to a conclusive<br />
end. As a composer I am immensely grateful that this ultimate end is out <strong>of</strong><br />
the reach <strong>of</strong> the theory, as the field <strong>of</strong> creation thus remains open, <strong>and</strong><br />
musical reality will always remain a source <strong>of</strong> wonder, discovery <strong>and</strong><br />
surprise.<br />
In the early 19 th century, the musical forms that were more or less<br />
spontaneously created during the 18 th century were analyzed <strong>and</strong> made into<br />
normative theory. For a relatively short period <strong>of</strong> European music history,<br />
musical form was, at the same time, a spontaneous musical practice <strong>and</strong> a<br />
normative theory. The more advanced composers <strong>of</strong> the 19 th century were,<br />
however, already developing formal conceptions that had by then bypassed<br />
theoretical dogma. In ways that were not explicable, new musical forms<br />
<strong>of</strong>ten made sense to the unprejudiced listener, not through their conformity<br />
with normative conventions that existed in the listeners’ minds prior to
hearing the music, but because <strong>of</strong> the intrinsic logic <strong>of</strong> the sonic gestalts.<br />
The listeners were made to marvel at the discovery <strong>of</strong> rational forms that<br />
eluded conceptualization. The rational syntax <strong>of</strong> the music emerged to the<br />
listener as the music unfolded, quite independently <strong>of</strong> the listener’s<br />
preconceived notions <strong>of</strong> conventions for musical forms. The present<br />
approach focuses primarily on such emergent musical forms.<br />
The dissolution <strong>of</strong> tonality <strong>and</strong> the wish to avoid trite clichés has led<br />
composers <strong>and</strong> theorists <strong>of</strong> the 20 th century to become concerned with<br />
musical morphology. Modality, polytonality, atonality <strong>and</strong> spectrality have<br />
been explored <strong>and</strong> explained. Moreover, the desire to include new sonorities<br />
<strong>and</strong> textures in music (e.g. complex spectra, gliss<strong>and</strong>i, sound accumulations)<br />
has made it necessary to conceive <strong>of</strong> completely new relationships between<br />
sound qualities <strong>and</strong> overall shape. However, the need to come to grips with<br />
the new musical materials <strong>and</strong> their technique has allowed the discussion <strong>of</strong><br />
technical aspects <strong>of</strong> music production to monopolize the theoretical<br />
discourse on contemporary music.<br />
By conceptualization <strong>and</strong> objectification <strong>of</strong> certain emergent, form-building<br />
musical gestalts, the present article has tried to give focus to possible<br />
patterns <strong>of</strong> musical order at the level <strong>of</strong> musical form as heard. When a<br />
musical form makes sense, music enters the mind <strong>of</strong> the listener, <strong>and</strong> this<br />
act <strong>of</strong> internalization is a prerequisite for the listener’s act <strong>of</strong> further making<br />
sense <strong>of</strong> the music: When coherent musical gestalts are formed <strong>and</strong><br />
internalized with the listener, they may in turn be understood in iconical <strong>and</strong><br />
indexical ways. In the examples above, we saw one clear example <strong>of</strong> this,<br />
when the formal function <strong>of</strong> fission was used to symbolize sheep that had<br />
gone astray (Figure 29).<br />
We have insisted on a “blindfolded” approach to analysis – i.e. not using the<br />
score during the process <strong>of</strong> making the analysis; this is one essential, though<br />
not exclusive, way <strong>of</strong> accessing the musical phenomenon. Through this<br />
approach we hope to stimulate <strong>and</strong> crystallize patterns <strong>of</strong> musical thinking<br />
that are sufficiently close to music for it to be helpful for the reflected<br />
musician <strong>and</strong> composer. At the same time it represents a fresh approach <strong>and</strong><br />
a challenge to traditional academic approaches to musical theory <strong>and</strong><br />
analysis.<br />
References: Literature.<br />
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Bort<strong>of</strong>t, H. (1996). The Wholeness <strong>of</strong> Nature. Goethe’s Way <strong>of</strong> Science. New York:<br />
Lindisfarne Books.<br />
Caplin, W. E. (1998). Classical form: a theory <strong>of</strong> formal functions for the<br />
instrumental music <strong>of</strong> Haydn, Mozart, <strong>and</strong> Beethoven. Oxford: Oxford University<br />
Press.<br />
Chion, M. (1983). Guide des Objets Sonores. Paris: INA & Éditions Buchet/Chastel.<br />
Clifton, T. (1983). <strong>Music</strong> as Heard: a Study in Applied Phenomenology. New Haven:<br />
Yale UP.<br />
Dalbavie, M.A. (1991). “Pour sortir de l’avant-garde.” In Le Timbre, métaphore<br />
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Time, Division I. Cambridge, Massachusetts; London, Engl<strong>and</strong>: The MIT Press.<br />
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Quarterly, vol. LXX, No.3. New York, London: G. Schirmer.<br />
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Abbate (transl). Princeton, New Jersey: Princeton University Press.
