Sketches I
Sketches I
Sketches I
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WEBERN'S SKETCHES (I)
RogerSmalley
anced and integrated. Throughout his life he strove to fulfil this ideal and, as these
sketches so clearly show, whenever he realized that he had embarked upon a
false or unfruitful trail he simply abandoned it and started afresh. Stravinsky, on
the other hand, once claimed never to have wasted any of his musical ideas. If
they ultimately proved inappropriate to the work in whose context they were
initially thought of, they would be used in a subsequent one. Certainly there is
virtually nothing in the Rite of Spring sketches which did not eventually appear in
the finished work.
Even so, what we can see in Webern's sketchbooks tells only part of the
story. For between each sketch lies a thought process which is sometimes clear
but often opaque and problematical. At one point in his commentary to the
sketches Krenek writes: 'To pursue such conjectures any further would seem
presumptuous'. But in the following discussion I have presumed to conjecture
further. I have not only described what is there, but have also tried, however
imperfectly, to imagine myself in Webern's position and to recreate the train of
thought which links each sketch with the next. The results make no claims to the
truth; they are-and must remain-in the realm of conjecture. I hope that they
will at least have the effect of stimulating others to modify or to amplify them.
Before turning to a more detailed analysis of the sketches, however, it will be
useful to fill in the historical background and examine the criteria of selection
and manner of presentation employed in the present volume.
From 899 until 19251 Webern wrote his sketches on loose sheets of manu-
script paper. These were found, as recently as October 1965, by Hans Molden-
hauer in the attic of the Vienna home of Webern's mother-in-law. In a fascinating
article recounting the circumstances of this remarkable discovery, Moldenhauer
lists some of the contents of the manuscripts.3 The latest works he mentions are
'the charming Kinderstickfor piano solo of 1924 (where Webern first employed
Schoenberg's newly evolved I2-note technique); and two string trios of I92 '.4
From I92 5 onwards, however, Webern made his sketches in a series of six large
bound volumes. These contain, with the exception of the two published move-
ments of the String Trio op. 20, the sketches of all Webern's works from op. 17 to
op. 31, as well as sketches for many hitherto unknown and unfinished projects.
The first sketchbook, only 32 pages long, is in the archives of Universal
Edition, Vienna; the remaining five (containing a total of 422 pages) are col-
lected, together with all the material found in the Vienna attic, in the Webern
Archive which forms part of the Moldenhauer Archive in Northwestern Uni-
versity, Evanston, Illinois.5
The present volume contains full-size (27x33-. cm) photo-reproductions
of 47 pages selected from these last five sketchbooks. Hans Moldenhauer con-
tributes a brief foreword, and this is followed by a full-page reproduction of
the terracotta bust of Webern made in 1928 by Josef Humplink (husband of
Hildegard Jone, the poetess from whose works Webern drew the texts of all his
vocal music from op. 23 onwards). The listing of the plates and their contents is
very thorough, making identification simple; they are also collated with their
original page numbers in the sketchbooks. A commentary on the sketches is
provided by Ernst Krenek, who was a friend of Webern for many years (an ex-
perience touchingly recalled in his brief tribute in the Webern issue of Die
Reihe).6 This excellent essay forms an indispensable adjunct to the sketches.
Krenek clarifies many of the problems encountered in studying them, such as the
exact sequence of events on each page, the way in which Webern wrote out and
4 TEMPO
numbered his tables of sets, and the relationship (both in time and in substance)
of the sketches to his completed works. Webern was in the habit of beginning to
sketch on the right-hand side of each double-page spread and subsequently making
revisions to this material on the facing left-hand page. Thus the sequence of
sketches frequently proceeds both forwards and backwards. This can make the
establishment of continuity a little difficult at times, although with the aid of
Webern's liberal deployment of stars, arrows and vi-de signs and, of course, the
musical material itself, it is generally possible, after a little study, to determine
the original order.
Webern did not confine his sketchbooks solely to musical matters. He also
made diary entries in them, mainly concerned with the two things which, apart
from music, affected him most deeply. These were his family ('February 9
[1944] Peterl [Webern's grandson] born; February 26 baptism') and his walking
tours in the Austrian Alps (see the 'programmes' of the Concerto op. 24 and the
Saxophone Quartet op. 22, below). Krenek translates these and most of the other
verbal remarks to be found in the sketches; he also identifies the people and
places mentioned.
