Professional Documents
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Explaining Tonality
Schenkerian Theory and Beyond
Matthew Brown
Contents
Figures
vii
Preface
xiii
1
2
12
18
25
27
41
56
66
67
72
76
83
91
99
103
117
126
140
142
146
151
158
162
171
172
186
192
202
vi
Contents
209
211
Notes
239
Bibliography
267
Index
281
222
234
Figures
I.1.
I.2.
I.3.
I.4.
I.5.
I.6.
I.7.
I.8.
I.9.
I.10.
Explaining tonality
A procedure for composing typical tonal melodies
Five forms of passing tone
Counterfactual conditionals
The Covering-Law Model
Explaining suspensions
A procedure for generating 76 suspensions
The Hypothetico-Deductive Method
The logic of falsification
Six criteria for evaluating theories
3
5
6
7
8
9
11
13
16
19
1.1.
1.2.
1.3.
1.4.
1.5.
1.6.
1.7.
1.8.
1.9.
26
30
32
33
34
36
37
39
1.10.
1.11.
1.12.
1.13.
1.14.
1.15.
1.16.
1.17.
1.18.
40
42
44
45
47
48
49
50
51
52
viii
1.19.
1.20.
1.21.
1.22.
1.23.
1.24.
1.25.
1.26.
1.27.
1.28.
Figures
Sequences
A typical ascending-fifth sequence
Deriving ascending-fifth sequences
Restacking ascending-fifth sequences
Deriving ascending-third sequences
Deriving descending-fifth sequences
Deriving descending 56 sequences
Deriving alternative descending-fifth sequences
52
54
55
55
56
59
60
61
62
63
69
71
73
78
80
81
82
85
86
88
90
92
94
97
102
104
105
107
108
109
111
112
Figures
3.9.
3.10.
3.11.
3.12.
3.13.
3.14.
3.15.
3.16.
3.17.
ix
113
114
115
118
118
119
120
120
145
148
3.18.
3.19.
3.20.
3.21.
3.22.
3.23.
3.24.
3.25.
122
123
125
127
129
131
132
133
135
152
153
155
157
159
160
Figures
162
164
168
169
174
176
180
181
183
184
188
189
190
191
192
194
196
198
200
201
203
206
208
210
212
Figures
xi
218
221
228
231
232
Preface
Few terms in music theory are more profound and more enigmatic
than tonality. First coined by Alexandre-tienne Choron in his
Sommaire de lhistoire de la musique (1810), it was popularized
by Franois-Joseph Ftis in the 1830s and 1840s and has subsequently remained an essential part of theoretical discourse. Choron
originally used the term to denote music in which notes are related
functionally to a particular tonic, the tonic triad. This particular
brand of tonality is often known as functional tonality and is characteristic of works written by composers such as Handel, J. S. Bach,
Scarlatti, C. P. E. Bach, Haydn, Mozart, Beethoven, Schubert,
Schumann, Mendelssohn, Chopin, and Brahms. But, as Chorons
term has gained currency, so it has expanded its meaning considerably. Nowadays, the term is often used in a very general sense to
denote any music that focuses melodically and/or harmonically on
some stable pitch or tonic. This definition covers a broad range of
music from many cultures and many time periods, from Medieval
plain chant to various twentieth-century idioms.
Of the many attempts to explain the nature of functional
tonality, perhaps the most comprehensive was undertaken by
Heinrich Schenker (18681935).1 In his monumental triptych,
Neue musikalischen Theorien und Phantasien, he systematically investigated the ways in which lines and chords behave in functional
tonal contexts. In the first volume, Harmonielehre (1906), he
explained how functional harmonies (or Stufen) are organized into
progressions (or Stufengang).2 In the second volume, Kontrapunkt
(1910, 1922), he explained the basic properties of tonal voice leading (or Stimmfhrung).3 And in the final volume, Der freie Satz
(1935), Schenker showed how the principles outlined in the
Harmonielehre and Kontrapunkt operate recursively across entire
monotonal compositions.4
But what sorts of relationships did Schenker count as tonal or,
to be more precise, functionally monotonal? Why do these relationships work in some ways and not others? Why should we prefer
Schenkers theory of functional monotonality to its competitors?
xiv
Preface
Preface
xv
xvi
Preface
Preface
xvii
xviii
Preface
Preface
xix
Introduction
Explaining Tonality
Explaining Tonality
3
4
7
1
Climax
4
Cadence
2 1
e. Join the opening to the climax and the climax to the cadence.
Climax Cadence
4
4
7
3
1
2
3
2 1
f. Fill in any details and check to see that the melody has a good overall shape and that it satisfies any general laws of melodic motion.
Climax
Cadence
7
4
3 2 3 4 6
1
2
3
2 1
the climax to the cadence (figure I.2e). Sixth, fill in any details and
check to see that the melody has a good overall shape and satisfies
any general laws of tonal voice leading, for example, that leading
tones normally ascend by half step onto the tonic (figure I.2f).
The preceding discussion has highlighted the central role concepts, laws, and procedures have traditionally played in tonal theory,
but it is important to realize that these components are a lot more
difficult to deal with than we might initially suppose. Take, for
example, concepts. While it is certainly possible to find necessary
and sufficient conditions for many concepts, cognitive scientists
have found that certain concepts cannot be defined in this manner.
Instead, they tend to define such concepts by appealing to the
notion of prototypes.3 As Alvin Goldman explains:
Concepts are represented in terms of properties that need not be strictly
necessary but are frequently present in instances of the concept. These
Explaining Tonality
properties are weighted by their frequency or by their perceptual salience.
A collection of such properties is called a prototype.4
Explaining Tonality
is unclear not only how to ensure that they are relevant in any given
context, but also that they can be used to support all law-like generalizations.
It is also debatable whether law-like generalizations are always
necessary and sufficient for explanations. Certainly, many experts
believe that scientific research is fundamentally law seeking or nomothetic.11 This prompted Carl Hempel and Paul Oppenheim to
advance The Covering-Law Model of explanation.12 According to
them, explanations are arguments in which the premises are sets of
covering laws and initial conditions, and the conclusion is some
statement about the phenomena to be explained (see figure I.5,
The Covering-Law Model). If the laws are universal and the arguments are deductively valid, then the result fits The DeductiveNomological Model, and if the laws are not universal and the
arguments are only inductively valid, then they conform to The
Inductive-Statistical Model. Figure I.6 (Explaining suspensions)
illustrates what Hempel and Oppenheim had in mind. Suppose, for
example, that we want to explain why a particular suspension C
resolves by step to B (see figure I.6a). We might do so by invoking a
simple law of tonal voice leading: namely, that suspensions normally
resolve down by step onto consonances (see figure I.6b). Given the
initial conditions that the seventh CD on the down beat of m. 2 is
dissonant and that the dissonance is a suspension, this law-like generalization allows us to deduce that the dissonant tone C on the
down beat of m. 2 will resolve down by step onto the consonant
tone B in m. 2. This is a perfectly acceptable explanation.
Although The Covering-Law Model certainly produces
acceptable explanations, it is unclear whether covering laws are
absolutely necessary for all plausible explanations. In particular,
b.
c.
Covering
Laws
Explanation
Initial
Conditions
10
Explaining Tonality
11
c. Displace the first note of the upper voice over the second note of the lower voice to create a 76 suspension.
12
Explaining Tonality
13
14
Explaining Tonality
15
true predictions.25 He suggests that this property is the only one that
allows us to project what will happen in the future. Tonality is just
such a predicate; it is a trait that we naturally project from past
observation to future expectation. Gronality is not, however,
because we have no reason to suppose that Burt Bacharach wrote
music that can been classified as tonal at one point in time and
atonal at some later date.26
The Grue Paradox leads to a more general problem in confirmation; even if we agree on the same body of evidence, there is no
reason to suppose that this data can be explained by only one
theory; as we have seen, we can always invent new predicates, such
as grue-ness or gronality, that capture some aspect of the piece.
This means that, in principle at least, the evidence always underdetermines theories; there are always a variety of theories that will
accommodate any given set of data. Pierre Duhem and W. V. Quine
have gone even further to claim that, taken on its own, a particular
piece of experimental evidence is seldom used to falsify an entire
theory, because each element of the theory is somehow related to
another element in the theory. As Quine puts it, our statements
about the external world face the tribunal of sense experience not
individually but only as a corporate body.27 In other words, any
seemingly disconfirming observational evidence can always be
accommodated to any theory.28 This claim is usually known as
The Duhem-Quine Thesis.
