Roig Francoli CH 3 PDF
Roig Francoli CH 3 PDF
Introduction to Pitch-Class
Set Theory
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                                                                                                                  il,t\,
In Chapters I and 2 we have introduced and     r"rsed the concept of pitch-class set. We
have seen that this concept is particularly useful to label small pitch-class collections
and to compare and relate such collections among themselves. We have not only dem-
onstrated how the system can be used analytically to uncover relationships that have
immediate musical interest, but also that it would be much more difficult to discover
some of these relationships without recourse to pitch-class set theory. In the following
chapters we will study music in which pitch centricity is normally avoided, and which
is often based on collections of pitch classes, used both motivically or as harmonic
building blocks. A general term to refer to such music is "atonal." To deal with this
type of music analytically, however, we will need to have a better grasp of pitch-
class set theory. Although set theory has been used in recent years as a compositional
method, it was originally formulated (by Milton Babbitt and Allen Forte) in the 1960s
and 70s, as a theoretical and analytical system particularly applicable to the study of
atonal music. We will devote the present chapter to a more systematic and formal pre-
sentation of set theory, after which we will be better prepared to succeed in our studies
of atonal music.l
lTwo pioneering articles in set theory are Milton Babbitt, "Set Structnre as a Compositional Determi-
nanr,".lourncrl of MusicTheory 5 (1961):12-94: reprinted inThe Collected Essc,ys of Milton Babbitt,
cd. Stepl-ren Pclcs, Stcphen Dombski, Andrew Mead, and Joseph Straus (Princeton: Pt incetou University
Press,2003), pp.86-108;and Allen Forte,'A Theory of Set-Cornplexes forMusic," Journolctf Mlusic
Theor1,8(1964): 136-83.Extensivepresentationsof settl'reory,towhichthischapterisindebted,can
be found in Allen Forte,The Structure of Atonal Music (New Haven: Yale University Press, 1973): John
Rahn, Ba.ric Atontrl Theory (New York: Schirmer, 1980); and Robert Morris, Compositiort with Pitch-
Classes: ATheory of Compositionol Design (New Haven: Yale University Press, 1987), and Class Notes
For Atonal Music Theory (Hanover, NH: Frog Peak Music, l99l). See also Joseph Straus, IntrodLtctiort
to Post-Tonal'[heory. A very irnportant book that plovicles a diff'erent ancl,compelling perspective on the
matters and materials studied in our Chapters 3 and 4 is David Lewin's Generalized Musical Intervals
unclTransformatiorts (Nerv I{aven: Yale University Press, l987).
69
                                                                                                              F
          70   CHAPTER   3
                         PREI-,IMINARY CONCEPTS
                         Wearealreadyfamiliarwithsomeofthebasicprinciplesofpitch-classsettheory.As
                                                                               with the same name' in any octave'
                         we know, a pitch class (pc) is a group of pitches
                                                                           of octave equivalence: in set theory we
                         The concept of pitch class implies the p.op.tty
                                                                      pitches with the same name' For instance'
                         clo not distinguish between octave-relatei
                              Cfi in any octave is equivalent to uny
                             any
                                                                     oth"' Cil in any other octave' and they are all
                                                                            the property of enharmonic equivalence
                             members of the same pitch class. Moreover,
                             also applies to pitch-class set theory. Although
                                                                              infunctional tonality a cil and a Dl have
                                                                                       enharmonically spelled pitches
                             different functions and cannot be used interchangeably,
                                                                                  That is, C$ and Db are equivalent for
                             in set theory are members of the same pitch clasi.
                             our purposes'                                                                      'ng
                                                                                                            pitch classes
                                               :-+-^r"^ol thp nnnr-ent inteper notation.
                                  We have also introduced the concept of integer
                                                                                    n          By notatt
                                                                                 set operations  much.  more  efficiently'
                             as integers we will be able to realize pit"h-.lurs                                      That
                                                                                  with   pitches and pitch classes.
                             Always think, however, that you are still dealing                            number   (in the
                                                                          a letter (F, for  example) or a
                             is, whether you represent a pitch class with
                             caseofF,5),wearestilltalkingofwaystorepresentorlabelanessentialmr-rsicalele-
                                                                             there are two systems of using integers
                             ment (a pitch class). we have also learned that
                                                                                  we assign integer 0' by convention' to
     ,t
                             to cJenote pitch classes. In the "fixed do" system,
                                                                                  and D[b) and go up the chromatic set
                             pitch-ciass C (or its enharmonic eqr-rivalents, B{
                                                                                     the "moveable do" system' integer
                             of pitch classes, counting half steps up from C' In
      i
ri
                                                                                set, no matter what that may be' In this
:i
                             0 will be assigned to the first pitch class of the
                             chapter we will use each of these systems for
                                                                                diftbrent purposes' For the time being'
                              we will begin with the fixed ,lo ,yrt.,-,t. Figure
                                                                                  3'l shows the integer and pitch-class
                                                                                (as a reminder, let's note again that en-
                              equivalences that we are already familiar with
                                                                                    ancl Gb' are represented by the same
                              harmonically equivalent pitch classes, such as Ff
                              integer).