The pages reproduced in this volume contain, with one exception, sketches
for abandoned and unfinished compositions. In the case of The Rite of Spring the
situation was quite different-the surviving sketches were printed in their
entirety and could be compared, every stage, with the published score. For the
at
majority of these Webern sketches no final score exists for comparison; they
never progressed further than the fragmentary forms presented here. This makes
elucidation of the composer's ultimate aims and intentions much more proble-
matic, and I cannot help thinking that in spite of the great attractions of being
able to study these fragments for the first time it might have been more useful to
begin by publishing the sketches for some of his completed works. Let me at
least express the hope that eventually Webern's entire sketches will be made
available in a similar form. On the basis of the volume already published I have no
hesitation in stating that far from being mere historical curiosities they will
profoundly enrich our knowledge and understanding of Webern's work.
Krenek's commentary is so thorough that it renders further introductory
remarks on my part superfluous; they would in any event be of little use without
the sketches themselves to hand. I therefore propose to discuss in more analytical
detail, with music examples transcribed from the sketches, some of the most
interesting and revealing pages in the volume. The three selections which I have
made are from Plates 3 3-3 7 (which show the evolution of the set and first three
bars of the Concerto op. 24), Plates 25-3 2 (which show the genesis of a projected
third movement for the Saxophone Quartet op.22) and Plates 4-8, the most
extensive series of sketches in the book, which are of a projected third movement
for the String Trio op. 2.7 My analyses will not be exhaustive, given the limita-
tions of the available material. The particular characteristics of each of the three
selections has suggested, in each case, a concentration on one specific aspect of
the music. These are set-structure (op.24), the formation of a variation theme
(op. 2 2), and broader aspects of form (op. 20).
Webern's musical handwriting is unfailingly neat, but it is also very small
and in some places (the string trio movement for example) there is a great deal of
crossing out and alteration. It is generally possible, however, to check such
things as dubious accidentals (sharp and natural signs are sometimes indistinguish-
able) and missing clefs by reference to the set tables. In the transcriptions, all
WEBERN'S SKETCHES
such editorial decisions and additions are enclosed in square brackets. I have also
added consistent bar numbering and indications (in German) of instrumentation,
both of which are entered only erratically in the sketches themselves.
* * *
But I think I have laid a good foundation for something new (for orchestra). I have found a
'row' (that's the 12 notes) that contains already in itself very extensive relationships (of the 12
notes amongst themselves). It is something similar to the famous old proverb:
S
1-1
A T O R
O P E R A <
R 0 T A S
To read horizontally;
So: Sator opera (retrograde of arepo)
tenet, tenet
opera sator (retrograde of rotas)
Then vertically: from top to bottom; upwards; downwards, upwards (tenet twice over), down-
wards; upwards. Then vertically again starting at the bottom right: upwards, downwards etc.8
This passage has often been quoted to demonstrate Webern's belief in the
mysterious-almost magical-properties inherent in certain orderings of the
twelve chromatic pitches. In his letter, and again when he quotes the same
acrostic at the end of his series of lectures 'The Path to Twelve-Note Com-
position'9, Webern does not associate it with any specific work-indeed the
remark '(for orchestra)' is, as we shall see, misleading. Plates 33-37 of the
sketches not only explain this remark but also show-for the first time, I believe-
with what painstaking effort Webern attempted to reproduce the structure of
this acrostic in the basic set of his Concerto for 9 Instruments op. 24. The very
fact that this relationship has not been noticed before immediately suggests that
the parallel between the two cannot be very obvious-and this is indeed the case,
for reasons which the subsequent discussion will make clear. But there can be
no doubt that the structure of the set was suggested at every stage by that of the
acrostic.
The first notation concerned with the development of the set is a fragment
of the chromatic scale (Ex. ia). Of the eight pitches only the Fh has a stem, and
this may indicate that it was at the forefront of Webern's mind-particularly
since it eventually turns out to be the first pitch of the final version of the set.
