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MUSIC ANALYSIS VERSUS MUSICAL HERMENEUTICS

Kofi Agawu. The American Journal of Semiotics. Kent: 1996. Vol. 13, Iss. 1-4; pg. 9, 16 pgs

Full Text (5020 words)

Copyright Semiotic Society of America Fall 1996

In defense of a hermeneutics of music, Hermann Kretzschmar, musician, public educator, and author of a series of
concert guides, Führer durch den Konzert-Saal (1887-90), published an essay in 1903 that identifies certain core issues
in any attempt to assess the possibility of a musical hermeneutics (Kretzschmar 1903/1988, from which all quotations in
this essay are taken). These issues have surfaced repeatedly in subsequent discussion of the nature of musical criticism
and analysis (see, among many others, Kerman 1980, Newcomb 1984, Nattiez 1990, Burnham 1992, Kramer 1992 and
Rothfarb 1992), and it is part of my aim here to use Kretzschmar's essay as a springboard for reflecting on some of the
dilemmas that face today's music analyst. I am specifically interested in the interface between hermeneutics and analysis,
or more precisely, between hermeneutics and theory-based analysis, and I will attempt to call into question the viability of
the opposition while endorsing hermeneutics as the more fruitful site for analysis. By analysis, I mean the technical study
of a musical work. And by "theory-based analysis," for which Schenker's method will serve here as an exemplar, I refer to
technical study that is grounded in an explicit music theory. Although no analysis is, in principle, unconstrained by theory,
some approaches are more casual than others about making explicit their enabling structures. Hence the need to
recognize what would otherwise be a tautological category, theory-based analysis.

The origins of hermeneutics in scriptural, legal, and literary interpretation are by now too well-known to require rehearsal in
this context (Bent 1994:1-27 offers a concise introduction). Understood broadly as the art or science of interpretation,
hermeneutics would seem to occupy a natural and indeed indispensable place within the normal activities of musicians.
Composers, performers, and listeners are regularly engaged in various acts of interpretation, acts that would need to be
represented in a comprehensive hermeneutics of music. While the performer is charged with bringing the musical work to
life, it is the listener as analyst or interpreter who, in Kretzschmar's scheme, plays the central role in fashioning a musical
hermeneutics.

But who is this listener? Music analysis can scarcely proceed without postulating a listener, yet the difficulty of specifying
the relevant features of a listening subject has led writers to invoke a variety of constructs, some of them hypothetical,
many of them designed to evade the challenge of providing an ethnographically secure characterization. Thus we have the
naive listener, the educated listener, the trained listener, the ordinary listener, the competent listener, even the ideal
listener. While the category of an untutored listener serves the purposes of certain empirical researches into our cognitive
capacities as music-making or music-consuming subjects, it is the category of the tutored or trained listener that matters
to the hermeneuticist. Listeners are made, not born. Denouncing the view that music needs no interpretation, Kretzschmar
describes the "uninstructed listener" as somebody who "will not get further than sense impressions"; he or she needs to
be instructed.

Instructing the listener is a multifaceted and challenging activity, which is why the aims of music education vary so widely
throughout the world. Still, it is possible to sense some agreement in the view that, because music is a cultural artifact,
interpretation is richest when it draws on culturally-sanctioned meanings. Kretzschmar's understanding of the aims of
hermeneutics acknowledges the value of such insider insights without discounting the usefulness of technical knowledge
and, by implication, the analyst's story-telling ability:

[The aim of hermeneutics is] to penetrate to the meaning and conceptual content enclosed within the forms concerned, to
seek everywhere for the soul beneath the corporeal covering, to identify the irreducible core of thought in every sentence
of a writer and in every detail of an artist's work; to explain and analyze the whole by obtaining the clearest possible
understanding of every smallest detail -and all this by employing every aid that technical knowledge, general culture and
personal talent can supply.