                                                                                twelve different pitch classes, although
                                    Becattse of octave equivalence we have only
                                                                                          solve the cliscrepancy by doing all
                              pitch takes place in many clifferent octaves. we will
                                                                                              (abbreviation for ntoclulo 12)'
                              of our pitch-class set operations tn mod 12 arithmetic
                                                                                      (frorn 0 to 1l), and any integerlarger
                              Trris means that we will'se onry twelve i'tegers
                                                                                     equivalent integer within these twelve'
                              than 1r (or smarler flran 0) will be reduced to its
                                                                                     a single octave, and any pitch outside
                              To put this in musical terms, we will operate in
                                                                                        our octave. Thinking of a clock lace
                              this octave will be recl'ce d to its eclr,ival-nt within
                              (seeFigure3.2)willhelpyouunclerstandntocl]2.Ifyorrthinkofmidnightasbeing
                                                                                              to 0' 13 is equivalent
                                          l2hours you begin the cycle again: 12 is equivalent
                              0 hotrrs, after
                                                                                              to its rnocl 12 cquivalentby
                              to   l,  to 2, 1-5 to 3, ancl so on. you can reduce any integer
                                        14
                                                                                given integer' For instance' 16 - 12 - 4
                               subtracting 12 (or a mLrltiple of 12) from the                                        is3in
                               (so 16is4in nt,cl 12), lg - 12=7(so 19is7 rnrnctcll2),anr127 -24=3(21
                               mod l2).
                               c-0 c{-1 D-2 Dil-3 E-4 F-5 F$-6 G-7 Gil-8 A-9 Af-10 B-11
                                                                                                pitch classes
                                                    Figtrrc 3.1 Integer notation fbr thc twelve
                                                                        Introduction to Pitch-Class Set Theory   1I
                                                                                                          !
    72   CHAPTER   3
                                                                                   B-E=5
-                                                   1r(B)
4(E)
                                              E-B=J
                                                  Figure 3.4 Ordered pitch-class intervals
                                                                                                                 but
                                                               shortest distance between two pitch
                                                                                                      classes),
                       unordered (if we take into account the                                      their  "simple"
                                                                  we will reduce alr intervals to
                       in alr cases they win be mod 12; thatis,                                      pitch  classes
                       equivalents. An ordered pitch-crass
                                                             interval is the distance between two
                                                                                                        direction)'
                                                        (and, by convention' always in an ascending
                       considered in a particular order
                                                                          two pcs' subtract the first pc from the
                       To determine the ordered pc interval between                                        E and B
                        second in mod 12. lnthe Debussy
                                                            motive, the ordered pc interval between
                                                                                                                  in
                                                                context' the same i*o ptt could be
                                                                                                      presented
                        (4 and 11) is lI - 4 -J.lna different
                                                                                             11=5(thatis,16-11=5
                       theorderB_E,anclthentheorderedpcintervalwouldbe4-                                 the
                                                             pc interval on a clock face, always measure
                       tn mod t2). Todetermine un o.d.."i                                      3'4'
                                                      (that is, ascending), as shown in Figure
                       distance between pcs clockwise
                             Morerelevantinpitch-classsettheoryistheco.n::ptol""::d,.redpitch.class
                                                                          in which octave equivalence applies'
                        interval (also called interval class). In a space                                   of a
                                                                      and we can represent both by means
                        interval E-B is equivalent to interval B-E,                        of pitch classes, but
                                                                     not the direction or order
                        single integer. wrrat matters to us here is                               pitch classes E
                                                                    classes. The distance between
                        the shortest span between the two pitch                                 smallest of these'
                        and B tn mocr 12 canbe 11 - 4 -_7
                                                             0r 4 - 11 = 5. we will choose the
                                                                                                                an
                                                                      interval between E and B' To determine
                        5, to represent the unorderecl pitch-class                                            two
                        unorclered pitch-class interval on a
                                                              clock face' we measure the distance between
                        pitchclassesfollowingtheshortestpossiblepath,beitclockwiseorcounterclockwise,
                        as shown in Figure 3'5'
                            Inotherwords,invertedintervalsareequivalentinunorcleredpitch_classSpace.        the
                        Because of octave equivalence, the
                                                           major :ri C-f is equivalent to its inversion'
                                                                      an!.its inversion in one singre category'
                        minor 6th E_C. we can then group un i"nt"ruaf
                         whichwecallintervalclass(abbreviatedasic).Therearesevenintervalclasses,and
                                                                               is made up of intervals 0
                                                                            3'6' Thus' ic 0
                         their intervallic content is presented in Figure
                                                                     t'p of intervals I and 11 (m2 and M7)'
                                                                                                            and so
                          and ]2(unison and octave), ic 1 is made                                    th:t-^d1:t::
                                                                   class are complementary (that is'
                         on. Because two intervals in an interval
                                                                     each ic add up     to l}'The only ic that contatns
                         an octave), the two integers that represent
                                                                          Introduction to Pitch-Class Set Theory   73
                                                              B-E=E-B=5
                         11(B)
4(E)
0 0, 12
1 1, 11
                             2                                2, lo
                             a
                             -)                               3,9
                             4                                4,8
                             5                                5,J
                             6                                6
a single interval is ic 6, because the tritone inverts into itself. We can now also see that
the intervals from the preceding examples are grouped as ic 5 (intervals 5 and J,P4 and
P5) and ic 4 (intervals 4 and B, M3 and rn6).
                                                      l. 1:
                                                       l.
            74   CHAPTER   3
                                                                                                       in different
                                                                   in which pitch classes were ordered
                           various motives from Stravinsky's Rite'
                                                               set class, (0251).
                           ways, all were members of the same
                               NOTE
                                                                    introducecr in this sectio,, we can thinkfor instance
                               To herp us uncrerstancr the concepts
                                                                   we  present them as   C-E_G, E-G_C, G_C-g, or aS
                               of pitch classes G-E-C.    Whether                                                     "t^!1
                               a variety of other possible orrteringi,'*'
                                                                          in'*'diately recogniz'e this collection 11
                                                                                                                root posb
                                                                                orcler all these collections as
                               c mojor triad" (in other words, we mentally taken
                               tion c maior triacls). In this
                                                                      *, noi,
                                                                proces.'s,'            for granted that-the          "'!': "f .l::::
                               crcLsses does ttot- matter, an',d
                                                                 we    have easity icrentified all these dffirent Srouplngs
                                                                                                                     pitch-cLass
                                                                            Moreover' we can also think of the
                               witlt a single term, "the c ntajor triacJ."                               that  they all belong to
                                                      B-D-G, ora i-r-A and ectsily recognize
                               couections c_E-G, ,,major                                                      re'cognize  the col.