Although extremely controversial, The Duhem-Quine Thesis
is significant because it threatens to undermine the most famous
alternative to H-D. Given the many paradoxes of confirmation,
Karl Popper and others have suggested that, instead of defending
their theories by finding more and more supporting evidence,
scientists should actually spend their time trying to show that some
hypotheses are false.29 In this sense, the guiding principle of testability is not confirmation but falsification. The rationale behind
Poppers thinking is simple enough and is apparent from the arguments given in figure I.9 (The logic of falsification). According to
Popper, H-D seems to follow the plan given in figure I.9a. Let us
assume that, if a particular explanation E is valid, then it will make
a given prediction P. When researchers test this prediction and find
that it is indeed accurate, they regard this as confirmation of their
16
Explaining Tonality
c.
If Explanation E is valid,
then Prediction P is true.
b.
If X Y
Prediction P is true
Explanation E is valid
X (invalid)
If Explanation E is valid,
then Prediction P is true.
d.
modus tollens
If X Y
Prediction P is false
Explanation E is false
X (valid)
17
18
Explaining Tonality
sailors rely on the remaining timbers to keep the craft afloat. But
as one leak is patched so another appears; bit-by-bit the boat
becomes transformed into something new. In fixing the leaks,
music theorists typically try to balance what Quine has described
as the drive for evidence and the drive for system.36 According
to him, the former demands that theoretical terms should be subject to observable criteria, the more the better, the more directly
the better, other things being equal while the latter insists that
these terms should lend themselves to systematic laws, the simpler the better, other things being equal. Quine adds, If either of
these drives were unchecked by the other, it would issue in something unworthy of the name scientific theory: in the one case a
mere record of observations, and on the other a myth without
foundation.37
19
System
Accuracy
Consistency
Scope
Simplicity
Fruitfulness
Coherence
20
Explaining Tonality
21
thin at one end, much, much thicker in the middle and then thin
again at the far end, this account is so general that it is trivial. The
notion of Theory Reduction has likewise been questioned. While
there are certainly situations in which the model seems to apply, it
does not explain every option. Kuhn, for example, has suggested
that explanatory scope can expand through conceptual innovations
or paradigm shifts, rather than the addition of new laws or the
reduction of one theory into another.46 To overcome these difficulties Philip Kitcher and others have advocated the notion of Theoretical Unification. According to Kitcher, the success of theories
depends on minimizing the number or patterns of derivation
employed and maximizing the number of conclusions generated.47
When evaluating the success of our theories, we do not simply
want to keep duplicating results in familiar pieces; we also want to
use our concepts, laws, and procedures to predict how things will
behave in other, perhaps novel, works and disclose new phenomena
or previously unnoted relationships among those already known.48
To do this, we must be able to predict every consequence and not
merely a smattering of special cases.49 This idea represents the third
criterion in figure I.10, namely fruitfulness. Very simply, given two
theories of functional monotonality, we prefer the one that makes
the more fruitful predictions, other things being equal. According
to Kuhn, the criterion of fruitfulness deserves more emphasis than
it has yet received.50 Just as it is hard to measure the accuracy of
rival theories, it is also difficult to assess their fruitfulness, especially
if the theories draw on widely different bodies of empirical data.
This issue is troubling because successful theories often evolve
considerably over time; it may take a long while for theorists to
appreciate just how fruitful a theory may be and even longer to consider all of its ramifications. As a result, fruitfulness may not play a
significant role when a theory is originally presented to the world
but will become more significant as that theory matures.
Whereas our first three criteria concern the drive for evidence,
our fourth criterion concerns the drive for system. When formulating a music theory, we will want it to be as internally consistent as
possible, other things being equal. Inconsistencies are bad because
they prevent us from making concrete predictions; if we cannot
make concrete predictions, then we cannot subject our work to
22
Explaining Tonality
23
24
Explaining Tonality
26
Explaining Tonality
27
28
Explaining Tonality
29
30
Explaining Tonality
b. Interval content.
Melody 1
Melody 2
Melody 3
Melody 4
Melody 5
Melody 6
U m2 M2 m3 M3 P4 A4 P5 m6 M6 m7 M7 P8
2
5
1
1
1
2
3
2
1
1
1
5
2
2
1
4
2
3
3
4
4
2
1
3
4
2
1
1
Total
10
9
11
13
11
11
31
GM
LM
LS
32
Explaining Tonality
P5
m6
1
M6
m7
1
5
e. Laws of melodic motion/closure for a counterpoint.
If a counterpoint is perfectly closed, then
it begins on 8 or 5 and ends 71.
GM
LM
LS
LS
M7
P8
Parallel 6
2
8
2
Total
11
Total
11
Total
12
33
Figure 1.4. Prototypical counterpoints in Fifth Species. From Fux, The Study of
Counterpoint, Figs. 82 and 87.
34
Explaining Tonality
Nota cambiata
Second Species
Two/three notes in
the counterpoint
against one in cantus
firmus.
Appears on beats 2, 3,
and 4. Consecutive
passing tones of a
diminished fifth and a
perfect fourth can appear
on beats 2 and 3.
Third Species
Third Species
Fourth Species
35
36
Explaining Tonality
C
D
E
F
G
G
A
B
E
F
G
A
B
B
C
D
G*
A*
B*
C*
D*
D*
E*
F*
Major
Minor
Minor
Major
Major
Minor
Minor
Major
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
9.
10.
11.
12.
D
E
A
B
F
G
C
D
A*
B*
E*
F*
Major
Major
Major
Minor
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
5/3 or 6/3
[Mixolydian]
[Aeolian]
[Dorian]
[113114]
13.
14.
15.
16.
17.
D
G
E
A
B
F
B
G
C
D
B
E
C
F
G
Diminished
Diminished
Diminished
Diminished
Diminished
6/3
6/3
6/3
6/3
6/3
[Dorian]
[Mixolydian]
[Aeolian]
37
Figure 1.7. First Species in three voices. From Fux, The Study of Counterpoint,
Figs. 104, 105, 106.
38
Explaining Tonality
39
321 and 171 are completely invertible at the octave, 543 is partially invertible at
the octave (never in bass), and 151 is never invertible at the octave (only in bass).
Four-voice cadences.
321 and 171 are completely invertible at the octave, 5 4 3 is partially invertible
at the octave (never in bass), and 151 is never invertible at the octave (only in bass).
40
Explaining Tonality
Figure 1.9. Parallel and direct perfect octaves and fifths in two, three and four
voices. From Fux, The Study of Counterpoint, Figs. 29, 27, 28, 120, 173.
41
42
Explaining Tonality
Reordering of diminutions.
c. First Species.
d. Third Species.
e. Tonal Counterpoint.
43
44
Explaining Tonality
Minor
o
a. Diatonic
c. Secondary
vii/II, ii/vii
vii/II, iio/vii
vii/III, ii/ii
vii/IV, ii/ii
vii/IV(V), ii/iii
vii/V, ii/iii
iv/II, iii/II, iii/III, ii/III, ii/IV, vii/V, vii/VI, vi/VI, vi/VII, v/VII
IV/II, III/II, III/III, II/III, II/IV, VII/V, VII/VI, VI/VI, VI/VII, V/VII
vii/VI, ii/iv
vii/VI, ii/iv(v)
vii/VII, ii/v
vii/VII, ii/vi
45
GM
LM
LS
LS
46
Explaining Tonality
47
b. Bach, Partita No. 1 for Solo Violin, BWV 1002, Sarabande: Double, mm. 18.
48
Explaining Tonality
49
b. Accented and unaccented passing tones. Cherubini, Missa Solemnis in D Minor, Kyrie
2, mm. 7073. From Schenker ed., Brahms Octaven und Quinten, Ex. 55.
c. Simultaneous neighbor tones. Mozart, Cosi fan tutti, Act 2, No. 19, m. 22. From
Schenker ed., Brahms Octaven und Quinten, Ex. 53.
Figure 1.15 (Parallels by combinations of harmonic and nonharmonic tones) illustrates some of these configurations.30 In figure
1.15a, for example, the parallel perfect fifths B/EA/D arise from a
passing motion EDC in the tenor voice combined with an
anticipation A in the soprano. Similarly, the parallel perfect fifths
C/FB/E in figure 1.15b occur because the soprano passes from C
50
Explaining Tonality
GM
LM
LS
LS
51
GM
LM
LS
52
Explaining Tonality
53
But by the time Schenker completed Der freie Satz, he had softened
his position; in par. 66 he claimed that the dissonance appears
only as a passing tone or as a syncopation, and in par. 10612 he
included neighbor motion as an independent transformation.37
Now he simply claimed that the traversal of the Urlinie is the most
basic of all passing motions.38
Given that non-harmonic tones arise from step motion between
harmonic tones, how do we explain cambiatas, appoggiaturas, changing notes, and other leaping dissonances? Once again, Schenkerian
theory offers two types of explanation. The first relies on implied
tones. In figure 1.20a (Chopins Mazurka, Op. 30, no. 4, mm.