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Schaeffer, P. (1966). Traité des objets musicaux. Éditions du Seuil. Paris.<br />
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Leonard Stein (eds.). London: Faber <strong>and</strong> Faber Ltd. (Reprint).<br />
Smith, F.J. (ed.) (1976). In Search <strong>of</strong> <strong>Music</strong>al Method. London, New York, Paris:<br />
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Stoïanova, I. (2000): Manuel d’analyse musicale. Variations, sonate, formes<br />
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1 The term “music as heard” is the apt title <strong>of</strong> an important book on the<br />
phenomenology <strong>of</strong> music. (Clifton, 1983)
2 “Le processus, plus qu’un procédé, est un matériau. A un niveau plus abstrait, le<br />
fait que le processus soit dérivé d’un ‘matériau sonore’ implique qu’il contient<br />
suffisamment de ce matériau même. Le matériau musical n’est plus l’objet de<br />
départ, mais le mouvement que l’on imprime à l’objet: le processus généré par cet<br />
objet. Cette évolution, qui tend à virtualiser l’objet sonore et à le substituer à<br />
l’action que l’on effectue sur lui correspond à la différence entre les deux<br />
générations que j’ai présentées. Le passage de l’objet au modèle, puis du modèle<br />
au formel se caractérise par l’attitude qui tend à privilégier l’écriture et sa<br />
dynamique par rapport à la contemplation statique du matériau sonore” (Dalbavie,<br />
1991, p. 333).<br />
3 Our perspectives on phenomenological philosophy is based on secondary sources<br />
<strong>and</strong> interpretations on Husserl’s <strong>and</strong> Heidegger’s writings, such as Robert<br />
Sokolowsky (1974, 2000), Itzchak Miller (1984), Dreyfus (1991), Henri Bort<strong>of</strong>t<br />
(1996).<br />
4 The semiological tripartition has been an important feature <strong>of</strong> the semiological<br />
(or semiotic) approach to music, as worked out by Molino <strong>and</strong> Nattiez:<br />
(a) The poïetic dimension: even when it is empty <strong>of</strong> all intended meaning, . .<br />
. the symbolic form results from a process <strong>of</strong> creation that may be described<br />
or reconstituted.<br />
(b) The esthesic dimension: “receivers”, when confronted by a symbolic<br />
form, assign one or many meanings to the form; the term “receiver” is,<br />
however, a bit misleading. Clearly in our test case we do not “receive” a<br />
“message’s” meaning (since the producer intended none) but rather<br />
construct meaning, in the course <strong>of</strong> an active perceptual process.<br />
(c) The trace: the symbolic form is embodied physically <strong>and</strong> materially in the<br />
form <strong>of</strong> a trace accessible to the five senses. We employ the word trace<br />
because the poetic process cannot immediately be read within its<br />
lineaments, since the esthesic process (if it is in part determined by the<br />
trace) is heavily dependent upon the lived experience <strong>of</strong> the “receiver”.<br />
Molino proposed the name niveau neutre [neutral level] or niveau matériel<br />
[material level] for this trace. An objective description <strong>of</strong> the neutral level<br />
can always be proposed - in other words an analysis <strong>of</strong> its immanent <strong>and</strong><br />
recurrent properties. This is referred to throughout this volume as “analysis<br />
<strong>of</strong> the neutral level.” (Nattiez, 1990, pp. 11-12)<br />
5 Monelle’s criticism <strong>of</strong> Nattiez’ definition <strong>of</strong> the “neutral level” in Fondements<br />
d’une sémiologie de la musique (Nattiez, 1975) is justified, particularly with regard<br />
to the fact that his approach does not incorporate criteria for what makes sense<br />
musically according to “native speakers” <strong>of</strong> the musical language.<br />
