Schoenberg, Wittgenstein, and the Vienna Circle: Epistemological Meta-Themes in Harmonie Theory, Aesthetics, and Logical Positivism James Kenneth Wright McGill University, Montreal August, 2001 Submitted to the Faculty ofGraduate Studies and Research in partial fulfillment ofthe requirements for the degree of Doctor ofPhilosophy © James Kenneth Wright, 2001 National Library Bibliothèque nationale 1+1 of Canada du Canada Acquisitions and Acquisitions et Bibliographie Services services bibliographiques 395 Wellington Street 395, rue Wellington Ottawa ON K1 A ON4 Ottawa ON K1 A ON4 canada canada Your fiIfI Voire réfé_ Our fiIfI Notre référence The author bas granted a non­ L'auteur a accordé une licence non exclusive licence al10wing the exclusive permettant à la National Library ofCanada to Bibliothèque nationale du Canada de reproduce, loan, distribute or sell reproduire, prêter, distribuer ou copies ofthis thesis in microform, vendre des copies de cette thèse sous paper or electronic formats. la forme de microfiche/film, de reproduction sur papier ou sur format électronique. The author retains ownership ofthe L'auteur conselVe la propriété du copyright in this thesis. Neither the droit d'auteur qui protège cette thèse. thesis nor substantial extracts from it Ni la thèse ni des extraits substantiels may be printed or otherwise de celle-ci ne doivent être imprimés reproduced without the author's ou autrement reproduits sans son pemnSSlon. autorisation. 0-612-78799-0 Canada 11 Abstract This study examines the relativistie aspects of Arnold Schoenberg's harmonie and aesthetie theories in the light of a framework of ideas presented in the early writings of Ludwig Wittgenstein, the logician, philosopher of language, and Schoenberg's contemporary and Austrian compatriot. The author has identified correspondences between the writings of Schoenberg, the early Wittgenstein (the Tractatus Logico-Philosophicus, in particular), and the Vienna Circle of philosophers, on a wide range of topies and themes. Issues discussed include the nature and limits of language, musical universals, theoretical conventionalism, word-to-world correspondence in language, the need for a fact- and comparison-based approach to art criticism, and the nature of musie-theoretical formalism and mathematical modeling. Schoenberg and Wittgenstein are shown to have shared a vision that is remarkable for its uniformity and balance, one that points toward the reconciliation of the positivist-relativist dualism that has dominated recent discourse in musie theory. Contrary to earlier accounts of Schoenberg's harmonie and aesthetic relativism, this study identifies a solid epistemologieal core underlying his thought, àview that was very much in step with Wittgenstein and the Vienna Circle, and thereby with the most vigorous and forward-looking stream in early twentieth century intel1ectual history. iii Sommaire Cette étude examine les aspects relativistes des théories harmoniques et esthétiques d'Arnold Schoenberg à la lumière d'idées présentées dans les premiers écrits du logicien autrichien et philosophe du langage Ludwig Wittgenstein, compatriote et contemporain de Schoenberg. L'auteur a établi des correspondances sur toute une gamme de sujets et de thèmes entre les écrits de Schoenberg et ceux de Wittgenstein à ses débuts (le Tractatus Logico-Philosophicus en particulier). Il discute entre autres de la nature et des limites du langage, des universaux de la musique, du conventionalisme théorique, de la correspondance « mot à monde» dans le langage, de la nécessité d'une approche de la critique artistique fondée sur les faits et la comparaison, de la nature du formalisme théorique en musique et de la modélisation mathématique. Il démontre que Schoenberg et Wittgenstein avaient une vision commune, remarquable par son uniformité et son équilibre, une vision qui annonce la réconciliation du dualisme positiviste-relativiste qui a dominé le discours récent en théorie musicale. Contrairement à des exposés précédents du relativisme harmonique et esthétique de Schoenberg, cette étude établit au cœur de sa pensée une cohérence épistémologique qui était au diapason de Wittgenstein et du Cercle de Vienne, et, de ce fait, du courant le plus éclairé et tourné vers l'avenir de l'histoire intellectuelle du vingtième siècle. iv Acknowledgments With humility and appreciation l would like to acknowledge those who have assisted me in this research. First and foremost, l wish to thank my advisor, William Caplin. It is impossible to enumerate aIl of the ways in which Professor Caplin has supported, encouraged, and influenced my research. Our dialogue began with the wide-ranging and engaging discussions that took place in his graduate seminar on the history of music theory, and