Immediately this very basic idea is extended into a 12-tone set (Ex. ib), subdivided
by a bar-line into two hexachords. The first hexachord presents a modified version
of the rising chromatic scale; the second inverts the direction, but not always the
size, of the interval succession of the first hexachord (it would be an exact mirror
6 TEMPO
PEla
- A..
Ex.lO
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38 1$ S of
i,
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Ex.3a Ex.3E
_A T E N E T a b h o
r fr 1
Up, . h4b-
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' -.- |f3t . , jm
f14i,4. #4_ ,q-3-
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Ex.4a
4.u.931
Ex. 4e
5..1931
r rh,8 b~~~~~~I
b c ae?
e a T =b a d o
#-. o a. . 4, #. 14Z
tr, II' Ir-#- (4] . 1#.'.1- a.-
UKr von b UKr von a U von b UKr von c
Kr von c U von c Kr von a Kr von b
U von d Kr von d UKr von d U von a
S A TOR A RE PO TE N ET OP ER A [A RE PO S A TOR OP ER A ROTA SI
TE NET O PE RA ROTA S
WEBERN'S SKETCHES 7
if the 7th and 12th pitches were interchanged). In Ex. ic the shaping of the set is
further refined. The content of each hexachord remains the same, but the internal
order of pitches is changed to generate a greater variety of intervals (a process
which also seems to be reflected in the pitches written above the second hexa-
chords of both Exx. I b and I ). As a result the first and last dyads of the set both
form tritones, and this would allow the possibility, frequently used by Webern,
of linking sets in chains by means of a common interval. In other respects, though,
this set is not particularly characteristic of Webern, especially because it cannot be
subdivided into symmetrically related groups of 3, 4 or 6 pitches.
He nevertheless embarked on a composition using the set of Ex. c, not even
incorporating the further modifications suggested by the 8 pitches above the sec-
ond hexachord. It was to be an orchestral overture, which accounts for the
remark '(for orchestra)' in the letter quoted above. This sketch was made in
February 193 and the letter was written the following month, but the orchestra-
tion does not definitely assume chamber-music proportions until sketches made
in July 9 3 . It seems clear, then, that the work being referred to in the letter is
definitely the one which eventually evolved into the op. 24 Concerto. The first two
bars of the Overture (Ex. 2) appear in unusual detail, with all dynamics and some
indications of instrumentation; but the fact that another sketch for the basic set
appears further along the same system (Ex. 3a) shows that this apparently promis-
ing start was almost immediately abandoned.
Ex. 3a marks the beginning of Webern's attempts to construct a set posses-
sing the same properties as the Latin acrostic. First he invents a 3-note motive
(A-Bb-Bf) which, when followed by its retrograde (Bb-Bb-A), forms a pitch
parallel to the non-retrogradable word TENET, which is written in above the
stave. Ex. 3b, an unordered rising chromatic scale, might appear at first glance
to revert to the primitive state of Ex. a, but closer examination reveals many
hints of developments to come. It now consists of all twelve pitch-classes and
sets out from the Fb emphasized in Ex. i a. Furthermore it is subdivided into three
4-note groups (tetrachords), the second of which contains all the pitches used
in the TENETsketch (Ex. 3a). The pitches of this tetrachord are named above the
stave (a, b, h, c).10 Further along the same system is the retrograde of the
chromatic scale (Ex.3b) with the same pitch-classes written in: this time, of
course, in reverse order (c, h, b, a). Obviously Webern had realized that the
pitch analogue to TENET could not occur within one set, since it involves pitch-
repetition, but would have to obtain between any given set and its retrograde.