The view that 'technical knowledge' should be put in service of a higher interpretative exercise seems unexceptionable as
an ideal. Yet the practical acquisition of such knowledge often requires more than a casual commitment from the student.
This may partly explain the emergence of analysis as a discipline in its own right in the late nineteenth century (Bent
1980/87:6). Certainly the great technical achievements in twelve-tone theory, set theory and Schenkerian analysis-to name
only the most prominent-are not likely to have been accomplished had the technical procedure not been erected as an
end in itself-however provisionally-rather than as a means to an end. Criticism of theory-based analysis as myopic, or as
failing to reflect the heterogeneous experiences of listeners: such criticism overlooks the point that resisting the urge to

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apply analytical method prematurely is a necessary stage in the consolidation of a field's technical resources. In any case,
underestimating the sheer labor involved in providing a solid technical framework for the accurate description of musical
structure is only one sign of misunderstanding. More profound is underestimating the difficulty in making a credible and
unforced transition between the narratives enshrined in a theory-based analysis and those that emerge from a less
bounded, and interpretatively more promiscuous, hermeneutic effort. Facile homologies and quick marriages of
convenience between structural patterns (emerging from theorybased analysis) and elements of expression (emerging
from hermeneutics), although justifiable if one views criticism as a constellation, a juxtaposition of different, not obviously
complementary, insights, still leave many questions unanswered.

A crucial although easily overlooked distinction between hermeneutic and theory-based analysis is that whereas the
former relies on language, the latter often uses graphs, symbols, and a metalanguage to convey its findings. The
enterprise of musical hermeneuticists from Kretzschmar to Lawrence Kramer is inconceivable outside a realm in which the
polysemic nature of verbal language plays a central role. Here, for example, is how Kretzschmar interprets the beginning
of the development section of the first movement of Bruckner's Fourth Symphony:

The development begins in a dreamlike state with the solemn opening motif of the first theme, colored with bold
dissonances in striking Romantic fashion [an example is given here]. It then turns to broad elaborations upon the motif
expressing joy in nature; these are distinguished from those in the exposition by a generally more serious manner. The
devoutly Christian character that marks Bruckner's symphonies out from hundreds of others takes control of his
imagination at this point. The section ends with chorale-like strains in which trumpets carry the melody. As these fade away
softly, the second theme of the movement enters (in G major), though with augmented rhythms and thus imbued with the
spirit of churchly piousness. (1898/1994:111-12)

And here is how Lawrence Kramer reacts to the closing bars of the Sarabande from J. S. Bach's D-minor French Suite:

[The resolution] arrives... only after the discomfort of the right hand has returned, typically (but nonetheless hauntingly,
uncannily) in the left. Once embarked on the final cadence, the left hand must negotiate an awkward stretch supporting a
pungent (if no longer exotic) dissonance before relaxing into the close (example omitted). But something implacable
lingers. The cadence can never wholly contain the disseminal force of the dissonance whose traces it incorporates for
both the hand and the ear.

Must the cinder be silent? Bach's fourth chord is not; it is the cinder as palpable cry, burning and burnt. (1995:242)

By contrast, and choosing more or less at random, Schenker's comprehensive analysis of Chopin's so-called
Revolutionary Étude is presented in his unique graphology, laid out on several levels of structure, and without verbal
commentary (Schenker 1932/69). Only the descriptive labels on the graphs themselves force the analyst to engage with
words, which is not to say that the graph is not thoroughly saturated with concepts, or that interpreting it inevitably requires
the mediation of language (see Agawu 1989 for further discussion). Finally, here is how Alien Forte begins a discussion of
set complexes in Scriabin's Ninth Piano Sonata Op. 68:

Two 8-element sets are formed in the first two measures: 8-27 and 8-13. Each contains its complement.... Pc set 4.27 is
the sustained sonority in the lower parts in measure 42, while 4-13 is the melodic figure connecting 6-Z50 and 6-27 in
measure 43.... Pc sets 4-13 and 4-27 (and their complements) form part of the R^sub l^ and R^sub p^ transitive quadruple
cited in section 2.6. (1973:116)