                                                                                                         ancl
                               the same CateSory,           triads.,, We Can 8o one step farther
                                                                              .lriacrs," ctl'triottgh these couections inclucle
                               rections c_E_G, G_B_E, anct E-A-c
                                                                           as
                                                               we  can  cro att of this becarrse ,ve have a werl-establishetl
                               botrt major attd minor triads.                                                 to this system' vve
                                                                       uncJ tertictn sonorities- Thanks
                               system to icrentifi l"i Irirt triacrs
                                catliclentifyandcompareterttcrltstlnoritiesandSrouptltemintosimilctrcategories.Itt  We neecl
                                                                        with nontertictn' nontriaclic colle-ctions'
                                tnost at,ncrl mttsic, however, we cleal                                     to contpare col'
                                                                                label any collection ancl
                                rc rlefine a similar system that wi-ll allow r'ts
                                                                                    to
                                                                                     rs exactly ivhat pitch-class   set theory does'
                                                                              Thlis
                                lectiors for similority or di,ssimilrr;;";'
      ''t
      i                         nS we
                                ,,.s    will le0fn
                                     We WIIL       in LrLe
                                             leorn IrL the JULLrrvvL'16 pages.
                                                           following y-"6""'
:!,
Rotation of a set
elements as they are. Keep repeating the same process until you end up with the origi-
nal ordering again. As shown in Example 3.1, the four orderings of our set are (1,2,5,
 l0), (2,5, 10, l), (5, 10, 1, 2), and (10, 1, 2,5). One more permutation would produce
otrr original arrangement, (1,2,5, 10). After we have all the possible orderings, we can
determine which one covers the shortest possible span. We can do so by looking at the
intervals between outer pitches (in our example, M6, M7, M6, and P5), or by subtract-
ing the first pc integer from the last (intervals 9, 11,9, and 5). We see that the shortest
span between outer pitches in our example is provided by the fourth ordering, so this
arrangement will be our normal order, which we represent in brackets: [0, 1,2,5).
      It is not necessary, however, to go though all the orderings one by one as we have
done for this example (a very cumbersome process when we are dealing with large sets).
A more efficient procedure to determine the normal order of a pc set is as follows:
 1. Arrange the pitch   classes in ascending order, with the octave on top.
 2. Look for the largest interval (computed   as an ordered pitch-class interval) between
    two adjacent pitch classes and relist the set starting with the upper pitch class of the
    largest interval.
 3. If more  than one possible ordering results from the two plevious steps, you should
    choose the ordering that is most closely packed to the left. To do so, first check the
    interval between the first and the next-to-last pcs, and choose the ordering with
    the smallest such interval. If that still results in a tie, check the interval between the
    first and third-to-last pcs, and so on.
 4. If it is not possible
                        to determine a normal order from step 3 because all steps pro-
    duce ties, choose the orclering that begins with the smallest pc number.
      Let's go back to our collection from Example 3.[:B!, F', D, Dt or 10, 5,2,I. We f,rst
list it in ascending order with the octave on top: L,2,5,10, l. We check ordeled pitch-
class intervals between each of the adjacent pitch classes (by subtracting each pc from
the pc to the right of it). and we see that the largest interval js 5 between pcs 5 and 10.
We relist the set starting with the upper pc of the largest interval, tlrat is, starting with
10, and the resulting ordering is our normal order, [10, 1,2,5). This process is shown
in Figure 3.7a. You can also visualize the procedure on a clock face, following the same
                                                                                                       I
t6   CHAPTER   3
                                                                  b.
               a.
                    Bb-F-D-Db
                     10         5
                      :
                     | 2 5 10                    1
                         VVV
                         1 3c
                              V
                                             3                     Largest
                                                                   Interval
                            [10, 1 ,2, 5f
                                                          Figure 3'7 Normal order
                     Transpositional Equivalence
                                                                                                             compar-
                                                                 into a standard ordering, we can start
                     Now that we know how to arrange sets                                                          To
                                                                          First we will consicler transposition.
                     ing diff,erent sets for equivalence relationships.                         first be arranged   in
                                                                          (Tn), the sets must
                     compare sets for transpositional equivalence                                          Qre trons-
                                                                   the satne ntunber of pitch     classes
                     normai order. Two pitch-clcLss sets vvitlt
                                                                          onto one anotlter (that is' they can
                                                                                                                   be
                                                                rnapped
                     positionally equiva'lent if they catt be                                                 opera-
                                                                    the same nutmber (or transpositional
                      transformed into one another) by aclcling                                                  both
                                                                 for instance' sets l2'3'J '8'gland [0'1'5'6J]'
                      tor) to each pitch class in thesel. Take,
                                                                                 Introduction to Pitch-Class Set Theory   l7
11
                                           0^ 4 8 9 11 0
                                           VVVVV
                                           @@            1
                                           :.:___-:/11
                                                l
                                           i 9 11
                                               11            |
------t---/
                                                  [8, 9, 1r,0,4]
                Figure 3.8 Normal order for a set with multiple shortest-span orderings
already in normal order. Is there any number we can add to each pc in the first set to
map the first set onto the second set? Notice that, by convention, we will transpose the
first set into the second (and not the other way around), and we will use a positive trans-
positional operator (and not a negative one). By adding 10 to each pc in the first set, we
come up exactly with the second set. The second set is thus a transposition of the first
set, and the transpositional operator is 10 (t = 10). We can say that the second set is T,o
of the first set. Note that, by convention, we say that t = l0 (a positive value) and not -2
(a negative value). Try now determining whether the following pair of sets (all of which
are already in normal order) are T eqr-rivalent, and what the transpositional operator is
in each case: [0,1,3,4,6f and [2,3,5,6,8]; andl].,3,6,8] and [0,1,4,6].