12930), Schenker explained in his graph the string of parallel seventh chords by invoking implied suspensions.39 The second explanation treats leaping dissonances as byproducts of motion between
polyphonic voices. We can see how this might work in figure 1.20b.
Here the nota cambiata is explained in terms of an implied motion to
an inner voice: the alto voice passes BCD, while the soprano
temporarily moves down through D to hit the alto C.
Schenkerian theory uses much the same strategy to explain the
behavior of consecutive non-harmonic tones. Although such
things rarely occur in strict counterpoint, they are a dime a dozen
in tonal composition. As John Rothgeb has pointed out, The linear progression is but an extension of the basic passing-tone concept of second species counterpoint in that it allows for passing
motions within larger intervals than a third.40 Sometimes, however, consecutive non-harmonic tones arise from motion between
different polyphonic voices. For example, a double neighbor tone
CBDC might be derived from flipping between the soprano and
alto voices: in this case, the B might belong to the alto line,
whereas the D might belong to the soprano.
Rothgeb cites a more extreme example from Schenkers unpublished Generalbasslehre that seems to contain adjacent seventh
chords (see figure 1.21, Consecutive seventh chords). According to
Schenker, this passage, basically reduces to an 87 motion [above
a stationary bass]; but the passing tone [A] in the bass disguises this
54
Explaining Tonality
55
accented dissonances) shows how displacements can used to generate accented passing tones (figure 1.22a), accented neighbor tones
(figure 1.22b), and appoggiaturas (figure 1.22c). Displacement can
even account for more radical deviations from strict counterpoint,
such as the ones found in figure 1.23 (Beethovens Piano Sonata, Op.
81a).42 By displacing the right and left hands, Beethoven superimposed the tonic and dominant chords, thereby creating an effect of
extraordinary beauty.
So far, we have considered Schenkers explanation of the relationship between strict counterpoint and functional tonality. Schenker
saw many connections between the two; in both cases, melodic lines
mostly move by step, converge on the tonic at final cadences, and
move between stable and unstable verticalities. But he also saw subtle
differences; these arise because strict counterpoint is bound either by
The Consonance Constraint or The Triadic Constraint, whereas
tonal voice leading is controlled by The Stufe Constraint. We have
seen that, through The Heinrich Maneuver, Schenker not only
56
Explaining Tonality
Figure 1.23. Beethoven, Piano Sonata, Op. 81a, 1st movement, mm. 23042.
From Schenker, Harmonielehre, Ex. 132.
57
58
Explaining Tonality
59
LM
LM
LS
LS
60
Figure 1.25. Chord function vs. chord derivation.
61
LS
way. But what about the II Stufe in figure 1.25d? This one seems to
be derived from the upcoming dominant rather than from the preceding tonic.54 The same can also be said of the D-major Stufe given
in figure 1.25e. In other words, figure 1.25 indicates that different
predominant chords may serve the same function, even though
they may be generated in quite different ways. Schenkerian derivations are simply more accurate than functional explanations.55
Assuming that Schenkers seven Stufen cannot be reduced to
three functional categories, how can we explain the behavior of harmonic progressions? The answer is, in fact, surprisingly easy; according to Schenker, they arise from the process of composing out:
As a consequence of voice-leading constraint[s], all those individual harmonies that arise from the progression of the various voices are forced to
move forward. All the transient harmonies which appear in the course of a
work have their source in the necessities of voice-leading [par. 178, 180].56
62
Explaining Tonality
If a melody is harmonized by
triads, then these triads are
mainly diatonic.
LM
LS
LS
63
Figure 1.28. Rectification of Phrygian II. Adapted from Schenker, Five graphic
Analyses, No. 5, Chopin, tude in C Minor, Op. 10, no. 12.
64
Explaining Tonality
65
Quine adds that it is the tension between the scientists laws and his
own breaches of them that powers the engines of science and makes
it forge ahead.67 Given that Schenker left us with an empirically
testable theory of functional monotonality, our next job is to find the
anomalies that it surely contains; if we are able to fix them up, then
we can keep the engines of music theory firing on all cylinders.
67
Conceptual Origins
As mentioned above, Schenkers thinking about functional tonality
is dominated by the basic idea that complex tonal progressions can
be explained as transformations of simple tonal prototypes. For him,
68
Explaining Tonality
69
70
Explaining Tonality
71
Figure 2.2. The non-recursive nature of Fuxian species counterpoint. From Fux,
The Study of Counterpoint, Figs. 11, 36, 57, 76.
of the same issues arise in mm. 45 of figure 2.2c. But the problems
are even more acute in figure 2.2d. Here, the string of suspensions is
created by displacing the counterpoint over the cantus firmus. If we
try to normalize this displacement, then the resulting First Species
prototype consistently violates the law prohibiting parallel perfect
fifths (c.f., mm. 37).
Whatever their similarities, it seems that Fuxs concept of
species counterpoint and Schenkers system of prototypes, transformations, and levels have quite different goals. Whereas Fux used
his cantus firmi to illustrate a well-composed melody in each mode,
Schenker used his prototypes to explain the general principles of
72
Explaining Tonality
Prototypes
For anyone concerned with the explanatory scope of Schenkerian
theory, it is important to reconsider the various covering laws
mentioned in chapter 1. In very general terms, these laws cover six
areas: 1) how individual lines move and reach closure; 2) how
polyphonic lines move in relation to one another; 3) how unstable
tones behave in relation to stable tones; 4) how stable harmonies
are distinguished from unstable harmonies; 5) how successive harmonies are arranged to create typical functional progressions; and
6) how chromatic harmonies arise in functional tonal contexts. As
such, these laws seem to be necessary and sufficient for explaining
tonal relations. Within each domain, we classified these laws in
several ways. On the one hand, we distinguished main laws from
subordinate laws: the former explain how melodies normatively
behave, whereas the latter explain significant exceptions to that
norm. On the other hand, we distinguished local laws from global
laws; the former explain how one note moves to the next, whereas
the latter explain how the melody moves as a whole.
The great advantage of classifying the covering laws in this way
is that it allows us to structure our knowledge about tonal music; this
structure becomes very important when we reformulate our laws as
prototypes, transformations, and levels. As we saw in chapter 1,
Schenker believed that, locally, melodies mainly move by step and,
globally, they are maximally closed if they begin on 8, 5 , or 3 and
end 2 1. Similarly, he acknowledged that contrapuntal lines tend to
move in contrary motion or in parallel thirds, sixths, and tenths and
73
Figure 2.3. Schenkerian Urstze in C Major. Adapted from Schenker, Der freie
Satz, Figs. 9, 10, 11.
74
Explaining Tonality
75
76
Explaining Tonality
Transformations
So far, we have seen that Schenkers prototypes summarize the main
laws of tonal voice leading and harmony in an optimally compact
way. They are the simplest possible expressions of a given key. But
we also know from chapter 1 that these particular laws do not
explain every aspect of functional tonality; on the contrary, we also
introduced a number of subordinate laws to cover deviations from
these norms. Among other things, these exceptions allow us to
explain why leaps can occur in melodic lines, why melodic lines can
contain a whole host of dissonances and not just the simple passing
tone, why functional progressions can include harmonies other
than I and V, and why these progressions can contain a variety of
77
78
Explaining Tonality
Domain
Schenkers Discussion
Repetition
(Wiederholung)
Single line
Single harmony
Register transfer
(Hohelegung, Tieferlegung,
Koppelung)
Single line
Single harmony
Arpeggiation
(Brechung)
Single line
Single harmony
Unfolding
(Ausfaltung)
Multiple lines
Single harmony
Voice exchange
(Stimmtausch)
Multiple lines
Single harmony
Reaching over
(Ubergreifen)
Multiple lines
Multiple harmonies
voices (see figure 2.4f). Here the soprano E in the first Stufe
becomes the alto E in the second Stufe, while the alto C in the first
Stufe becomes the soprano C in the second. The final transformation, reaching over (bergreifen), seems to combine unfolding and
voice exchange; as shown in figure 2.4g, the soprano and alto E/C
of the first tonic Stufe are horizontalized, and then the soprano
E connects with the alto D of the second Stufe and the alto C
connects with the soprano F of the second Stufe.