Although the distinction between a verbal hermeneutics and a symbol-oriented theory-based analysis oversimplifies a
complex situation, it helps us to understand aspects of the contemporary debate over musical interpretation (see, for
example, Kramer 1992 and Burnham 1992). E. T. A. Hoffmann's famous 1810 review of Beethoven's Fifth Symphony is
sometimes held up as a shining example of a balanced analysis, one that does not stop at technical description but
explicates the effects on the listener of Beethoven's procedures (Bent 1994:18 and 1996:115-19). Vivid images, poetic
flights, and suggestive metaphor enliven the description of phrase structure, orchestration and the succession of key
areas. It could be argued, however, that the apparent success in integrating the technical with the metaphorical is possible
precisely because the technical here is at a fairly basic level. There is, for example, almost no discussion of voice-leading
or hypermeter in Hoffmann's essay, aspects that would normally feature in a theory-based analysis. One only needs to
compare Hoffmann's account with Schenker's admittedly later analysis to see the difference in technical residue
(Schenker 1925). Arnold Whittall has noted a similarly modest amount of technical data in the writings of some of today's
hermeneuticists (Dunsby 1996:132). The question remains, however: Just how much technical detail is needed in order
for the hermeneuticist to escape the charge of shunning the elements of structure? One answer would be that that
depends entirely on the goals of the analysis. And it is here that the theory-based analyst's data may seem to harbor an
excess, an unusable surplus of dubious value (Agawu 1997).

One thing that is obscured in the presentation of hermeneutics and theory-based analysis as verbal and non-verbal
respectively is the set of conflicting impulses played out within Schenker's own development and in the tradition of
Schenkerian analysis that followed, hi the works of his earliest maturity (such as the Harmonielehre of 1906), Schenker's
writing is marked by what we would now call a hermeneutic attitude. By the time of his most influential treatise, Der freie
Satz, however, the theoretical concerns with explaining the structure of tonal masterpieces consistently and systematically
seemed to overshadow, but not eliminate, the hermeneutic ones. The impulse to systematize was motivated in part by a
desire to guarantee the explanatory potential of his theory and to enhance its pedagogical value. If some of what Milton

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Babbitt called the "normative irrelevancies" (Babbitt 1968:166) of Schenkerian theory have allowed his critics to argue that
applications of the theory tend to be unnecessarily prescriptive, that they simply reproduce the theory in an analytical form,
we may also note the stylistic variety that has accompanied subsequent analytical applications of the theory (compare, for
instance, Jonas 1934/ 1982 with Forte and Gilbert 1982). Significant, too, and undermining the simple linear reading of
Schenker's overall development is what has been called the 'Americanization of Schenker', that is, the substitution of
scientific or technical language for a poetic or figurative one (Rothstein 1986/1990). Robert Snarrenberg has recently
drawn attention to "the American abandonment of Schenker's organicism," showing how some of Schenker's metaphors
of procreation were transformed in the American reception of his theories, thus retreating from some of his aesthetic
commitments (1994). The writing and rewriting of Schenker in order to cast his theory as a closed set of replicable and
verifiable moves ultimately eliminates prominent traces of the hermeneutic impulse from his work.

Is a theory-based musical hermeneutics possible? Schenker's theory is so central to music theory pedagogy and
professional competence that it is easy to misconstrue the value of this mode of analysis and, in particular, to overlook
what Edward Said calls the "self-sufficiency" of analytical method (1989). In Schenker's mature theory, prolonged
counterpoint serves as the foundation of musical structure. Idealized voice-leading, codified in Fux's treatise of 1725,
formed an important backdrop to Schenker's work. Together with ideas of elaboration of simpler models, as found, for
example, in C. P. E. Bach, Schenker developed a comprehensive theory that enables masterpieces-and here, he and
Kretzschmar are in agreement that the focus should be on 'masterpieces'-to be understood in terms of a conceptual
journey from an ideal background through various phases of middleground to a unique foreground. If the precise nature of
the "bridges" from strict counterpoint to free composition remains uncertain, it is partly because the more palpable
thematic and gestural elements of the musical surface, the form-building elements in one view of the compositional
process (Réti 1951), are not always plausibly understood as generated by a prior counterpoint, however canonically
correct the generative process might be. Nor is it the most persuasive compositional explanation to say that the true
meaning of a given foreground emerges only from a consideration of underlying layers. What about the foreground in its
intertextual dialogue with other foregrounds, or in relation to the characteristic gestures that formed a kind of ordinary
language for musical discourse in the 18th and 19th centuries? Still, for the analysis of tonal structure, the Schenkerian
approach remains a cogent, elegant and powerful theory.