Below Ex. 3c is a crucial sketch (Ex. 3d) consisting of the pitches which begin
each tetrachord of both the ascending and descending chromatic scales. This is
the birth of a new approach to the problem and quite probably occurred to
Webern simply as a result of looking long and hard at Exx. 3b and 3c, in one of
those moments when the very layout of pitches on the page suggests a particular
structural possibility. The next sketch (Ex.4a), made nearly three weeks later,
is of a new twelve-tone set whose first hexachord contains the six pitches of Ex. 3d
and the second the six pitches belonging to the chromatically complementary
pair of augmented triads. In Ex.4b the order of pitches 4-6 is changed and bar-
lines emphasise the new trichordal (3- as opposed to the previous 4-note) structure
of the set. The four trichords are labelled a, b, c and d. Under c is written
'Krebs von a' (retrograde of a) and under d 'Krebs von b'. In Ex. 4b each trichord,
under the operations of the twelve-tone system, is related to only one other
trichord. The re-ordering of trichords b and d in Ex. 4c means that each trichord
8 TEMPO
f rb 1
c
X
Trichord a I I d
~Pitchess P R
Relationship RI I
Acrostic SATOR AREPO ROTAS OPERA
Wos
Relationship P P R R
,
t t I t
The word 'gilt' ('is valid') by Ex.4c is, in fact, the final
indicates that this
form of the set. It is as close as Webern came to reproducing the relationships of
the acrostic. Although an exact parallel in every parameter is clearly out of the
question, there can be no doubt that the structure of the set (which is, if one can
usefully speak in such terms, musically' perfect', and offers the tightest possible
network of intervallic relationships) arose directly out of this attempt to achieve
the impossible.
The next compositional sketches cover the following two sides (Plates 35
and 36), and come as something of a surprise in view of the ultimate outcome.
They are all rather march-like in character, and although no tempo indications
appear the time signature of ? suggests a fairly brisk speed. The most complete
of these sketches is transcribed as Ex. . It bears a certain resemblance to Ex. 2,
and this, together with the instrumentation (2 trumpets, horn and timpani are
indicated elsewhere) suggests that these sketches were made with the idea of an
orchestral overture still in mind. The only date to appear on these two pages
is 6 February, 1931.
To trace the next link in this evolutionary chain we must turn back to the
previous page (Plate 34) where, following the final version of the set, we find
Ex.6a (dated 2i February, I93 ).* Webern clearly turned back to Plate 34 in
*
For Exx. 6a-j see p.Io.
WEBERN'S SKETCHES 9
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I Flute + -1 A FIObKl.
l
r i~, --
i r
L- .
f,i=---- 4r
i- i Jp,
---
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Vita.r. .,
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Cel*o T-
order to sketch this new beginning on the same page as the final version of the set
and then continued on Plate 37, after the intervening sketches. Ex. 6b, at the top
of Plate 37, is dated one day later. Here Webern abandons the melody-with-
accompaniment texture of Exs. 2 and 5 for a more contrapuntal treatment of the
set. In the overlapping entries of the four trichords we see for the first time the
kernel of what was eventually to become the opening of the Concerto op. 24. The
refining of this idea can be followed through sketches 6b to 6j. They exhibit two
of the main characteristics of Webern's working method. First, that he would try
out his ideas in several different time-signatures-here he uses 3/8 (Exx. 6a, c),
2/8 (Ex. 6b), 3/4 (Exx. 6d, e), 4/4 (Exx. 6f, g) and 2/4 (Exx. 6h, i, j). Second,
that from sketch to sketch he would change the direction of intervals and octave
displacement of each motive, exploring all its possible relationships with the rest
of the material. In this sequence of sketches, for example, the first trichord
appears in four different shapes and in three different registers.
Here one receives an indelible impression of how this material, which
superficially appears so limited, was for Webern a source of inexhaustible musical
riches. Examples 6a-j are the fruit of four days' work, and they are concerned
solely with the arrangement of the first twelve pitches of the piece. In fact the
sketches for many of the projects in this volume do not progress beyond the
first set-statement, which would be abandoned only after the efforts of several
days had been expended on it. Such sketches should dispel once and for all the
curious notion that there was something 'mechanical' or 'mathematical' about
Webern's techniques of composition. Few composers can have been more
self-critical or have devoted more care to the precise shaping of their musical
material. In this instance the evolution of the set itself was already a painstaking
process, and Webern then embarked on what must be called a false trail (the
orchestral overture) before realizing that the full potential of his set could best
be realized by contrapuntally exploiting its trichordal structure.