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Explaining Tonality
Domain
Schenkers Discussion
Neighbor motion
(Nebennote)
Single line
Linear progression
(Zug)
Single line
Multiple lines
Multiple harmonies
Motion to an inner
voice
Multiple lines
Multiple harmonies
81
Domain
Schenkers Discussion
Harmonize
Single harmony
Single/Multiple lines
Addition
Single tone
Single/Multiple lines
Mixture
(Mischung,
Phrygische II)
Single harmony
Single/Multiple lines
Tonicization
(Tonikalisierung)
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Explaining Tonality
Domain
Schenkers Discussion
Single line
Single/Multiple lines
or reorders tones that have already been generated (see figure 2.7a,
Reordering transformations). These new transformations cannot
normally be used recursively, though they can be used at early
stages in the generative process. The first of these is known as
deletion. Schenker clearly believed that the effect of a particular
tone can sometimes be felt, even though this tone is not actually
present in the score (see figure 2.7b). He described these virtual or
deleted tones under the rubric of substitution (Vertretung); this
more general idea suggests that particular notes do not behave
exactly as they appear and can therefore by replaced by other
notes. Schenker normally placed such implied notes in parentheses in his graphs.25 The second transformation is displacement and
it shifts tones from one point to another (see figure 2.7c).26
Schenker referred to these tones as displaced or inauthentic intervals (Die uneigentliche Intervalle) and notated them with a diagonal
line. As we noted in chapter 1, displacements can be applied to
non-harmonic, as well as harmonic tones.
Now that we have surveyed Schenkers list of transformations,
we are still left with a couple of nagging questions: why, in fact,
should we suppose that this list is complete and why should we
suppose that this list of transformations is powerful enough to
generate all and only all tonal pieces? In answering these questions,
it is important to remember that Schenkers transformations are
intimately related to the subordinate laws of tonal voice leading
and harmony outlined in chapter 1; the list of transformations is
83
simply as comprehensive as this body of covering laws. For example, register transfer, arpeggiation, unfolding, voice exchange, and
reaching over satisfy the subordinate law that melodic leaps arise
when the melody shifts from one harmonic tone to another or from
one polyphonic voice to another. These transformations account
for every possible way in which a single line can be created from
two polyphonic voices.27 Similarly, neighbor motion, linear progression, motion to and from inner voice, represent the only ways to fill
in the space between horizontalized harmonic tones. When combined with displacement, these transformations can generate the
full range of non-harmonic tones, ranging from suspensions and
anticipations to appoggiaturas, cambiatas, and other more exotic
phenomena. Finally, Schenkers arsenal of harmonizing transformations conform nicely with the general laws covering the behavior of
diatonic and chromatic harmonies; they allow us to generate not
only the entire range of diatonic chord progressions, but also the
full array of chromaticisms.
Levels
Besides proposing that any complex tonal surface can be explained
as a composing out of some simple progression, The Recursive
Model also presumes that whenever a given progression is
expanded by the recursive application of a given transformation,
the resulting progression conforms to the same laws of voice leading and harmony as the starting progression. To quote from Der freie
Satz, The principles of voice-leading, organically anchored, remain
the same in background, middleground, and foreground, even when
they undergo transformations. In them the motto of my work is
embodied, semper idem sed non eodem modo.28 According to our
classification of laws given in chapter 1, it is only the local laws
that are preserved from one level to the next: these local laws guarantee that melodic motion will mostly move by step, that contrapuntal lines will not include parallel perfect octaves or fifths
between successive harmonic tones, that harmonic progressions
will mostly be triadic, diatonic, and follow the basic law of harmonic closure. It is important to mention, however, that Schenker
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Explaining Tonality
85
Figure 2.8. Composing out.
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Explaining Tonality
any parallel perfect octaves and fifths, and it contains lines that
converge on the tonic 7 1 and 2 1 .
Although figure 2.8 illustrates several distinct stages of transformation, it marks a significant point in the generative process.
Schenker referred to this stage as the deep, or first-level, middleground. In part 2 of Der freie Satz, Schenker cataloged a broad range
of deep-middleground paradigms.29 These are listed in figure 2.9
(Schenkers deep-middleground paradigms). Looking through these
paradigms, it soon becomes clear that the main feature of this level
is to fill in the tone space created by the first two notes of the bass
arpeggiation. For Schenker, the most basic motion involves horizontalizing the opening tonic Stufe to produce the progression
II6VI or IIIIVI, the latter giving rise to what he referred to as
a Terzteiler (third divider).30 But Schenker also supposed that the
87
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Explaining Tonality
89
that it is even the basis of the extended form of the sonata, with
exposition, development, and recapitulation.36
Provocative as they may be, divisions of the upper line do,
however, raise an interesting question: how, in fact, do divided
lines derive from prototypes? Unfortunately, Schenker gave inconsistent answers to this question.37 On certain occasions, he seems
to suggest that the first 2/V belongs to the prototype and that the
subsequent IV progression is front-related to the final I. This
interpretation seems to conform with graphs published in Der freie
Satz, especially figures 21, 2328, 32.7, and 3335. At other times,
however, he intimated that the final 2/V belongs to the prototype.
This alternative implies that the dividing dominant is backrelated to the opening I. Such a view seems more consistent with
the analyses presented in Fnf Urlinie-Tafeln, such as his sketch of
Bachs setting of the chorale Ich bins, ich sollte bssen from the
St. Matthew Passion.
If we accept the claim that prototypes summarize the main laws
of tonal voice leading and harmony, then the latter response seems
preferable to the former. In particular, we know that one of the
main goals of the prototype is to explain why a given piece closes in
the tonic. It is for this reason that the upper line descends 2 1, the
alto line ascends 7 1, and the bass descends VI. Unfortunately,
the front-related prolongation of the final I advocated by Schenker
in Der freie Satz seems to obscure the connection between the background dominant and the final tonic. Figure 2.11 (Derivation of
divided Urlinien) shows how we might derive a divided upper line
in the manner implied by his sketch of the Bach Chorale Ich bins,
ich sollte bssen. First, the headtone is repeated; second, the opening repeated tone is harmonized with a tonic Stufe; third, this
derived tonic is arpeggiated in the bass; and, fourth, the new bass
tone G is harmonized with a new dominant Stufe.
Besides adding intermediate Stufen and divisions of the upper
line, the deep middleground is also the source of other transformations, though they appear at a slightly later stage of generation. For
example, Schenker allowed the headtone to be composed out by
preceding or front-related material, provided this material ascends
onto the headnote. He referred to this as a preliminary ascent
(Anstieg). Such ascents can derive from an ascending register
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Explaining Tonality
91
Fallout
The preceding sections have shown that, according to Schenkerian
theory, any complete, continuous, functional monotonal piece can
be generated from a single prototype by the recursive application of
certain transformations. As shown in figure 2.12 (The explanatory
scope of Schenkerian theory), this idea expands the scope of traditional tonal theory not only by showing how line and chord interact
with one another, but also how they do so both locally and globally.
However, given the complexity of most functional monotonal
pieces, we have every reason to suppose that there may be more
than one way to derive a particular surface from a given prototype,
provided that each derivational scheme follows the prescribed laws.
In practice, however, it is clear that Schenker endorsed some derivations and not others. Our next job is to find suitable criteria for making such a choice. Why, in fact, are some readings deemed preferable
to others?
Unfortunately, this question is not an easy one to answer.
Certainly, there is no magic formula. When pressed, Schenker
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Explaining Tonality
and his disciples generally throw their hands in the air and insist
that analysis is a creative not a scientific activity; they vehemently deny that it can be reduced to any sort of algorithm.42 Yet,
in actuality, Schenker did leave us with a few tantalizing clues. In
particular, his sketches show that he put a premium on analyses in
which the same patterns of derivation appear not only at the same
level of transformation, but also between different levels. This
point was clearly made by Milton Babbitt some forty years ago:
Schenkerian theory of tonality, in its structure of nested transformations so
strikingly similar to transformational grammars in linguistics, provides rules
of transformation in proceeding synthetically through levels of composition.
Since many of the transformational rules are level invariant, parallelism of
transformation often plays an explanatory role in the context of the theory
(and, apparently, an implicitly normative one in Schenkers own writing).43
93
94
Figure 2.13. Schenkers sketch of The Representation of Chaos from Haydns Creation. From Schenker, The Masterwork in Music
2, pp. 1023.