Structural linguistics depends on the concept <strong>of</strong> pertinence, the native<br />
speaker’s distinction between what is significant, <strong>and</strong> what is not, in the<br />
phonetic continuum <strong>of</strong> the language. The pattern <strong>of</strong> equivalences that<br />
results is called a phonemics; without the input <strong>of</strong> a pertinence, linguistics is<br />
nothing more than phonetics. Yet in Nattiez’s “description <strong>of</strong> the neutral<br />
level”, his programme for music analysis, it is clear that he is not concerned<br />
to interrogate informants. On the contrary, the music – which is to say the<br />
score - is examined according to rational criteria only. (Monelle, 2000, pp. 4-<br />
5)
However, rather than discarding the semiotic tripartition entirely, it seems to me<br />
more reasonable to reorganize it in the way shown. <strong>Music</strong> certainly has to make<br />
sense; however, as any composer will know, it is also necessary to experiment with<br />
sonic materials <strong>and</strong> their organization in their neutral aspect, i.e. before their<br />
function in the music or for the listener is completely clear. This aspect <strong>of</strong> musical<br />
reality would, however, belong to the neutral side <strong>of</strong> the poïetic domain; thus even<br />
here, the analyst would need an informant: the composer himself, or, at least, the<br />
material traces left from his compositional process.<br />
6 What we call reductive listening consists in simply listening to the sound as<br />
sound. The intention to listen to the sound as sound – not as an indication <strong>of</strong> its<br />
cause, not as a result <strong>of</strong> communicative intention, not as a component in a<br />
syntactic unit – constitutes a specific type <strong>of</strong> object that we shall call the sound<br />
object. In the words <strong>of</strong> Michel Chion:<br />
On appelle objet sonore tout phénomène et événement sonore perçue<br />
comme un ensemble, comme un tout cohérent, et entendu dans une écoute<br />
réduite qui le vise pour lui-même, indépendamment de sa provenance ou de<br />
sa signification.<br />
L’objet sonore est défini comme le corrélat de l’écoute réduite: il n’existe<br />
pas ‘en soi’, mais à travers une intention constitutive spécifique. Il est une<br />
unité sonore perçue dans sa matière, sa texture propre, ses qualités et ses<br />
dimensions perceptives propres. Par ailleurs, il représente une perception<br />
globale, qui se donne comme identique à travers différents écoutes; un<br />
ensemble organisé, qu’on peut assimiler à une “gestalt” au sens de la<br />
psychologie de la forme. (Chion, 1983, p. 34)<br />
7 See e.g. Monelle (2000, pp. 10-19), Tarasti (1994, pp. 11-15), Hatten (2004, pp. 4-<br />
18)<br />
8 The following defines what I refer to as operational structuralism:<br />
Or, par-delà les schémas d’association atomistique et ceux des totalités<br />
émergents, il existe une troisième position, qui est celle des structuralismes<br />
opératoires: c’est celle qui adopte dès le départ une attitude relationnelle,<br />
selon laquelle ce qui compte n’est ni l’élément ni un tout s’imposant comme<br />
tel sans que l’on puisse préciser comment, mais les relations entre les<br />
éléments, autrement dit les procédés ou processus de composition (…), le<br />
tout n’étant que la résultante de ces relations ou compositions dont les lois<br />
sont celles du système. (Piaget, 1968, pp. 8-9)<br />
9 Every method <strong>of</strong> musical analysis sets its particular foci, <strong>and</strong> would give a<br />
complementary idea <strong>of</strong> another aspect <strong>of</strong> the musical object. Ferrara (1984, 1991)<br />
has taken the full consequence <strong>of</strong> this <strong>and</strong> launched a method based on an eclectic<br />
model. The idea to combine different methodologies with complementary functions<br />