Understanding musical structure for Schenkerians comes from the practical activity of doing, and it is precisely this
hands-on approach that guarantees its greatest pleasure. The practicing Schenkerian analyst is brought into close contact
with the notes of a tonal work, forced to hear, rehear, and recompose sections of the work in order to conceptualize its
coherence in terms of an underlying Ursatz. The pedagogical value of this kind of activity is stunning, second only to the
value of hands-on musical performance. But whereas analysis makes epistemological claims, performance does not,
except in the very general sense in which every performance indexes an interpretation of the work. Although some
theorists would reject outright any suggestion that sensuality is an epistemological gain in music analysis (Matthew Brown
and Douglas J. Dempster, for example, oppose music theory as a 'rational pursuit' with 'mystical and emotive acts, such
as worshipping, being moved by, or becoming one with [the music]' [1989:65]), the suspicion that analysis facilitates close
involvement with the music as an end in itself is not so easily dismissed. Unlike, say, archival study, analysis does not
always proceeded cumulatively. The author of the 50th analytical essay on the 'Eroica' Symphony is not obliged to
demonstrate full acquaintance with the previous 49 essays, any more than the 100th recording of the Eroica is expected
to be acquainted with the previous 99. It may be, then, that certain analyses are better evaluated as we would evaluate a
performance, not as contributions to a discursive, constructed field of knowledge but as events which make an immediate
or delayed impact, or none at all.

Theory-based analysts would probably contest the accusation that their methods provide an excuse, albeit an elevated
one, to live with the music they love. But how can one contest such an accusation when the record of theoretical and
analytical demonstration overwhelmingly favors the core repertory of European music, rarely venturing into territory
inhabited by Kleinmeister? And what is one to make of the theoretically messy (Cohn 1992) recent attempts to beef up
the thematic content of analysis by following Schenker's and Burkhart's lead in looking for so-called 'motivic parallelisms'
(Burkhart 1978)? Isn't there more than a hint of apology here, a lame effort to convince skeptics that Schenkerians, too,
can deal with issues of surface drama, agency, and narrative embodied in a work's theme(s), and therefore that aural
salience is not undervalued in this mode of analysis? What of similarlymotivated efforts to bring analysis and performance
into alliance, to show that theory-based analysis can have some relevance to performance? Couldn't one argue that the
strength of analysis derives precisely from its resistance to performance application, and that to push this particular
alliance is to limit rather than extend the explanatory scope and power of theory?

Theory-based analyses carry a considerable amount of baggage that bespeaks an 'internal' hermeneutics. It is for this
reason that we should be wary of attempts to incorporate full-fledged Schenkerian analyses into hermeneutic readings
(see, for example, Kramer 1992 and Jackson 1995). Kretzschmar stresses the importance of character and sense,
aligning himself with proponents of an aesthetics of content in opposition to those, like Hanslick, who advocate an
aesthetics of form. If music "cannot objectify or present unaided exact images or concepts," then how can we get at its
content? All analytical theories of music, and Schenker's in particular, make implicit or explicit claims about the content of
a work. But the claims are highly diverse, and some of them embrace a spiritual dimension only accessible to believers.
Kretzschmar suggests that, in explicating a piece of instrumental music, we look for the 'affections', that is, "the
characteristic qualities of sensations, images and ideas." These affections are "incarnate in musical phrases, themes, and
figures, either in isolation or in associations and amalgamations such as are possible only in music." That Kretzschmar
takes his cue from the Baroque Affektenlehre is consistent with his own very great passion for Baroque music. Nor is it

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particularly surprising that an agenda like Kretzschmar's has not been implemented with any conviction in the Anglo-
American music-theoretical community. Rather than acknowledge the limitations of the Schenkerian vision,
spokespersons are more likely to question the significance of something as ostensibly subjective, superficial and elusive
as the Affections, likening them to the dress as distinct from the body, elements of expression not of structure.
Schenkerian-based studies like Johnson's, far from suggesting that the Schenkerian prejudice about the Affections and
similar aspects of the musical experience no longer endures, actually demonstrate only a token concern with 'extra-
musical' meaning. In grounding the analyses in voice-leading graphs, one ensures their autonomy and untranslatability. Not
until one is prepared to give up the foundational status of the graph will it be possible to develop a musical hermeneutics
that can do justice to Schenkerian insights.

