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Universi^ Microrilms International 300 N INFORMATION TO USERS This was produced from a copy of a document sent to us for microfilming. W!)ile the most advanced technological means to photograph and reproduce this document have been used, the quality is heavily dependent upon the quality of the material submitted. llie following explanation of techniques is provided to help yea understand markings or notations which may appear on this reproduction. 1. Tlie sign or “target” for pages apparently lacking from the document photographed is “Missing Page(s)”. If it was possible to obtain the missing page(s) or section, they are spliced into the film along with adjacent pages. This may have necessitated cutting through an image and duplicating adjacent pages to assure you of complete continuity. 2. When an image on the film is obliterated with a round black mark it is an indication that the film inspector noticed either blurred copy because of movement during exposure, or duplicate copy. 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ZEEB ROAD, ANN ARBOR, Ml 48106 18 BEDFORD ROW, LONDON WC1R 4EJ, ENGLAND 8115133 L o h m a n , P e t e r N a t h a n SCHOENBERG’S ATONAL PROCEDURES: A NON-SERIAL ANALYTIC APPROACH TO THE INSTRUMENTAL WORKS, 1908-1921 The Ohio Siate University Ph.D. 1981 University Microfilms I ntern etion 300al N. Zeeb Road, Ann Arbor, MI 48106 Copyright 1981 by Lohman, Peter Nathan All Rights Reserved PLEASE NOTE: In all cases this material has been filmed In the best possible way from the available copy. Problems encountered with this document have been identified here with a check mark V_ 1. Glossy photographs or pages. 2. Colored illustrations, paper or print______ 3. Photographs with dark background _____ 4. Illustrations are poor copy ______ 5. Pages with black marks, not original copy. 6. Print show s through as there is text on both sides of page. 7. Indistinct, broken or small print on several pages. 8 . Print exceeds margin requirements ______ 9. Tightly bound cop y v/ith print lost in spine ______ 10. Computer printout pages with indistinct print ______ 11. P a g e(s) ______ lacking when material received, and not available from school or author. 12. i'^age(s) ______ seem to be missing in numbering only as text follows. 13. Two pages numbered . Text follows. 14. Curling and wrinkled pages ______ 15. Other ______________________________________________ University Microfilms International SCHOENBERG'S ATONAL PROCEDURES: A NON-SERIAL ANALYTIC APPROACH TO THE INSTRUMENTAL WORKS, 1908-1921 DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University by P eter Nathan Lohman, B.A., M.Mus, * * * * * The Ohio S tate U niversity 1981 Reading Committee; Approved by Burdette L. Green William Poland Gregory Proctor Adviser School of Music ACKNOWLEDGMENTS I wish to thank ray advisor, Dr, Burdette Green, for his many hours of patient work on this document. I am also grateful to Dr. William Poland and Or. Gregory Proctor for their careful reading and valuable insights. ii VITA September 24-, 1953 ................... Born - New York, N.Y. 1975 . « ..................................... B.A., Oberlin College, Oberlin Ohio 1976-1978 ........................................ Teaching Associate, School of Music, The Ohio State University, Columbus, Ohio I976r . ..................................... M.Mus., The Ohio State University, Columbus, Ohio 1978-1979 ........................................ University Fellow, The Ohio S ta te U n iv ersity , Columbus, Ohio FIELDS OF STUDY Major Field: Music Theory Studies in Analysis. Professor William Poland Studies in the History of Music Theory. Professor Burdette Green Studies in Composition. P ro fesso r Norman Phelps Studies in Electronic Music. Professor Thomas Wells iii TABLE OP CONTENTS Page ACKNOWLEDGMENTS ..................................... - .................... i i VITA.................................. i i i LIST OP TABLES............................................................................ v i LIST OP EXAMPLES........................................................................ v i i INTRODUCTION ........................................................................ 1 Chapter I . BASIC APPPOACÎILS TO ATONAL MUSIC. »............. 