95
96
Explaining Tonality
97
98
Explaining Tonality
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Explaining Tonality
area: the treatment of parallel perfect octaves and fifths. To understand the source of these contradictions, it is important to remember
that tonal voice leading is founded on the notion that contrapuntal
lines tend to move in contrary motion or in parallel thirds and
sixths. In strict counterpoint, if a given pair of lines moves in the
same direction, then they can never produce parallel perfect octaves
and fifths between successive notes. But in functional monotonality, a given pair of voices can contain parallel perfect octaves and
fifths provided that those lines involve doublings and figuration or
combinations of harmonic and non-harmonic tones. This subtle
change from strict counterpoint to functional tonality is an essential component of The Heinrich Maneuver. We can also infer
from Schenkers motto, semper idem sed non eodem modo, that this
principle applies consistently at all structural levels.
At least, that is what we are led to believe. Unfortunately,
Schenker was not always able to preserve the laws of tonal voice
leading from one level to the next; he ran into particular difficulties
maintaining the laws prohibiting parallel perfect intervals. William
Benjamin has described the problem as follows:
[O]n the one hand, [Schenker] accounts for certain foreground events in
terms of the need to get rid of parallel fifths or octaves at a middleground
level; on the other, he justifies certain parallel fifths and octaves in the foreground by noting that they are no longer present once a reduction to the
next-higher level (a middleground) is accomplished.5
101
102
Figure 3.1. Sequences.
a. Bach, French Suite in D Minor, BWV 812, Minuet II, mm. 116
103
Sequences Reconsidered
To shed light on the nature of sequences, we will begin by looking
at some familiar patterns, starting with the one in figure 3.2 (A typical ascending-fifth sequence). This particular phrase has two main
components: a sequence and a cadence. The former consists of pairs
of fifth-related harmonies that are transposed down a third: CG,
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Explaining Tonality
105
106
Explaining Tonality
107
108
Figure 3.5. Deriving ascending-third sequences.
109
110
Explaining Tonality
111
Figure 3.7. Deriving descending 56 sequences.
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Explaining Tonality
Next, figure 3.9d repeats each new member of the alto and tenor
voice; it also displaces them so as to create the pattern
3434343. Finally, in figure 3.9e, this pattern is then harmonized by alternating root and first inversion triads. As in figure 3.5,
a few chromaticisms have been added; these allow us to treat the
6/3 sonorities as applied dominants.
113
Figure 3.9. Deriving ascending 56 sequences.
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Explaining Tonality
115
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Explaining Tonality
Next, the soprano part is elaborated with escape tones (see figure
3.10b) and the resulting line is harmonized by a string of parallel
thirds (see figure 3.10c). Figure 3.10d then harmonizes the soprano
and alto lines exclusively with root chords. Again, this harmonization is the only one possible. Although the third A/F in m. 2
belongs to triads on D and F, the former is impossible because it produces parallel perfect octaves and fifths with the opening tonic
chord. Similarly, when the third A/F leaps to F/D, the latter can be
harmonized only by a triad on B because a triad on D creates parallel perfect octaves and fifths with the preceding F harmony. Notice
how the D harmony II serves as a pre-dominant at the cadence.
Figure 3.11 follows the same strategy, though the double mixture is
created by changing the quality of the triads on B, E, and A from
major to minor.
To sum up, figures 3.33.11 resolve the problems of generating
sequences in two quite different ways. On the one hand, they
overcome the The Top-Down/Bottom-Up Problem by deriving
sequences within the context of a phrase. This move guarantees
that the goal of the sequence is always specified before its surface
features are completely worked out. On the other hand, figures
3.33.11 sidestep The Parallel Problem by deriving the sequence
from parallel motion in the upper voices and not necessarily from
the counterpoint between the outer voices. Not only does this
approach contrast with most conventional accounts of sequences,
but it also confirms the notion that sequences are basically contrapuntal, rather than harmonic in nature. Indeed, by showing that
the bass motion is ultimately controlled by the upper-voice counterpoint, figures 3.33.11 also imply that harmonic function in a
Riemannian sense emerges from contrapuntal motion. This point is
evident both inside the sequence, where functionally related harmonies derive from parallel step motion, and at the cadence, where
the penultimate dominant chord converges on the final tonic, with
the soprano descending 2 1, the alto ascending 7 1, and the predominant chord converges on the dominant chord, with 4 and 6
both moving to 5. These derivations even suggest that interesting
connections can be found between sequences and pedals. But this
contrapuntal view of the sequence begs its own set of questions: to
what extent can we find precursors of sequences in traditional
117
118
Figure 3.12. Fuxs prototypical cantus firmi.
Figure 3.13. Typical two-voice counterpoint in First Species. From Fux, The
Study of Counterpoint, Fig. 22.
119
Figure 3.14. Typical two-voice counterpoints in Fourth Species. From Fux, The
Study of Counterpoint, Figs. 73, 74.
firmus. Fux himself offered some intriguing examples in his discussion of First Species in three voices: instead of recycling one of the
cantus firmi from figure 3.12, he introduced some new prototypes in
which the lowest voice simply ascends by step from C through D, E,
and F to G, before ending back on C (see figure 3.15, Fuxs threevoice prototypes). The first prototype (figure 3.15a) has three descending thirds between the upper parts, whereas the second (figure
3.15b) has three ascending thirds between the lowest voices. In
both of these cases, the soprano essentially moves in contrary motion
with the bass. It seems very likely that Schenker had these prototypes in mind when he showed how Urstze are usually transformed
at the deep middleground.10 Similar examples are shown in figure
3.16 (Typical three-voice counterpoints in Fourth Species). Figure
3.16a is interesting for a couple reasons. In the first place, Fux harmonized the chain or 76 suspensions in the upper-voice parallels
at the end of the passage with a sequential bass line FCDAD.
For another, he included a pair of 76 suspensions against the
repeated tone G in the bass in mm. 34. In his text, Fux singled out
this passage, noting that the bass can be extended to create a pedal
120
Figure 3.15. Fuxs three-voice prototypes. From Fux, The Study of Counterpoint,
Figs. 91, 92.
Figure 3.16. Typical three-voice counterpoints in Fourth Species. From Fux, The
Study of Counterpoint, Figs. 141, 142.
121
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Explaining Tonality
Figure 3.17. Parallel motion in mixed species with three and four voices.
a. From Fux, The Study of Counterpoint, Fig. 204.
123
Figure 3.18. Parallel linear progressions within a single Stufe. From Schenker,
Der freie Satz, Fig. 97.2.
each other.15 This crucial idea fits with our observation that the
soprano and alto parts in figure 3.3 make contrapuntal sense in
their own right.
Matters become more complex when Schenker shifted his
attention from the purely intervallic world of strict counterpoint to
the triadic world of functional monotonality. Now the stepwise parallel strings are constrained by the underlying harmonic motion of
the music. Schenker took up this particular issue with a vengeance
in his discussion of parallel linear progression in par. 22426 of Der
freie Satz.16 In fact, these paragraphs appear in a general discussion
of the various ways in which two or more linear progressions can be
combined (par. 22129); they mention sequences only in passing.17
The main thrust of Schenkers argument is clear: when two or more
linear progressions are combined, one is primary (or leading) and
the others are secondary. To prioritize one linear progression over
another, Schenker insisted that each progression must be evaluated
according to the order in which it is generated from the background.18 This is readily apparent from figure 3.18 (Parallel linear
progressions within a single Stufe). Here Schenker sketched a short
passage from the third movement of Mozarts Piano Sonata in A
Minor, K. 310. He suggested that the soprano voice leads and the
alto follows, and that both voices move over a pedal A. Given the
essential role that Urlinien play in generating the melodic profile of
a piece, leading progressions are frequently found in the soprano
voice. But, as Schenker was quick to point out, they need not
be confined to this register: once one has decided whether the
leading linear progression is in the lower or in the upper voice, one
must understand the counterpointing progressions as upper or
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Explaining Tonality
125
Figure 3.19. Parallel linear progressions between different Stufen.
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Explaining Tonality
Analytical Implications
Having solved The Parallel Problem and The Top-Down/BottomUp Problem and grounded these solutions in contrapuntal principles and combined linear progressions, let us now consider some
analytical implications. We will try to show how particular sequential patterns can be derived within the context of specific pieces. A
good place to start is with Bachs Little Prelude in C Major, BWV
924. This short through-composed prelude contains two sequences
and a dominant pedal. The first sequence appears in mm. 13 and
consists of the pattern CG, DA, E in the bass. This pattern leads
to a second sequence in mm. 36 that descends ABC; EF
GA; CDEF. The long dominant pedal in mm. 717 eventually
resolves onto a tonic chord at the final cadence in m. 18.