Talk of Affections is necessarily talk of norms and convention, for the emotional associations of the Affections are only
accessible to members of a given interpretive community. For all their apparent concern with norms of tonal behavior,
however, theory-based analysts have not yet taken up the study of conventions with any great conviction. For critics who
feel that the traffic in conventions must involve principally surface rather than subsurface musical patterns, study of
compositionally relevant conventions necessitates a reclaiming of the foreground. And this, in turn, signals a return to
hermeneutics.

Among competing approaches to interpreting the musical foreground, one fruitful approach recognizes the play on familiar
styles and conventional gestures as an important source of a work's affect, character and meaning. The subjects of
musical discourse or 'topics' that Leonard Ratner drew attention to nearly two decades ago (Ratner 1980, elaborated in
Allanbrook 1983 and Agawu 1991) had always been with us, and were already serving the ends of interpretation in the
writings of some theorists and aestheticians from the eighteenth century on. Indeed Kretzschmar's own insistence, in a
tiny example from his article, that a passage in Berlioz' Grande messe des morts is not in waltz-rhythm invokes the notion
of topic, the implicit claim being that unless topics are properly recognized, interpretation (in the sense of performance)
will be impoverished. To hear in Mozart's String Quintets or Piano concertos the play on familiar topoi is to become freshly
aware of the extent to which he deployed conventional styles in highly imaginative ways. No analysis of works in dramatic
genres like opera and piano concerto can afford to treat the play of topic as something superficial, an aspect of the
foreground to be set aside as soon as the search for deeper, qualitatively superior patterns of the middleground and
background begins. The foreground may well be what it is all about.

Analyzing the play of topic in late 1 Sth-century music is held to be significantly incomplete if it does not yield an account
of the emotional scenario produced by the particular succession of topics. Referring to the topic 'march' in the first
movement of Beethoven's late String Quartet, op. 132, Robert Hatten insists on its tragic character, 'tragic' being
understood as an 'expressive genre' (1992: 9192). Hatten's position here is consistent with that of Kretzschmar, who
hopes, further, that an instructed listener to 'pure' instrumental music will not only recognize shifts from the majestic to the
tender, or from tranquillity to excitement, but be forced to ask why this particular succession is chosen by the composer.

An overarching characterization of emotional or affective states often displays a predictable morphology. Conventional
scenarios like tragic-to-transcendent, or tragic-to-triumphant, which Hatten finds in the music of Beethoven (Hatten 1994),
exist at such a gross level of musical organization that a demonstration of their pertinence would require a more
systematic explication of 'lower levels' of the emotional scenario, a fleshing out of the journey from background to
foreground. Unlike Schenker's Ursatz, however, a plot of Affections is not an idealized construct embodying structural
functions but a concrete and immediate presence, one determined by the character and sense of the work. Affections
exist only at one level of structure. Furthermore, given the uncertainty or banality of the plots of broad emotional
succession in tonal music, one may well be justified in detaching the more or less concrete topics of musical discourse
from the emotions they give rise to. Still, Kretzschmar, Hatten, and others would consider it something of a retreat if one
detached topic from its emotional clothing. The work's character, they will argue, cannot be properly explained without
some reference to its emotional life.

Explanation is not universally admired in talk about music, and it may be that one of the differences between theory-based
accounts of structure and hermeneutic accounts of meaning rests on the issue of verification. Whereas the structuralist
analysis, given its dependence on a prior theory, makes possible a verification of method, the hermeneutic effort, by its
dependence on an unformalized (but not unformalizable) theory, allows it to be assertive or suggestive, persuasive or
rhetorical, without being held back by the deliberations of proof. It is for this reason that hermeneutic analyses more nearly
approximate verbal performances than some theory-based analyses. Although no a priori value can be assigned to either
mode of analysis, it is becoming increasingly clear that the hermeneutic impulse is more in tune with the spirit of
postmodern inquiry, and that the scientific model of analysis no longer holds the hegemonic status that it did in the 1960s
and 1970s, having now been, if not superseded, then at least hotly challenged by a literary or narrative model in the
1990s.