     To transpose a set, add the transpositional operator to each pc. For instance, to
transpose 12,3,6,81by T z you will add 2 to each pc of the set to produce [4,5,8,10]. You
can also colrpare two sets lbr transpositional equivalence by comparing their adja-
cency interval series, that is, the set of ordered pitch-class intervals between adjacent
pitch classes. In transpositionally equivalent sets, the adjacency interval series will be
the same, as shown in Figure 3.9. We will represent the adjacency interval series (AIS)
as a series of integers inside angles, as <1,4,1,1> for the set in Figure 3.9.2
     The nrusical significance of tr anspositional equivalence is illustrated by the open-
ing measures of Webern's Five Movements for String Quartet, op. 5, III (1909), a piece
2For an article that discusses the properties anrJ implications of intervallic successions such as the AIS,
see Richard Chrisman, "Dcscribing Structural Aspects of Pitch-Sets Using Successive-Interval Arrays,"
Journol of Music Theory 2lll (1917): l-28.
gl-r
                                                                                                                    D
78             CHAPTER          3
Tro
                                                              'VVVV'          'Vvvv
                                                              12,3,7 , q.,,?l [q, ] , 1; q,71
                                                                 t4 it                       r411
                                               Figure3.gAdjacencyintervalseriesintranspositionallyequivalentsets
                                                                                                                12.3.71
                                                                                                                               )ro
                                                                                                                    r r,o.+1   (
                                                                  il 0,0,2,a.s.611              Trr             J
                                                                                               z--->                                     -
                                                                                                                                         [3,6,7]\
                     A
                lll,2,3l   [7,10'11]
                                                                  Is,7.9,I I.0.1]/
                                                                                     )r'
                                                                                           [4,7,8]    [3,6,7]
                                                                                                        6
                                                                                                                lo,
                                                                                                                    ,7
                                                                                                                         t0.21lr'o
                                                                                                                                         t0,3,41{
                                                                                                                                                    )T"
                                                                                                                                     16 t4,r,s1)r.r
     Sehr   bewegt I        2
                                    I   ttversionlrl F,qtrivalence
                                                                                     (and hence musical) property of trans-
                                    As we have just seen, an important perceptual
                                                                                       property applies also to inversional
                                    position is that it preserves intervals. The salne
a:
:
:.
.::
      equivalence. Example 3.3 will help you understand the concept of set inversion. In 3.3a,
      a trichord is transposed by To. Both forms of the trichord present the same intervals
      fbllowing the same contours (that is, up or down direction): minor second up, minor
      third up. In 3.3b, however, we still have the same intervals, but now the second trichord
      featr,rres them with their contour (up or down) reversed with respect to the first trichord.
      Thus, we can say that the first trichord is rnade up of a minor third followed by a minor
      second down from C, and the second trichord is made up of a minor third fbllowed by
      a minor second r-rp from C. We have inverted the first trichord around the note C, and
      thLrs the two sets are mirror reflections of each other around C. By convention, our
      basic inversion will be around C, or pitch class 0. In our example, because the inver-
      sion is around C, no'transposition is involved (or, rather, there is a transposition at the
      unison, or at the 0 level). Hence the ToI label. If you take the already inverted trichord,
      C-Et-Eh, and you transpose it up a major second as in Example 3.3c, you end up with
      the trichord D-F-Ffi, which is a transposed inversion of or-rr original trichord, and thus
      has the label TrI. Similarly, the sets in Example 3.3d invert around C or pc 0 (think of
      C as the axis of syrnnletry between the two sets), and thLrs the inversion is ToI. In 3.3e,
      we transpose the second set, [,4,-5], up a minor second to 12,5,6f, so the inversion is
      nor,v   T,L
           We can then define a new type of set eq,nivalence, inversional equivalence (T,,t).
      Two pitch-clcLss sets nt'e irtversionally equivcLlent if they cutt be mappecl onto one on-
      other by inversion Jbllctwecl by transposition. We know that in Example 3.3b, set 2 is
      an inversion of set l. We can verify this inversion by means of a simple procedure. ln
      inversionally eqLrivalent sets, the adjacency interval series will be mutLrally retrograd-
      able in some of the set's ordering (usually the N.O., but not necessarily). FigLrre 3.10a
      shows that if we put the two sets from Example 3.3b in normal order, the respective
      adjacency interval series for these two sets are <1,3> and <3,1>. These two AIS are
      mutLrally retrogradable (they are the retrograde of each other), so these two sets are
      inversionally equivalent. Now let us compare the two larger sets in Figure 3.10b, al-
      ready given in N.O., 12,4,5,7,8] and [2,3,5,6,8]. The adjacency interval series for these
      sets are <2,1,2,1> and <1,2,1,2> respectively; that is, they are the retrograde of each
      other, hence the two sets are inversionally equivalent. Now show that sets [11,0,3,5] and
      14,6,9,I01 are also inversionally equivalent.
80   CHAPTER   3
b.