Schenker himself analyzed this prelude on at least two occasions: in Der Tonwille 4 (1923) and again in Der freie Satz.23 His
feadings are conflated in figure 3.20 (Schenkers analysis of Bachs
Little Prelude in C Major, BWV 924). In Der freie Satz, Schenkers
main insight was to suggest that the Urlinie is composed out at the
deep middleground by a pair of unfoldings EC and BD (see figure
3.20ab).24 He suggested that the unfolding EC is inverted contrapuntally to create an upper sixth and that this interval is filled to
create a sixth progression EFGABC. This sixth progression is
then split into two segments, EFG and ABC, with the latter
segment transferred down an octave (see figure 3.20c).25 In Der freie
Satz and Der Tonwille, Schenker derived the first sequence from the
127
Figure 3.20. Schenkers analysis of Bachs Little Prelude in C Major, BWV 924.
Adapted from Schenker, Der Tonwille, vol. 4, and Der freie Satz, Fig. 43.b.
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Explaining Tonality
129
Figure 3.21. Alternative analysis of Bachs Little Prelude in C Major, BWV 924.
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Explaining Tonality
131
the soprano and bass. According to Schenker, the main body of the
sequence, mm. 511, is generated from a string of descending 76
sequences, akin to those found in Fourth Species textures like the
one cited in figure 3.14a. His view of the prototypical voice leading
is given here as figure 3.22c. Notice how Schenker suggested how
the line might continue in mm. 1218; he added the hypothetical
bass tones FEDC in parentheses.
Although this interpretation initially seems plausible, it seems
less satisfactory when we compare figure 3.22 with figure 3.23 (Alternative analysis of Bachs Prelude in C Minor, WTC 1, BWV 847,
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Explaining Tonality
mm. 118). In figure 3.22a, Schenker proposed that mm. 511 project a string of parallel first-inversion chords, separated by applied
chords. For example, the motion from A6 in m. 5 to G6 in m. 6 is
elaborated by an applied harmony that tonicizes G6. But in figure
3.22b these applied chords are reduced out, leaving a succession of
parallel perfect fifths E/AD/GC/FB/E. Figure 3.23 tries to
overcome these problems: it circumvents The Parallel Problem that
mars figure 3.22 and it maintains Schenkers position that
dissonances are ultimately passing in nature. Like figure 3.7 this derivation places the string of parallel tenths in the soprano and bass
133
Figure 3.24. Two analyses of the Prelude from Bachs Partita No. 3 for Solo
Violin. BWU 1006 From Schenker, The Masterwork in Music 1, pp. 4041.
(see figure 3.23a) and, like figure 3.9, it repeats each successive
soprano note (see figure 3.23b). Finally, instead of harmonizing the
repeated tones with root chords, figures 3.23c and 3.23d support
them with inversions; this strategy preserves the prominent parallel
tenths between the outer voices.
One of the most interesting features of Bachs C-minor prelude is
the fact that it uses apparent sequential motion to support an octave
descent in the upper voice. The descent occurs at the middleground
in figure 3.22. But it does raise the possibility that such motions
might occur at even deeper levels. This possibility is clearly shown in
Figure 3.24 (Two analyses of the Prelude from Bachs Partita No. 3
for Solo Violin, BWV 1006).31 Significantly, Schenker supported
the descent 8 1 in the Urlinie with a sequential harmonic progression IV/VIVIV/IV IVV/IIIIVI (see figure 3.24a). However,
figure 3.24b presents an alternative derivation analogous to the one
presented in figure 3.5; in particular, it adapts Schenkers reading to
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Explaining Tonality
135
Figure 3.25. Analysis of Bach, French Suite in D Minor, BWV 812, Minuet II.
136
Explaining Tonality
137
have also noted that sequences and pedals are actually related
phenomena. This point is interesting for a couple of reasons. On
the one hand, it provides further justification for 8- and 5-line
Urstze; instead of thinking of them as containing unsupported
stretches, we can think of them as descending across a pedal. On
the other hand, by showing connections between pedals and
sequences we can explain why both often appear in the same piece.
As we saw in our analysis of Bachs Little Prelude in C, BWV 924,
the underlying counterpoint of both can, in fact, be very close
indeed.
Another important consequence of this solution is that it underscores a fundamental methodological difference between Schenkers
concerns and those of many other music theorists. As mentioned in
the Introduction, there are important differences between describing what happens in a piece of music and explaining why these
things happen or how to make them happen. While many music
theorists are concerned with describing music in bottom-up terms
as a string of surface events, Schenker was intent on explaining
how these surfaces are generated top-down from tonal prototypes.
This dramatic shift in perspective does not mean that conventional
descriptions of sequences are necessarily wrong or that Schenker
himself never took time to describe surface events. Nothing could
be further from the truth. All empiric inquiries must start from
careful descriptions of phenomena and, like any good empiricist,
Schenker often provided the reader with extremely vivid descriptions of how a piece sounds. For example, in his analysis of Bachs
Little Prelude No. 1 in C Major, BWV 924, he described the music
in narrative terms, suggesting that Bach wanted to spin a tale and
create suspense by exquisite tensions and convolutions . . . an insatiable desire for first-rate suspense and intricacy.34 Yet, Schenkers
emphasis on top-down processes underscores that there is more to
understanding music than describing its local effects; describing
pieces and deriving them are simply not the same thing. Derivation
requires something more.
But why should top-down derivations mean more to Schenker
than bottom-up descriptions? Who, in fact, needs to understand
the significance of global prototypes? To answer these questions,
it is helpful to take Schenkers narrative metaphor a bit further.
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139
141
142
Explaining Tonality
143
and different ranges, whereas others stemmed from the fact that
each line was constrained by a growing sense of triadicity. Even
today, the task of explaining mode in polyphony remains one of the
thorniest problems in contemporary music scholarship.
The problems of applying melodic categories to harmonic systems
multiply when we try to use major and minor scales to explain tonal
music written from the Common-Practice Period. Certainly, there has
been no shortage of attempts to do so. Many music theory textbooks
claim that the properties of functional triadic tonality derive from
those of diatonic scales. According to William J. Mitchell, for example, [T]he major and minor scales, which form the basis of this study
of harmony, are diatonic.9 Similarly, Edward Aldwell and Carl
Schachter claim that [f]rom the time of the ancient Greeks through
the nineteenth century, most Western art music was based on diatonic scales.10 Scholarly publications have likewise promoted this
point of view. For example, Pieter van den Toorn has remarked:
Tonality is viewed here in its more restricted sense as a hierarchic system of
pitch relations based on the diatonic major scale (the C scale) . . . the historical development of which can be traced from the beginning of the seventeenth century to the end of the nineteenth.11
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Explaining Tonality
145
Figure 4.1. Scale membership and tonality.
146
Explaining Tonality
147
In other words, diatonic scales are not the basis of functional monotonality; rather they result from composing out triadic prototypes.
But Schenker went further. Since he believed that tonal surfaces could be fully chromatic, Schenker proposed that modal and
exotic effects could be produced by mixture and tonicization. For
example, in the Harmonielehre, he included two charts that demonstrate how various modal inflections can arise from varying degrees
of mixture (see figure 4.2, Schenkers account of mixture).22 Figure
4.2a shows the major system, with its natural third, sixth, and seventh degrees, on the top staff, whereas the minor system, with its
lowered third, sixth, and seventh degrees, appears on the bottom
staff. Between these two extremes, there are six rows, each one corresponding to the six possible combinations of natural and lowered
degrees. In Rows 1, 2 and 3, the lowered third, sixth, and seventh
degrees appear individually: Row 1 illustrates the ascending melodic
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Explaining Tonality
149
able to reject the notion that the modes were systems equivalent to
tonality. To quote him:
In dropping the Dorian, Phrygian, Lydian, and Mixolydian rows we have
apparently reduced the number of possible relationships into which each
tone could enter, to the detriment of its vitality and egoism. However, this
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Explaining Tonality
loss is merely apparent only. The tone itself bravely stood its ground, and it
seems it was the tone itself that forced the artist to leave the door ajar for
relationships of a Mixolydian, Dorian, etc. character, even when the artist
no longer believed in the validity of those systems.25
But once again, he suggested that these phenomena stem not from
alternative systems, but from transformations within the tonal
system:
Skillful artists, still, have always successfully limited the problem of musical
exoticism in practice. They solved it by attempting to make the original
melodies of foreign peoples (often original only because of their imperfections and awkwardness) accessible to us through the refinements of our two
tonal systems. They expressed the foreign character in our major and minor
such superiority in our art, such flexibility in our systems!28
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Explaining Tonality
Figure 4.3. Beethoven, Heiliger Dankegesang, String Quartet, Op. 132. From
Schenker, Harmonielehre, Ex. 47.
major. They result from a trivial chromatic trick, which we use everyday and
on only slight occasion to emphasize the cadence and to underline the F
major character of the composition.33
153
Figure 4.4. Graph of Beethoven, Heiliger Dankegesang, String Quartet, Op. 132.