Finally, the apparent bifurcation of hermeneutic and theorybased modes of analysis may be understood within the
framework of a sociology of musical knowledge that takes due cognizance, first, of the strong contemporary impetus
towards post-disciplinarity, and second, of the advantages of giving voice to one's subjective impressions of music(s)
(Cusick 1995) and text(s) (KielianGilbert 1997). Both developments amount to a decisive vote for hermeneutics, for it is
structuralism's closed procedures and symbolic language that sometimes restrict the open-ended flights of poetic fancy
that a hermeneutic analysis revels in. Kretzschmar sought to "penetrate behind the notes themselves, and their
configurations, to the feelings," a progression that may be glossed as originating in structuralism ("the notes themselves,

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and their configurations") and terminating in hermeneutics ("the feelings"). But the engagement with "the notes
themselves" did not, for Kretzschmar and his followers, entail the application of a full-fledged theory like Schenker's for
tonal music. It would seem then, given the unbounded framework within which hermeneutics works, that it is the more likely
to accommodate different listeners' insights into works of music. Theory-based analysis becomes hermeneutic only at the
point at which it dissolves its conceptual props into a more open and flexible narrative space. Kretzschmar envisioned the
field of musical hermeneutics as "the conclusion-the last and richest harvest-of all musical theory as such," and while that
may strike some as totalizing and ambitious, recent debates about the nature of musical discourse suggest that we could
do worse than keep that vision alive even as we dispense with-or transcend-his analytical method.

[Reference]
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des Vortrages und der Literatur (Vienna: Tonwille-Verlag [A. Gutmann]).
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[Reference]
Author Bibliography
Author selection of six items. Complete list available from the author.
KOFI AGAWU
1997 "Prolonged Counterpoint in Mahler," in Mahler Studies, ed. Stephen Hefling (Cambridge: Cambridge University Press), pp.
217-47.
1995a African Rhythm: A Northern Ewe Perspective (Cambridge: Cambridge University Press).
1995b "The Invention of African Rhythm," Journal of the American Musicological Society 48 (3): 380-95.
1992a "Theory and Practice in the Analysis of the Nineteenth-Century lied," Music Analysis 11 (1): 3-36.
1992b "Representing African Music," Critical Inquiry 18 (2): 245-66.
1991 Playing with Signs: A Semiotic Interpretation of Classic Music (Princeton: Princeton University Press).

[Author Affiliation]
KOFI AGAWU
Yale University, USA

[Author Affiliation]
Author Biography
KOFI AGAWU (b. 28 September 1956). Academic rank: Professor of Music. Mail address: Department of Music, Princeton
University, Woolworth Center, Princeton, NJ 08544-1007, USA. Email: (old: kagawu@pantheon.yale.edu; new: not yet known).
Telephone (1-609) 258-4241; fax: (1-609) 258-6793. Educational background: Ph.D., Stanford University, USA, 1983. Research
interests: Music analysis and theory, semiotics of music, music of West Africa. Professional background: Member, American
Musicological Society, Society for Music Theory, Royal Musical Association, and Toronto Semiotic Circle.

References

Cited by (1)

Indexing (document details)

Author(s): Kofi Agawu
Author Affiliation: KOFI AGAWU
Yale University, USA

Author Biography
KOFI AGAWU (b. 28 September 1956). Academic rank: Professor of Music. Mail address:
Department of Music, Princeton University, Woolworth Center, Princeton, NJ 08544-1007, USA.
Email: (old: kagawu@pantheon.yale.edu; new: not yet known). Telephone (1-609) 258-4241; fax:
(1-609) 258-6793. Educational background: Ph.D., Stanford University, USA, 1983. Research

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Document View - ProQuest http://proquest.umi.com.monstera.cc.columbia.edu:2048/pqdweb?inde...

interests: Music analysis and theory, semiotics of music, music of West Africa. Professional
background: Member, American Musicological Society, Society for Music Theory, Royal Musical
Association, and Toronto Semiotic Circle.
Document types: General Information
Publication title: The American Journal of Semiotics. Kent: 1996. Vol. 13, Iss. 1-4; pg. 9, 16 pgs
Source type: Periodical
ISSN: 02777126
ProQuest document ID: 768760221
Text Word Count 5020
Document URL: http://proquest.umi.com.monstera.cc.columbia.edu:2048/pqdweb?did=768760221&sid=20&Fmt=3&cl
ientId=15403&RQT=309&VName=PQD

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