                                 AbA C             E EbC
                                  8,9,0            4,3,0
                                                                                                 12.3. 5, 6, 8]
                         No  t*dvor                rvvr                     .12. 4,5, 7, B]
                                                                              VVVV               'VVVV
                          AIS I3                      31                       2121                r 212
                                                                                                    sets
                                                                      in inversionally equivalent
                                Figure 3.10 Adjacency interval series
                                                           14,5,8, 0l [9, 0,
                                                           .VVV              1, 5]
                                             N.O.
                                                                        VVV
                                             AIS              134               314
                                                                                            most sets in
                                                         inversional equivalence worksfor
                      This procedure to compare sets for                       sets the form that shows
                                                            howevett.'n
                   normal order. There are Some exceptions'              'o*"
                                                                            arrangements. These excep-
                                                        one of the other rotational
                   the inversion is not the N.O., but                                                      later in this
                   tional sets are some inversionalv
                                                           ,v**etric_al sets.(which we will study
                                                                                                   For an example of
                   chapter), or also some sets that
                                                       feature a tie for the largest interval                         ad-
                                                                 that do not feiure mutually retrogradable
                    two inversionalry related normal orders                                                       in Fig-
                                                                      orders [4'5'8'0] and [9'0'1'51' shown
                   jacency interval series, consider the normal                                     the normal   orders'
                                                           ."ti,+rand <3,1,4>.      If  we  rotate
                    ure 3.11. Their respective AIS are                                                     <3'4'4> and
                                                           we  see that the respective
                    however, into 5,8,0,4 and     1,5,9,0,                                 i:    ,1t",^::w       equiva-
                                                                    that these two sets are inversionally
                     <4,4,3>,mutually retrograbable, proving                      tie  for the largest  interval'  in this
                                                       the type that features a
                     rent. Note that these sets are of
                     case between pitch classes 8'0
                                                       and 0'4'
                                                                                 ---^- :s ir'. ^nlrr r
                         Anyinversionwillalsoinvolveatransposition,evenifit,sonlythetransposltlon
                                                                                              that two sets are
                    at the 0 level (around pitch class
                                                       c, or 0), or ToI' Thus' after we know
                                                                                             is i'volved in the
                                                        to determini the transposition that.
                    inversionally equivalent, we need
                    inversion.Wewillrefertothetranspositional^operatorappliedtoaninversion(then
                                                                                         equivalent, the first
                                                        sets in N.O. are inversionally
                    in TnI) as the index number. If two                                          element with
                                                        the last in the other set' the second
                    element in one set corresponds with                              into the last, the second
                                                   (that is, the first pitch class inverts
                     the second_to_last, and so on                                               each of these pairs
                     into the second-to-last, and so on),
                                                          in such a way that the addition of
                                                                                                       should note'
                                                                as illustrated by Figure 3'12'.(we
                     of elements equals the index nrr-i"r,                          ttot work  with  normal  orders'
                                                              this property oo"t
                      however, that here again sometimes                              for the property  to work') In
                                                                         other form
                     and then   the set needs to be rotated to some
    F
    i:
    !l
    :                                                                           Introduction to Pitch-Class Set Theory   8l
    :
    a
                                           'v"_,0
                                            -/\
                                           12,3, 5, 6, 8]
                            Figure 3.12 Determining the index number for an inversion
                                                     10 10 10 10 10
                                             12,4,5,J,8]
                               subtractfroml0 8 6 5 3 2
                               reverse 12, 3, 5, 6, B] :                     Tro   I
                                            Figure 3.13 Inverting   a set
         Figure 3.12 we see that the index number for the 1nI operation between 12,4,5,7,8] and
         f2,3,5,6,8f is l0 (the operation is thus TroI). In other words, in TnI (inversion around C
         or 0), 0 inverts into 0, I inverts into 11,2 into 10, 3 into 9, and so on. The sum of any of
         these pairs is 12. But in Tt.I, 0 inverts into 10, I into 9, 2 into 8, and so on, and the sum
         of any of these pairs is now 10. Can you determine in this same way the index number
         for the equivalence between sets [11,0,3,51 and14,6,9,101? And for sets [5,9,10,0] and
         w,9,5,2)?
               To invert a set by T',I, simply subtract each pc from n and reverse the order of the
         resulting set (the inversion of a set in N.O. will normally be the retrograde of the N.O. of
         the inversion, and that is why we need to reverse the orcler after performing the opera-
         tion). In Figure 3.13 we see that we derive T,oI of 12,4,5,7,8f by subtracting each pc fron't
          10 and then reversing the result. Now determine TnI of [11,0,3,5] in this same way.
NOTE
         (Jnlike fran.spositiott, ittver,siott urtdoe,.r itsclf whert repeatetl. Thal is, every T,,l is its
         ovyn inverse, .so the ope ratiotl goes botlt ways. Tlte inversion of set [2,1,5,7,8] by T,ol i.s
I        [2,3,5,6,8], and the inversion oJ [2,3,5,6,8] again by T,oI takes us back to [2,4,5,7,8]
t
l
I             Here again, the initial measures from Webern's Five Movements for String Quar-
S
         tet, op. 5,III, will help us understand the significance of invcrsional equivalence among
         pc sets. In Example 3.2, some musical events in m. 3 were left out of our commentary
         on transpositional equivalence because the sets formed by these events are not related
         by transposition, but rather by inversion. Example3.4 shows four pc collections, boxed
                                                                                                                   D
q
    I
    I
            82             CHAPTER   3
    I
        I
        I
                                                                                op'             5'III' mm' 1-4
                                     Webern, Five Movements for String Quartet'
Tol
                                                                              [8,9,0] [0,3,4]
                                                            [n,to,r]
                                                                       )r.,
                                                            ll ,ll ,01/
                 Sehr bewegt
                    lr .