it has continued, unabated, through aIl stages of the preparation of the dissertation. l have valued Professor Caplin's breadth of scholarship, his rigorously incisive critique, and his keen musical insight and judgment. It has been a pleasure and luxury to have had the opportunity to work under his expert guidance. l have also had the good fortune of being able to discuss my work with a remarkable Wittgenstein scholar. The assistance l have received from Mathieu Marion has been invaluable to me as l have ventured into his domain. He has generously shared his expertise, commented on drafts, and patiently discussed subtle nuances of Wittgenstein's philosophy with me (concerning the foundations of mathematics, in particular). It is difficult to take full account of the many benefits l have reaped from our discussions. Among other things, l have been infected by Professor Marion's enthusiasm for an things Wittgensteinian, an "affliction" that seems likely to remain with me for a lifetime. v Thanks are due also to Professor Don McLean for carefully scrutinizing the draft with his eye for detail, for insisting on the exigencies of rigor, and for generously sharing his broad expertise on mathematieal modeling, Schoenberg, and the Second Vienna School. Professor Peter Schubert was an especially helpful interlocutor during the early stages of this research. Out of our conversations 1first formed my belief that a study of the conceptual foundations of Schoenberg's harmonie theory would be a timely one for our discipline. 1am also grateful to Peter for discouraging me from wholly abandoning my activities as a musician in order to pursue my research goals. David Huron (Director of the Cognitive and Systematic Musieology Laboratory, University of Ohio) also helped me to formulate my research objectives. A memorable and provocative conversation with David while strolling through the campus of Cambridge University in the summer of 1997 convinced me to pursue research concerning musieal universals and harmonie relativism. He is a unique model to those of us who are interested in the empirieal investigation of the principles underlying musie theory. 1owe a debt of deep gratitude to my friend, Sharon Moren, for her constant help and encouragement, for gamely engaging in dialogue with me at an stages of the research, and for translating sorne valuable Italian rnaterials. Thanks are due also to Albert Bregman (Emeritus Professor, Department of Psychology, McGill University), Andrew Lugg (Professor of Philosophy, University of Ottawa), and to my friends Myrna Rootham, Bruno Alberton, and VI Michael Parkes, for their support, encouragement, and advice. To my family­ my parents, my sister Susan, and especially to my infinitely patient daughter Jennifer-I want to express my most heartfelt appreciation. 1am very grateful for the generous support 1have received from the Social Sciences and Humanities Research Council of Canada. 1wish also to express appreciation for the resources of the National Library of Canada, the Arnold Schoenberg Center (Vienna), the Vienna Circle Institute (Vienna), and the McGill University, University of Ottawa, and Carleton University libraries. Finally, 1want to acknowledge my indebtedness to the late Professor Bo Alphonce (1929-2000), my mentor and friend, for so generously sharing his profound insight and curiosity concerning aIl things epistemological, and for encouraging me to return to McGill to pursue doctoral research. This dissertation is dedicated to his memory. Table Of Contents Chapter 1: Introduction 1 Decline ofthe Quest for Universals in Twentieth-Century Music Theory _ Schoenberg and Wittgenstein 5 Chapter 2: Universalism and Relativism in Schoenberg's Harmonie Theory _ 10 Relativism in Schoenberg's Harmonic and Aesthetic Theories 12 The Problem ofUniversals 20 The Epistemological Foundations of Harmonic Theory: Four Propositional Categories 33 Schoenberg's Universalism: The lcarus Principle 42 Schoenberg's Relativism and Conventionalism: The Schenker/Schoenberg Controversy 53 Chapter 3: Schoenberg and Wittgenstein: Positivism and the Limits ofLanguage _ 62 Language and Knowledge: Analytic Philosophy and the Vienna Circle __ 72 Wittgenstein's Tractatus 78 Wittgenstein's "Stop": The ls/0ught Dichotomy and the Limits ofLanguage 84 Schoenberg's "Stop": Facts versus Values in Harmonic Theory 90 The Proper Role ofArt Theory and Aesthetics: Pointing to Facts and Making Comparisons 94 "Important Nonsense": Showing the Value ofValues 96 Equating Ethics and Aesthetics: Emphasis on Praxis over Theory 99 Schoenberg on the Limits of Language: "0 Word, Thou Word that 1Lack" 103 Wittgenstein, Schoenberg, and Schopenhauer: The Art Object Sub Specie Aeternitatis 106 Rejecting "Heart and Brain" Dualism 112 viii