19 The A e s th e tic /H is to ric a l Approach- Theories cf Pitch Organization- The Conypn , Analytic Approach- The "Emancipation of the Dissonance" and its Theoretical Implications- Alterations in the Musical Language. I I . THE VERTICAL DIMENSION IN ATONAL MUSIC... ?2 The Verbal Categorization of Atonal Simultaneities - New Symbol Systems for Categorizing Atonal Simultanei­ ties - i'he Application of Chord Quali­ ty Analysis to Schoenberg's Atonal Works - Some General C h a ra c te ris tic s of Chord Qualities - A Tabulation of Chord Qualities in Schoenberg's Atonal Piano Works - xiie Case A gainst In te rv a l- Class Equivalence as an Important Factor in Schoenberg's Atonal Procedures - Layers of Vertical Activity. I I I . ATONAL MELODY.....................- ....................................... 13^ The Role of Chromatic Saturation in Melodic Organization - Types of Melodic Interval Succession - Local Variation Procedures - Idiosyncratic Peatures - Perpetual "Variation". IV. FORMAI RECURRENCE . «............................................... l68 i. The Melodic A rtic u la tio n of Form - C:-2 ':-5xtual Emphasis - The Role of Ccnt9%. cual in Aural Coherence - Types of Relatedness - The Categories of Formal Recurrence - Category Ai Polymotivic and Section- alized Movements - Category Bi Imita­ tive "Contrapuntal" Movements - Category 0 t Monomotivic Movements - Category D* Untransposed Pitch-strings or Transposed P/R Items - The Concept of Musical Prose - Local and Low-grade Congruities. V. USE OF THE ANALYTIC CATEGORIES IN ANALYZING REPRESENTATIVE MOVEMENTS.............................. 229 Analyses of Athematic Movements (Cate­ gory F) - Analyses of Athematic Movements (Category E) - Analyses of Two Represen­ tative Monomotivic Movements (Category D) - Analyses of Two Representative Monomotivic Movements (Category C) - Analysis of a Representative Imitative "Contrapuntal" Movements (Category B) - Analysis of a Representative Polymotivic, Sectionalized Movement (Category A). VI. SUMMARY AND CONCLUSIONS................................................... 305 BIBLIOGRAPHY....................................... 320 LIST OP TABLES Table Page 1. The total mtmber of p-c seta and their distribution into the total number of symmetrical CQ*s and i-c equivalent C Q 's,,.,.. 92 2„ A vertical/horizontal count for Op. 19/1 .............. 101 3. Raw data for the CQ count of Schoenberg's 0pp. 11, 19, and 23 ...................................................... 105 4. Summary of results of the CQ tabulation in Schoenberg's 0pp. 11, 19, and 23, and Brahms' Op.76 piano pieces ........................................... 110 5. The ten most commonly appearing CQ^'s and CQ^'s in the Brahms and Schoenberg-^ sample s .... 112 6. The average number of different CQ's of each size appearing in a given movement in the sample ................................................................. 115 7. A comparison of anagram and i-c relations 123 8. Some factors that give contextual, emphasis to melodic items ......................... 177 9. Points of recurrence in 0pp. 11, 16, 19, 21, and 23............. 191 10. The six categories of formal recurrence, listed in order of the conventionality of their constructive procedures .............................. 193 11. Two low-grade congruities in Op, 16/5 ............. 237 12. The form al c a te g o riz a tio n of each movement in Pierrot Lunaire. Op.21 .............................................. 254 13. Local congruities in Op. 11/3 ....................................... 270 14. Points of recurrence in Schoenberg's instrumental works, 1923-1936 ..................................... 317 VI LIST 0? EXAMPLES Example P&6 1. Two contrasting Hauptstimne passages, a conjunct one from Op.21/3 (a) and a disjunct one from Op.21/17 (b) ............................ T7 2. Perle's analysis of Op.11/1, mm.1-3, showing "cell” groupings ......................... 40 3. Regers String Quartet, Op.109, I, mm.32-39, displaying fast harmonic rhythm. .......................... o2 4. Two possibly analogous enharmonic spellings in Op. 19/1, mm.3 and H . ........................... 5. Two respellings of a single pitch in Op. 19/3, mm.7 -8 ................................... «............................. 67 6. Two more examples of enharmonic respelling from (a) Op.23/1, mm.1-2 and
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