                    semPrepPP
                      8,4,3,1
              N.O. [1, 3, 4, B]
           Oatleft (0    2 3 1)
                       VVV
                        214
                       Figure 3.14 A shortcut to determine the prime form of a set
          In Chapter I we learned   a simple and   quick procedure to determine the prime form
    of a set. That procedure works for most sets, but not for all. We will review it here          as
    a quick shortcut to figure out prime forms, but we        will also learn the more systematic
    procedure that works for any set. First, let's review the shortcut:
         Let r-rs apply these steps to some               First, we will determine the prime fbrm
                                              "*ornpl"s.
    for set 8,4,3,1 (see Figure3.l4, where the process is shown both numerically and on a
    clock face). The N.O. is [,3,4,8]. We zrssign 0 to tl're first pc and then prodr-rce the sanle
    adjacency interval series lbLrncl in tl-re N.O. (that is, <2,[,4>).Alternatively, we trans-
    pose the N.O. to be_ein with 0. In either case, the result is [0,2,3,7]. The first interval is
    2, the last one is 4, so the smallest interval is to the left (there is a smaller interval in the
    center, l, br-rt rotating the set to place it to the left or to the right would undo our N.O.
    because then the set would not be arranged in the shortest possible span, and that would
    go against our step l). So this is already this set's prime form, which we will notate in
    parentheses withor-rt com mas: (0231).
r
         We can also follow the same steps using a clock tirce. First, we list the N.O. on the
    circle, and then we assign 0 to the first pc of the N.O. ancl count half steps clockwise. If
    the srnallest intervals erre to the left of the resr-rlting transposition, as is the case with our
    example in FigLrre 3.14, that will be the prime form.
                                                                                                              D
     84   CHAPTER      3
                             4,7, 6,2
                   N.O.      12,4,6,7)
             0 at left        0,2, 4,5
                               VVV
                               22r
               right 5:t0
            o at
             Reverse (0 135)
                                                          0.2, 4, 5
                                                                                                   (v'vt'
                                                           VV                                        tZ
                                                            2l
                                                                                  the prime form of a set
                                              Figure 3'15 A shortcut to determine
              !,$r'\
             'y-            NoJE
                                                                          ure lhe pritrc forms ctf [5'9''10'0]'
                                                                                                                [] l'0'2'41'
                            Yotr can ttovv try soi''te on your own' What                             F'igttre 3'B'   IB'9'01'
                                                                     that the tltree
                            ancl [9,0,3'5]? Can)'ort clentonstra'te                  "i'iu'at 'fiout
                                                                                                  sonle set clrtss'/
                            [0,3,4],and[2,5,6],areall.nlember,srftlteS(In.Lesetclass?wnn'istheprinte.ftlrntfor
                                                                        Are they mentbers oJ',the
                            the maior triocl'l For tlte ntirtor triacl?
!i
                                                                             Introduction to Pitch-Class Set Theory   85
4,J, 6, 2
      0 at left        (0r3       5)
          P.F.         (0    13   5)
                                                     0,2,4,5                                (0r35)
                                                        4                                       -)
Figure 3.16 The complete procedure to determine the prime form of a set
         that still results in a tie, check the interval between the first ancl third-to-last pcs,
         and so on.
         Figure 3.16 shows the application of these steps to set 4,J,6,2. After we figure out
    the N.O. and transpose it to begin on 0, we invert the N.O. Subtractin g[2,4,6,71from 12
    gives us 10,8,6,5, which, in N.o., is [5,6,8,101. Transposing this N.o. to begin on 0 gives
    us [0,1,3,5J. we compare the previous i0,2,4,5] to [0,] ,3,5], and we see that the latter is
    more packed to the left; hence it is the correct prime form, (0135). To follow this proce-
-   dure on a clock face, we first need to list both the N.O. of the original set and the N.O.
    of the inverted set on circles, read both clockwise, and choose the olle most packed to
    the left.
          From Figtrres 3.15 and 3.16, we might think that we can always achieve the same
     result with both methods to determine the prjme form. Figure 3.17, however, shows a
     cztse of a longer set where we need to perforrn the second list of steps to arr.ive at the
     correct prime fbrm. In Five Movements for String Quartet, op. 5, IV, Webern uses an
     ascending figLrre on three occasions. The first of them is shown in Figure 3.17, where
     we see that the N.O. for this set is [0,11,0,1,4,6,J]. Transposing this N.O. to begin on 0,
    we come trp with L0,1,2,3,6,8,9]. Becausc the intervals from the left, <1,1,1>, are snialler
    than the intervals ft-orn the right (reaciing backward fi-om the right, <1,2,3>), we might
    be tempted to settle on this arrangement as a prime form. As it turns out, this is not
    the correct prirne fortn. If we invert the set, pr-rt the inversion in N.O., ancl transpose it
    to begin on 0, we discover that the fbrm f0,1,2,3,6,7,91 is more packecl to the left than
    [0,1,2,3,6,8,9], so the prime form is indeed (0123619). The. process is illustratcd both
    numerically and on a clock face in Figure 3.17.
          We can now go back to Example 3.2 and veril'y that, among all the sets related by
    transpositional equivalence, the sets numbered as 7,2,5,6, 10, 11, and l2 belong to the
    same set class. Sets 7, 8, and 9, on the other hand, are also members of the same set
                                                                                                               $
                                           86                                        CHAPTER    3
                                           Set:                                        0,4,6,1r,1,J,10
                                           N.O.                                        [10,11,0,1 ,4,6,J)
                                           0 at left                                   0,1,2,3,6,,8,9
                                           Invert set:                                 2,r,0,11,8,6,5
                                           N.O.                                        [11,0,1,2,5,6,8]
                                           0 at left                                   0,1,2,3,6,7 ,9
                                            P.F.                                       (0t2361e)
                                                                                                                                0,r,2,3,6,8,9
                                                                                                                                "?                                               0123619
                                                                                                                                                                                 -----r-_--l
                                                                                                                                        g7
                                                                                                    Figure 3.17 The complete procedure to determine the prime form of    a set
                                                                                                    class, and similarly with sets 3 and 4. Identify each of the three set classes present tn
                                                                                                    this example. If you refer now to Example 3.4, you can verify that each of the two pairs
                                                                                                    of inversionally related sets also represents one of the set classes you just identified in
                                                                                                    Example 3.2. Which are these two set classes?