seems a reasonable step; however, since the analytical methods <strong>of</strong> Aural Sonology<br />
are still developing, this step is not yet taken.<br />
10 “A. J. Greimas has borrowed the term isotopy from the domain <strong>of</strong> physical<br />
chemistry <strong>and</strong> has translated it to semantic analysis by conferring on it a specific<br />
signification in the context <strong>of</strong> its new field <strong>of</strong> application. In its operational<br />
character, the concept <strong>of</strong> isotopy first <strong>of</strong> all designated iterativity throughout a<br />
syntagmatic chain <strong>of</strong> classemes which assure a discursive utterance [discourse =<br />
énoncé] its homogeneity. From this definition, it is clear that the syntagm joining
at least two semic figures can be considered the minimal context allowing the<br />
establishment <strong>of</strong> an isotopy. Thus, regarding the semic category which subsumes<br />
two contradictory terms: the four terms <strong>of</strong> the semiotic square [carré semiotique],<br />
when we take into account the trajectories to which they can give rise, would be<br />
called isotopies” (Greimas, 1979, Ronald Schleifer’s introduction).<br />
Tarasti defines musical isotopies in the following way: “In music, isotopies mean<br />
the principles that articulate musical discourse into coherent sections” (Tarasti,<br />
1994, p. 6).<br />
11 We emphasize general, since the listed isotopies may be accorded a certain a<br />
priori existence. Any relevant analysis, however, will have to start with a given<br />
piece <strong>of</strong> music, <strong>and</strong> the open-minded analyst, bracketing her preconceptions to the<br />
extent possible, should, initially at least, let the experienced music itself set its<br />
foci. Thus a particular piece may suggest a particular, perhaps thematic isotopy,<br />
one that possibly may be described as a focus on particular elements <strong>and</strong> functions<br />
described in our general isotopies, or one that could best be described using a<br />
combination <strong>of</strong> these, or one that might elude any description suggested by the<br />
general isotopies. In the latter case, one will have to ask whether one has found an<br />
isotopy with a potential for generalization. However, it is worthwhile noticing that<br />
not all music has got a pertinent isotopy on the level <strong>of</strong> form (level 3). In Thoresen<br />
(1987) actual thematized musical isotopies are discussed in connection with an<br />
analysis <strong>of</strong> a piano sonata by F. Schubert. These determine the narrative form <strong>of</strong><br />
the sonata (whose thematic form is the traditional sonata form), <strong>and</strong> can be<br />
interpreted as the signifiers (or tertium comparationis) <strong>of</strong> iconic signs, with extramusical<br />
meanings as their signifiers.<br />
12 The dynamic aspect <strong>of</strong> form opened for a non-reversible view <strong>of</strong> musical time.<br />
Thus, the restatement <strong>of</strong> the principal theme after the development section has<br />
got another formal function than its first statement. This change <strong>of</strong> function <strong>of</strong> the<br />
principal theme when it occurs in the recapitulation is e.g. clearly composed out<br />
e.g. in van Beethoven’s Apassionata <strong>and</strong> the first movement <strong>of</strong> the 9 th Symphony.<br />
We see interference between two formal principles, one based on thematic<br />
recurrence, the other on dynamic principles. The consequence <strong>of</strong> this is clearly<br />
spelled out in Wagner’s Tristan prelude, the form <strong>of</strong> which is not primarily based<br />
on contrasting different sections <strong>of</strong> thematic differences, but on waves <strong>of</strong> tension<br />
<strong>and</strong> relaxation, moving towards a climax.<br />