The most significant processes taking place in Examples 6a-j are concerned
with registral distribution and rhythm. From the registral point of view Webern's
aim is to express the relationships between the four trichords as clearly as pos-
sible.13 In Ex. 6a aural confusion is generated by the use of interval inversions-
trichords a and d each have a major third, which is inverted to form a minor
sixth in trichords b and c. This, in conjunction with the registral distribution,
emphasizes the inversional relationship between a and d, and b and c, but obscures,
for example, the prime-retrograde relationship between a/c and bid. The final
pitch distribution is already established in Ex. 6d, but undergoes several further
modifications before re-emerging in Ex. 6j. Here the registral distribution is very
similar to that of the original set (Ex. 4c)-the principal difference being that the
minor second is consistently expanded to a minor ninth. This simple but hard-
I
I0 TEMPO
Solo Gep.pizz.
Ex.6t 21
6i -30
F tlote] j
f t
^[JI0t.],
Celesta bj =
Iarfe l
Ex. 6c Ex.6d
2.vli-1931 (u.45.Geburtstag)
3
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I iS I I a I
If
[Celesta]
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ri r
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WEBERN'S SKETCHES II
won solution means that the trichordal relationships are expressed both in the
size of the intervals (only two-minor ninth and major third-are used), and in
their direction. Thus a is an inversion of d, a retrograde of c, and a retrograde
inversion of b.
Rhythmically the goal is the further characterization of each trichord by
means of a different rhythmic unit. In Ex. 6a they are all in quavers. Already in
Ex. 6b three different units are used but 6c (,') and 6d (J ) revert to a single unit.
Exx. 6e-g show further attempts to diversify the rhythmic structure, but Webern
never manages to achieve more than three different units-two of the trichords
always have the same speed. Ex. 6h is the first sketch to use four different units .14
These are retained through Exx. 6 i-j and, indeed, to the opening of the finished
work (Ex.7). In pitch and rhythmic structure this is identical to Ex. 6j, except
that the set is transposed down a tritone so that it begins on B. This change is
probably related to the eventual instrumentation, which is less exotic and lower
in tessitura than that suggested by Ex. 6j (the number and variety of instrumental
indications in these sketches suggest that Webern was still thinking in terms of a
fairly large and variegated ensemble-perhaps similar to the one he had used in
his Five Pieces for Orchestra op. o).
Ex.7
Etwas lebhaft
1 rit. 3 . . -
, , nJiTTi
I+ 2^ObW
L Clar. f r
Trpt.m.Dpf. '
Most regrettably, the reproduced sketches break off at this point. The
previous six plates are a continuous sequence of pages (38-42) from Sketchbook II
but the next two plates are isolated pages (71 and 77) from much further on in the
same volume. Thus the major part of the Concerto sketches are not reproduced-
a great pity, since so much about Webern's compositional method can be de-
duced from these first three bars alone.
The reproductions do, however, include a first mention of the final title and
an outline of the form (from which only the idea for the second movement appears
to have survived to the completed work). These are written across the whole
width of Plate 37, just above Ex. 6d: 'Concerto op. 24, I Einersdorf (animated,
introduction), II 2/4 slow, Schwabegg, III Annabichl 6/8 (twice 3/8) fluently,
secondary theme M, recapitulation P'. Einersdorf, Schwabegg and Annabich!
are villages in southeastern Carinthia, not far from the Yugoslavian border, often
visited by Webern on his walking tours. M Stands for Webern's wife Wilhemina
(Minna) and P for Peter, Webern's son. It appears, therefore that one of Web-
ern's most tightly organized (and therefore most frequently analysed) works was
inspired by feelings about members of his family and the places he visited on his
solitary mountain walks. The Saxophone Quartet op.22 has an even more de-
tailed 'programme' (see TEMPO I I 3). 'Programme' is, of course, an inappropriate
word because these works are in no sense 'programme music', but the exquisitely
refined essence of the feelings which Webern experienced about these people and
places, filtered through and embodied in a musical technique of consummate artis-
try. An extract from a letter which he wrote to Alban Berg shows what a profound
and-in words-inexpressible meaning the experience of nature had for Webern:
12 TEMPO
I have been to Hochschwab. It was glorious: because it is not sport to me, nor amusement, but
something quite different; a search for the highest, for whatever in nature corresponds to those
things on which I would wish to model myself, which I would have within me. And how fruitful
my trip was! The deep valleys with their mountain pines and mysterious plants-the latter have the
greatest appeal for me. But not because they are so 'beautiful'. It is not the beautiful landscape, the
beautiful flowers in the usual romantic sense that move me. My object is the deep, bottomless,
inexhaustible meaning in all, and especially these manifestations of nature. I love all nature, but,
most of all, that which is found in the mountains.15
This may surprise those who have been deceived by the vulgar opinions of popular
critics, but not those who have ever responded, without prejudice, to the pure
and intense poetry of Webern's vision. In his commentary Krenek must echo the
feelings of many when he writes, apropos the Saxophone Quartet: 'It affords this
writer a certain saitsfaction that he, without knowing any of Webern's private
sketches, even more than thirty years ago, when Webern's detractors accused
him of being a cold cerebralist reducing music to meaningless calculations,
expressed the opinion that his music evoked the image of the tense stillness of
the highest mountain peaks.'