                                                                                       x'*,,'
                                                                                                    NOTE
                                                                                                      The normal order representts an ordering of actual, specific pitch classes. We wilt use it
                                                                                                      when we neecJ to compare particular collections of literal pitch classes for rryterations
                                                                                                      sttch as transposition, int,ersion, antl some other literal operations we will sttLdy in this
                                                                                                      chctpter (for instance,'literal cornplementarity and literal subset structure)' The prime
                                                                                                    forit,
                                                                                                    -
                                                                                                             on the other hcmcl, is an abstrctct label thctt represents a set class. That is, it repre-
                                                                                                      sen1s a1 the clffirent sets (all the transltositionally and inversional\t equivalent normal
                                                                                                      orders) that make up ct set clctss. We witt use the primeformwhenwe want to refer to the
                                                                                                      set clctss as a whole, to a set as a representative of a set class, or for some operations
                                                                                                      tltat cletil with cLbstrctct, as oppr,tsed to literal, representcttions of sets (such a'v ttbstract
                                                                                                      complementarity and abstract subset structtrre, to be discussed later in this chapter).
                                                                                                    Interval-Class Vector
                                                                                                    It is particularly useful, both for the composer and for the analyst, to know the complete
                                                                                                    intervai content of a pitch-class set. That is, to know the list of all possible intervals that
                                                                                                    can result from combining all pitch classes in a set in pairs. Because we are dealing
                                                                                                    with pitch classes, what really matters is not so much the exact intervals but the interval
a1;===:
          '
          _
               "'.'.'
                        =.-:;-=;i{ .:=- T=_=-=a-l
          .'            ::'..,,'':::1..'   .1.:,
                                           :'   'l:::.-ir
                                                            :
                                                                ',   =i.,,==,-
                                                                       ":i,i..;!!l
                                                                                    Introdr-rction to Pitch-Class Set Theory   8l
                                              \
                                          ^<-=-\
                                          9r\
                                  (0) 1      3 4 6 l2 2 3 I 1 1l
                                             235
                                               13
                                                      2
      classes. The interval-class vector (ICV) is precisely this, a list of the complete interval-
      class content of a pc set. An interval-class vector contains six integers (which we will
      represent in brackets and without commas), and each integer indicates the number of
      occurrences of each ic. For instance, the ICV for set (01346) isl223ll1l. This means
      that in set (01346) there are two cases of ic I (intervals 1-11), two of ic 2 (intervals
      2-10), three of ic 3 (intervals 3-9), and one each of interval classes 4 (intervals 4-8),
      5 (intervals 5-7), and 6 (interval 6).
           Tb determine the ICV of a set, you can build a "triangle of differences," as shown
      in Figure 3.18. With the set in prime form, disregard the openingzero, subtract the first
      integer after the zero from each of the remaining integers, and write the results on a
      line under the set. Then follow the same process with each subsequent line: subtract
      the first integer from each of the remaining integers until you get to a line with a single
      integer. When you have the complete triangle, count the occurrences of integers 1 or 1 1.
      This will give yor-r the entry for ic 1 in your vector. Occurrences of integers 2 or 10 will
      give you the entry for ic 2; occurrences of integers 3 or 9 provide the entry fclr ic 3; oc-
      cun'ences of 4 or 8 provide the entry for ic 4; occurrences of 5 or J provide the entry
      for ic 5; and occurrences of 6 provide the entry for ic 6. These entries account for the
      vector 12231111 in our example. Now determine the ICV for set (0148) using a triangle
      of clifl'erences.
t
            One of the most immediate applications of the ICV is that it allows us to cornpare
t
      the interval-class content of sets. Webern's Five Movements for String Quartet, op. 5,
.t
      IV, opens with twcl tremolo figures in the violins, as shown in Example 3.5. The respec-
e
      tive prirne fcrn-ns for these figure s are (0156) and (0167). The ICVs for each of these sets
t.l   are l200l2ll and 12000221. We can see from this information that each of these sets
e
      contains two instances of rc 2, two more of ic 5, and one or two of ic 6. On the other
,t    hand, both sets display zero cases of ic2 ztnd ic 3, and only one case in one set of ic4.
:t    We thus lcarn from tlie ICVs tliat the interval-class contentof these twcl sets is sr-rbstan-
      tially similar, a property that is interesting from both the compositional and analytical
      perspectives. Note also that the exarnple closes with a przzicato chord in the upper reg-
      ister. The set class tbr this chord is also (0156).3
      jThere
               is a voluminor,rs literature on various ways of measuring similarity relations among sets. Sce,
te    fbr instance, Robert Morris, "A Similarity Index fbr Pitch-Class Sets," Perspectives of New Mttsic 18
at    (1979-80); 445-60, Eric Isaacson, "Similarity of Interval-Class Content Between Pitch-Class Sets: The
      IcVSIM Relation," Jcturnal ctf Music Theory 34 (1990): l-28; and Michael Buchle r, "Broken and Unbroke      n
rg
      Interval CyclesandTheilUseinDeterminingPitch-ClassSetResernblance,"               Perspeclivesof NewMusic
al    3B/2 (2000):52-81.