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Explaining Tonality
Schenker concluded, Thus, the passage in question simply contains a few features of artist archaism, a highly ingenious trick, such
as could befall Chopin occasionally in the midst of his fantastic
improvisations.39
Whereas Schenker drew on the concept of tonicization to
explain the Lydian features of Beethovens Heiliger Dankgesang,
he invoked the notion of mixture to explain the Dorian qualities of
the music shown in figure 4.5 (Brahmss song Vergangen ist mir
155
Figure 4.5. Brahms, Vergangen ist mir Gluck und Heil, Op. 14, no. 6. From
Schenker, Harmonielehre, Ex. 50.
Glck und Heil, Op. 48, no. 6). These qualities are not hard to
spot. The song is written in four-part chorale style and is clearly
centered on the tonic D. Except for a single B triad in m. 23,
Brahms consistently favors the pitch B to its diatonic counterpart.
To emphasize the modal qualities even further, Brahms frequently
uses the lowered leading tone, C.
Nonetheless, Schenker insisted that these modal inflections
stem not from the Dorian system, but from mixtures within the key
of D minor. His analysis is worth quoting at length:
The artist here clearly aims at writing in Dorian mode on D. This results
from the mere fact that he omitted the key signature B in a composition
really written in D minor. Brahms, too, guided by his desire to compose in
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Dorian mode (just like Beethoven, in the previous example, aiming at the
Lydian) strictly avoids any B with one single exception in the second-to-last
measure.40
He continued:
And yet I insist: None of the Bs occurring in this beautiful chorale is to be
derived, as Brahms believed, from the Dorian scale as such; we must substitute, rather the following explanations. The first bars constitute, basically,
the A minor scale; hence the B is justified merely in consideration of that
key. It is true that, with the C of m. 2, the composition changes to D minor.
If in this D minor the IV Stufe is presented with the third B natural rather
than with the diatonic third B, the idea of D minor remains nevertheless
alive in the listener. More than that, we recognize here the very B natural
which we employ in our daily practice in D major/minor (cf. par. 38ff.) and,
to boot, in this same sequence IV3V3, without sacrificing in any way the
identity of the D minor! That Brahms abstains from using the B in the subsequent development (mm. 1013) is simply explained by the motion that
the composition is taking toward C major.41
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Figure 4.6. Graph of Brahms, Vergangen ist mir Glck und Heil, Op. 14, no. 6.
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Unfortunately, Schenker did not support his assertion with extensive analyses of these pieces; of the works listed above, he offered
only a brief sketch of mm. 115 of Schuberts Divertissement lhongroise, Op. 54, in Der freie Satz (Fig. 89.2).
But elsewhere Schenker left us with more concrete clues about
how we might derive specific exotic effects. For example, in a brief
discussion of Chopins Black-Key Etude in G, Op. 10, no. 5, he
gave a hint at how he might explain the works apparently pentatonic surface (see figure 4.7, Chopin, Etude, Op. 10, no. 5). Having
taken exception to Leichentritts scalar explanation, Schenker
159
Figure 4.7. Chopin, Etude, Op. 10, no. 5. From Schenker, The Masterwork in
Music 1, p. 92.
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Figure 4.8. Graph of Debussy, Prlude LAprs-midi dun faune? mm. 3037.
two perfectly good diatonic motives; as soon as the other voices contribute
the C and F to these, the major diatonic mode [Dur-Diatonie] is secured.46
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Explaining Tonality
Figure 4.9. Van den Toorns analysis of the opening of Stravinsky, Petrouchka.
From Van den Toorn, The Music of Igor Stravinsky, Exx. 20 and 21.
pitch content of both passages is exactly the same, even though the
two pieces sound quite different stylistically. This point is all the
more ironic if we recall the two progressions given in figures 4.1c and
4.1d: not only do these two progressions have exactly the same pitchclass content, but these pitches belong to the same octatonic scale,
DEFGABBCD. Whether or not we regard these passages
as genuinely octatonic is a matter for debate, but the two examples
should certainly erode our blind faith in The Myth of Scales.
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Blackburn concludes that the differences are matters of compositional procedure; counterpoint is successive whereas res facta
may be composed simultaneously or successively.59 Nevertheless,
when Tinctoris claimed that res facta has three, four, or more
parts that are mutually bound to each other, he may have implied
that res facta is controlled, not by The Consonance Constraint,
but by The Triadic Constraint. As we saw in chapter 1, this condition allows us to explain why the interval of a fourth can behave as
a consonance or as a dissonance. Tinctoris made this point perfectly
clear in Liber de arte contrapuncti.60 For him, the distinction between
res facta and counterpoint seems to hinge on changing from one
harmonic environment to another, rather than on changing from
successive to simultaneous composition. This suggests that Tinctoris was already aware that the behavior of contrapuntal lines
changes according to the number of lines and the harmonic environment in which they appear.
Adding voices and changing harmonic environments have an
impact on the transition from Prima to Seconda Prattica around
1600. When we think about this topic, it is important to remember
that Fuxian species counterpoint is an abstraction from actual
musical practice; this is as true of sixteenth-century modal polyphony
as it is of eighteenth-century functional tonality. One important
difference is that whereas Fuxian counterpoint confines the preexistent material to a single voice, the cantus firmus, sixteenth-century
modal polyphony usually spreads the preexistent material imitatively throughout the entire texture. But other differences arise
because such music seems to conform to some general principles of
modal harmony. One writer who was fully aware of this point was
Knud Jeppesen; when he adapted Fuxian principles to cover Palestrinas style he included brief discussions of modal harmony.61 Other
scholars agree: for example, as Andrew Haigh has shown, each
mode had its characteristic pattern of distribution of harmonies and
cadences, which differed from all the rest.62 Although Haigh does
not present a picture of modal harmony analogous to the one given
for tonal harmony in figure 1.11, we know that the two pictures
would differ in some important respects. According to The Stufe
Constraint, for example, the behavior of each Stufe is the same in
each key; the only difference between one key and another is that
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explanatory power. Although some will find this concern with parsimony quite liberating, others will find it utterly perverse. After
all, scales and modes are among our most cherished theoretical
concepts. And yet, recent research by music psychologists has also
challenged The Myth of Scales. Mary Louise Serafine, for example, has suggested that scales . . . have figured disproportionately
in music research, chiefly through their influence on the design and
conception of studies.68 David Huron has reached similar conclusions: according to him, In comparison to most of the worlds
music, Western music tends to be highly harmonically oriented.
Where scales provide the basis for predominantly melodic music,
examining the harmonic properties of these scales may be inappropriate.69 It is remarkable that we are only just beginning to realize
the full implications of Schenkers most audacious ideas.
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accepted notions of chord function, claiming that tonic and dominant had become empty shadows of use only to stupid children.4
Similarly, he rejected traditional distinctions between consonance
and dissonance: Nothing is more mysterious than a consonant
chord! Despite all theories, both old and new, we are still not sure,
first, why it is consonant, and second, why the other chords have to
bear the stigma of being dissonant.5 Elsewhere he scoffed at any
prohibition against parallel sonorities and even proposed that
tonality should be fully chromatic and enriched by other scales.6
According to him, There is no theory. You simply have to listen.
Pleasure is the law.7
When viewed against the backdrop of nineteenth-century tonal
theory, then, Debussys music seems to defy explanation; it is hardly
surprising that contemporary theorists were able only to catalog
and classify each anomaly. But for Schenkerians, the situation is
rather different. Since Schenker explained similar anomalies in the
music by composers of the Common-Practice Period, the main
issue is to decide whether the deviant aspects of Debussys music are
matters of degree or of kind.8 And since we cannot be sure when
Schenkerian theory ceases to be applicable, we must consider each
piece, case by case. With those thoughts in mind, let us now see
how Schenkerian theory explains many of the anomalies found in
Debussys music.
Few aspects of Debussys music are more striking and more problematic than his fondness for parallel chords. Widely discussed by
his contemporaries, parallel triads and sevenths appear throughout
Debussys music, and may even extend for considerable periods of
time. Debussy was not, however, the first composer to indulge in
such practices; on the contrary, we can find examples of the same
phenomenon in various works from the Common-Practice Period.