Une des propriétés fondamentales du processus symphonique est sa<br />
téléologie et son irréversibilité: les composantes formelles ne sont pas<br />
interchangeables, et il n’y a pas de répétitions symétrique et tautologique<br />
en musique, même dans les formes bi- et tripartites simples et complexes,<br />
dans la mesure ou le devenir en musique, du fait de sa nature temporelle,<br />
est un processus cumulative. (Stoïanova, 2000, p. 11)<br />
13 Schoenberg’s distinction between Loose <strong>and</strong> firm Gestalts owes undoubtedly<br />
much to A. B. Marx distinction between Satz <strong>and</strong> Periode on the one h<strong>and</strong>, <strong>and</strong><br />
Gang. Whereas the two former terms refer to musical elements based on 4 <strong>and</strong> 8<br />
bars with <strong>and</strong> clearly delineated borders, Gang refers to transitional sections, <strong>of</strong>ten<br />
based on harmonic sequences, <strong>and</strong> without clearly marked boundaries. “Nun muss<br />
es aber auch Tongebilde geben können, die eines Abschlusses, wie Sätze und<br />
Perioden haben, entbehren (...) Ein solches Tongebilde nennen wir Gang” (Marx,
vol I:30). “Ein Gang ist eine Melodie ohne bestimmten Abschluss. Er entsteht aus<br />
der Fortführung eines Motivs auf eine beliebige Strecke hin” (Marx, vol. I, p. 35).<br />
(Marx’s Kompositionslehre came in several improved versions. The present<br />
references are taken from Nielsen’s (1971) book on formal analysis; Nielsen seems<br />
to quote the seventh edition (1868); I have not been able to identify his quotations<br />
against the original, as this particular edition is not available to me.)<br />
14 See Thoresen (1996, p. 153).<br />
15 The contrast between textures can also be given form-building function that is as<br />
important as the contrasting <strong>of</strong> themes in classical music. With F. J. Haydn, the<br />
secondary theme <strong>of</strong> his sonatas <strong>and</strong> symphonies is not infrequently the same as the<br />
principal one, the difference being that it is presented with a different texture <strong>and</strong><br />
tonal center. See e.g. Piano Sonata no 60, Hob. XVI/50.<br />
16 A conclusion that can be drawn from this is, <strong>of</strong> course, that it will be harder to<br />
obtain distinctive elements in compositions having a very complex musical texture;<br />
the same will apply to compositions that only use very simple elements.<br />
17 This sign is also useful when it comes to characterizing formal processes (giving<br />
further nuances to the established categories <strong>of</strong> recurrence, variation, <strong>and</strong> contrast<br />
as proposed by Bent (1998, pp. 5 <strong>and</strong> 88), <strong>and</strong> we will discuss this in greater detail<br />
in forthcoming work.<br />
18 Explaining the difference between a theme <strong>and</strong> a melody, Schoenberg writes:<br />
Every succession <strong>of</strong> tones produces unrest, conflict, problems. One single<br />
tone is not problematic because the ear defines it as a tonic, a point <strong>of</strong><br />
repose. Every added tone makes this determination questionable. Every<br />
musical form can be considered as an attempt to treat this unrest either by<br />
halting or limiting it, or by solving the problem. A melody re-establishes<br />
repose through balance. A theme solves the problem by carrying out its<br />
consequences. The unrest in a melody need not reach below the surface,<br />
while the problem <strong>of</strong> a theme may penetrate the pr<strong>of</strong>oundest depths.<br />
(Schoenberg, 1977, p. 102)<br />
19 While Schoenberg (1977) describes liquidation, he does not treat the inverse<br />
transformation. We have called it crystallization, the logical inverse <strong>of</strong> making<br />
something liquid. Schoenberg’s ideas on classical forms have been brilliantly<br />
developed by Caplin (1998).