'E!r---*-
88 CHAPTER 3
Webern, Five Movements for String Quartet, op' 5'IV mm' 1-2
                                        FFP
                                                                                                                          pw
                  )
                                         am Steg                                                                   przt
                  n mit Diimpfer         L ----\                               L   :---\
-J- '-t
rnit DAmplcr .^
pw
                                                           aEarly iorms of this list appeared in Howard Hanson's 7'he Harmoric Materictls of T-wentieth-Cettlury
                                                                                                                                               "The Source:,t:
                                                           Music(New york: nppr"i,in c"ntury-Crofts, 1960) and Donaldl4artino's                                  i:9..tj::9q:
                                                                                                                                                          used lists appear in
                                                                                                                  (le6l): 224-:73.  rhe most  commonlv
                                                           ;ffi;;;;;i;;;':; ;;;'r,'at     o.f Music'rheort-_5/2
                                                                                                                     BalicAtonal     Theorr-'ThelistinAppenclixlismodeled
                                                           Forte's TlrcstructttreoJ'AtonalMusicanclRahnls
                                                                          of set classcs in Straus's Introclttction trt Prtst-Tonctl Theory,3rd
                                                                                                                                                 ed'' pp' 261-64' itsell mod-
                                                           after the list
                                                           elecl after Rahn's. Because of slightly diff'erent methods of
                                                                                                                             computing normal orders and prime forms' our
                                                                                    and            di fters from Forte's in six piime forms (for set classes 5-20 ' 6-229 '
                                                           list (as wel I as Rahn's     Straus"is;
                                                           6*31, 7 -218, 7 -20, and 8-26).
                                                                                                                   Introduction to Pitch-Class Set Theorv   89
      classes). The second integer is an order number that indicates where the set appears
      in Forte's list (3-6 appears in the sixth place in the list of trichords). The second and
      second-to-last columns are a list of set classes, including all the possible prime forms
      with a cardinal number of 3 to 9. The third and third-to-last columns show the interval-
      class vectors for all set classes. Finally, the central column indicates the degrees of
      transpositional and inversional symmetry, two concepts explained below.
NOTE
      Although the list was sornewhat reordered by Rahn, the original Forte names were
      preservecl, but now out of order in sonte cases. Our list .follows Rahn's reordering,
      including the original Forte nan'Les in their reordered state.
                As you can probably realize at a glance, the list of set classes is a highly useful source.
      In the first place, we can qLrickly verify whether what we think is a prime form does
      or does not exist. For instance, you might try to figure out mentally the prime form for
      set E-F-B, and come up with (017). A look at the list will tell you, however, that (017) is
      not a possible prime form (it does not exist on the list). Why not? What is the real prime
      form for this set? Moreover, the list provides you with a set's interval-class vector and
      other useful infbrmation that we will discuss in the following sections.
      Z-Related Sets
      Z-related. sets are nonequivalent sets with identical interval-class vectors.S For each
      Z set in the list of set classes you will find another 7, set with the same cardinal nLrm-
      ber that has the same ICV. Find, fbr instance, set 5-236, (01247), with ICV l222l2ll.
S
      Furrther down in the pentachords you will find set 5-212, (01356), with the same ICV.
S
      These two sets ate Z related. What set is Z-related to 1-238?
e
n
      PITCH.CI,ASS StrTS: FURTF{ER.
n
      PROFEITTIES AND R ELATIGNSHHPS
      Invariant Tones under Transposition
It
,cl   Cornmon tones (or invariant tones) among various pitch or pitch class collections have
1-    been used for a verriety of musical purposes in different musical periods and styles. In
:h    tonal voice leading, tbr instance, it is usr-ral to leave common tones between adjacent
      chorcls in the same voice, thus minimizing the rnotion from one chord to the next.
      Some post-tonal composers (particularly Anton Webern) have also fhvored the use of
      common tones or common pitch classes between adjacent collections in their composi-
      tions, whereas other composers have favored the arvoidance of comrlon tones. Refer,
      sAlthough the Z relation was named by Forte, its earliest fbrmulations are found in David Lewin's "The
      lntervallic Content of a Collection of Notes," Journal of Music Thectr1,4 (1960): 98-101, and Hanson's The
      H u rnt   on   i   c   IVI at e r i n   I   s oJ' Tw   en tiet   lt - C e nt   r   t   ry   M   u.s i   c.
                                                                                                                                                      $
1!4
100 CHAPTER 3
      ;^,;i,.tf,..o*^',
                 ,)
                              ,
                       vg-hn,tI ?'al; pitch-class space
                                                                                      interval-class vector
                                                                                      list of set classes
      .\h;f 5t^^^*-                   iit.hspace
                                                                                      Forte name
                                                                                      Z-related sets
                                      ordered Pitch-class interval
                                      unorderecl Pitch-class interval
                                                                                      invariant tones
                                                                                      invariant tones under transposition
                                      tnterval class
                                                                                      invariant tones under inversion
                                      Pitch-class set
                                                                                      inclex vector
                                      cardinal number
                                                                                      complement
                                      trichord
                                                                                      aggregate
                                      tetrachord
                                                                                      literal comPlement
                                      Pentachord
                                                                                      abstract comPlernenl
                                      hexachord
                                                                                      hexachordal comPlementaritY
                                                                                       subset
                                      #n"l";l                                          superset
                                                                                       literal subset
                                       mouad
                                                                                       abstract subsets
                                       clyad
                                                                                       transpositionally symmetrical set
                                       l;,T:1"*"'                                      inversionallY sYm n-retrical set
                                       transPositional equivalence                     degree of tr anspositional symmetry
                                                                                       clegree of inversional symmetry
:fi:::il':J,*ff:::?J'