To be continued in TEMPO 1 3.
Materialrelating to Webern's op. 24 quoted by kind permissionof
UniversalEdition (Alfred A. Kalmus)Ltd.
NOTES
I. Smalley, Roger: 'The Sketchbook of The Rite of Spring'. TEMPO91, Winter 1969-70, pp. 2-13.
2. Anton von Webern: Sketches(I926-I945). Facsimile reproductionsfromthe composer'sautograph sketchesin
the MoldenhauerArchive. Carl Fischer Inc., New York I968.
3. Moldenhauer, Hans: 'A Webern Pilgrimage'. The Musical Times, No. ioo, February I968, pp. 122-127.
4. has been published by Boosey and Hawkes, and one of the string trios (it is not clear
This Kinderstfick
which) by Universal Edition (UE I30I9).
5. For a complete catalogueof the Webern Archive see 'A Webern Archive in America' by Hans Molden-
hauer, in Anton von Webern:Perspectives,ed. Demar Irvine (University of Washington Press, 1966), pp. i 17-
I 66. In his introductionto this catalogueMoldenhauerdoes not make it clear where all these sketchbooks
camefrom. The sixth sketchbookwas presentedto the Archivein I961 by Mrs. AmalieWaller, Webern's
eldest daughter;the other four were only 'unearthed'by 'the momentumof these endeavours'(to gather
as much additionalmaterialas possible). At the time of publicationof the present volume of sketches,
the Archivewas in the University of Washington.
6. Krenek, Ernst: 'The SameStone Which The BuildersRefusedIs Become The HeadstoneOf The Corner'.
Die Reihe, Vol.2, p. 12.
7. The sketchesfor a projected third movementfor the Symphonyop.20 (Plates 9-I i) havebeen transcribed
and discussedin some detail by Hienrich Deppert in his 'Studienzur Kompositionstechnikim instrumen-
talen Spatwerk Anton Weberns'. Edition Tonos (Darmstadt, Ahastrasse 7) 1972, pp. 178-I87. The
contents of the finalpages of the sixth and last sketchbook(Plates 41-47) are describedby Hans Molden-
hauer in his article 'Webern's projected Op.32', Musical Times, No. 1530, August 1970, pp.789-792.
8. Extract from Webern's letter to Hildegard Jone dated I I. 3. 93 1, in Webern, Anton: Lettersto Hildegard
Jone and Josef Humplik. Theodore Presser Co. and Universal Edition, 1967, p. 17 (letter 22).
9. Webern, Anton: ThePath to the New Music. Theodore Presser Co. and Universal Edition, 1963, p. 6. In
this book the same acrostic is translatedas 'The sower Arepo keeps the work circling'.
io. GermanH = EnglishB~; GermanB =English Bi.
11. U = Umkehrung= Inversion; Kr = Krebs = Retrograde; U Kr = lJmkehrung Krebs = Retrograde
Inversion.
12. The words in squarebracketshave been added by the author.
13. 'The ultimate principle in the presentationof a musical thought is comprehensibility'. Webern, (luoted
in Die Reihe, Vol.2, p. 22.
14. Stockhausen'sarticle 'Webern's Konzertfir Neun InstrumenteOp.24', first published in 1953 and re-
printed in KarlheinzStockhausen: Texte,Vol.I (Du Mont Schauberg, I963), pp.24-31, containsmuch
interestingspeculationon the relationshipbetween pitch andrhythmin this work.
15. Extract from Webern's letter to Alban Berg dated 1.8.1919. Die Reihe Vol.2, p.I7.