A particularly good example comes from Chopins Mazurka Op. 30,
no. 4 (see figure 5.1a, Parallel dominant seventh chords). From a
conventional standpoint, this passage is extremely problematic
because it projects a string a parallel dominant seventh chords;
such strings do not normally occur in functional contexts. Yet,
Schenker thought that the passage could be explained as a string of
implied suspensions. His sketch from Der freie Satz, given here as
figure 5.1b, derives the chain of parallel sevenths from an underlying
174
Figure 5.1. Parallel dominant seventh chords.
a. Chopin, Mazurka, Op. 30 no. 4
175
176
Figure 5.2. Free dissonances.
a. Bach, Prelude in A Minor, BWV 942.
177
Figure 5.2 (continued).
a. Bach, Prelude in A Minor, BWV 942 (continued).
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181
Figure 5.4. Extreme chromaticism. Graph of Reger, Piano Quintet, Op. 64,
mm. 18.
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Explaining Tonality
183
b. Bach, Prelude in C Minor, BWV 999. From Schenker, Der freie Satz , Fig. 152.6.
c. Chopin, Mazurka, Op. 30, no. 2. From Schenker, Der freie Satz, Fig. 152.7.
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interpolations, and, in short, retardations of all kinds. Therein lies the source
of all artistic delaying, from which the creative mind can derive content that
is ever new.27
185
It should be clear from the preceding discussion that, in principle at least, Schenkerian theory has built-in mechanisms for
explaining many anomalies that we typically find in Debussys
music. This is not to say, however, that the theory can necessarily
explain the tonality of every piece by Debussy; but it does mean
that we can determine, case by case, why some of his pieces sometimes sound tonal and sometimes do not. We have also seen that
the explanatory scope of Schenkerian theory is much wider than
many suppose. This point is especially important because tonal
theorists are still debating whether eighteenth- and nineteenthcentury music can actually be explained by a single theory.
Schenker clearly believed that it can. He proposed a comprehensive theory that purports to explain functional monotonal works
from Bach to Brahms. But Gregory Proctor and others think otherwise; they distinguish between two overlapping practices, classical
diatonic tonality, in which chromaticisms arise from the interaction between diatonic scales, and nineteenth-century chromatic
tonality, in which chromaticisms derive from a single chromatic
scale.30
In responding to Proctor, et al., it is important to note that we
have already established a framework for understanding changes in
tonal practice. According to this scheme, tonality is best regarded
as a family of musical languages. These languages conform to the
basic principles that melodies primarily move by step, that they
converge on the tonic at cadences, and that they differentiate
between stable and unstable sonorities. Each language, however,
interprets these principles within a different harmonic environment: strict counterpoint interprets them within an environment
built from consonant and dissonant intervals, modal counterpoint
within an environment built from a limited range of triads, and
functional tonality within an environment built from the full range
of diatonic and chromatic Stufen. Although the practices of tonal
composition clearly changed between the eighteenth and nineteenth centuries, it is unclear that they exist within yet another
harmonic environment. Certainly, nineteenth-century composers
experimented with the principles of directional and interlocking
tonality, but these practices challenge the notion of monotonality
and not principles of functionality, at least as Schenker explained
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191
can see these connections at the start of the song. After Debussy
has introduced the sigh figure in mm. 16, he ends the voice part
with the descent CBB (mm. 79). This descent not only
implies that mm. 110 are a giant version of the sigh figure, but it
also anticipates the downward spiral of the chromatic motive. This
possibility becomes clearer in mm. 2223, when the piano part
descends from C through B to A. And, when the chromatic
motive eventually appears on C, it descends first to A (mm. 28,
30, and 32) and then to A (mm. 3334). The arrival onto A is
important because it gives rise to the common-tone progression in
mm. 3645. It subsequently resolves down by step through G to F
in m. 45, eventually reaching E in m. 48. In other words, the gradual transformation of the sigh figure into the chromatic motive
inscribes an overall melodic descent from C, through B and A
to A and from A through G and F to E. This process is summarized in figure 5.10 (Evolution of the sigh figure in Cest lextase
langoureuse).
The significance of this point becomes even clearer when we
compare figure 5.10 with the Schenkerian graph given in figure 5.11
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b. Motive Y.
counts. For one thing, the piano includes a variant of the chromatic
line that rises from B, through C, D and D, before resolving down
from E to D. This gesture becomes important later in the song.
For another, Debussy captures the image of a tomb in mm. 78 by
plumbing the depths of the vocal register. By the end of the quatrain, however, the music moves from G to the dominant D; this
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197
This chord prepares for the second half of the final sestet (mm.
3045). Starting in m. 30, Debussy shifts the direction of the harmony yet again by recalling the opening arpeggiated figure this
time transposed into the context of C major (see figure 5.15a,
Graph of La mort des amants). Unlike the opening, however, he
omits the chromatic gesture entirely and immediately transposes
the arpeggiated figure into the context of E major. Nevertheless, in
m. 38, he returns to A7 for the word ranimer and again in m. 41
for the last line of text. This last recollection finally leads to an
emphatic cadence in the tonic. To reinforce the sense of closure,
Debussy even accompanies the final line of the sonnetLes
miroirs ternis et les flammes morteswith a descending chromatic
line. This line mirrors the rising lines in mm. 12 and 1318 (see
figures 5.15b-d). Debussy rounds off the song with a short coda for
the piano; we hear our last statements of the arpeggiated figure and
chromatic gesture over a tonic pedal.
So far, we have seen how Debussy managed to articulate the
subtle subdivisions in Baudelaires text, but we are still left to see
how he managed to convey its pessimistic message that true satisfaction is something that cannot be achieved in the present.
Whereas Debussy created the sense of ennui in Cest lextase langoureuse by initiating the long chromatic descent in the upper
line but by failing to coordinate melodic and harmonic closure at
the end, he produced similar effects in La mort des amants by the
use of incomplete progressions and parenthetical passages/interpolations. These points are readily apparent in figure 5.16 (Global
view of La mort des amants), a Schenkerian reading of the entire
song. This sketch highlights the fact that the song opens with an
auxiliary cadence progression V^43%I in G and that the first quatrain subsequently modulates to the dominant. The long chromatic
ascent in the lower register from D to B/C in the second quatrain
creates a sense of sexual tension that seems to require resolution
through a cadence in G in m. 19. But, though the progression arrives
on the expected predominant ii7 in m. 18, the final sestet systematically delays this cadence with one digression after another: in
mm. 1929, Debussy interpolates a passage in E major that conjures
up images of Parsifal and anticipates the Prlude lAprs-midi
dun faune; in mm. 3040 he inserts sequential statements of the
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199
200
Figure 5.15. Debussy, La mort des amants, mm. 3045.
a. Graph of Debussy, La mort des amants, mm. 3042.
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1885, Debussy even gave her a collection of thirteen songs, commonly known as The Vasnier Songbook. But by the time he
returned to Paris for good in 1887, the affair was apparently over;
Marcel Dietschy has even suggested that in 1888, when Debussy
inscribed the copies of the Ariettes oublies to Mme Vasnier, in
grateful homage, he did so as a last farewell to a past love.40
203
Figure 5.17. Prolonged dominant-seventh chords.
a. Haydn, Piano Sonata in E-flat Major (Hob. XVI:49), 1st movement, development section. From Schenker, Der freie Satz, Fig. 62.1.
b. Beethoven, Leonore Overture No. 3, Adagio. From Schenker, Der freie Satz, Fig. 62.2.
c. Beethoven, Piano Sonata, Op. 81a, 1st movement, development section. From
Schenker, Der freie Satz, Fig. 62.4.
d. Bach, Prelude in C Major, WTC I, m. 24ff. From Schenker, Der freie Satz, Fig. 62.5.
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Laufer adds, rather pessimistically, If there is no technically consistent, non-speculative basis, then anything goes, and likewise
nothing.48
We can respond to these arguments in several ways. To begin
with, Morgan exaggerates the contradictory nature of Schenkers
work. His first contradiction is, in fact, more apparent than real. In
chapter 1 we saw that, through The Stufe Constraint, Schenkerian
theory actually relies less on distinguishing consonances from dissonances and more on distinguishing harmonic tones from nonharmonic tones. This allows for dissonant harmonic tones (for
example, VII Stufen in major keys and II Stufen in minor keys) as
well as consonant non-harmonic tones (e.g, 56 motions). More to
the point, however, it is also clear from the sketches in figure 5.17
that dominant-seventh chords can be prolonged in some ways, but
not in others. If we classify Schenkerian transformations along the
lines shown in chapter 2, then it seems that dominant-seventh
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207
These are the very problems that Laufer touches on in the passage cited earlier. In particular, he notes that, whereas functional
music prolongs triads, twentieth-century pieces may derive from
other contextually derived harmonies. He also insists that without
a clear distinction between consonance and dissonance, it is hard
to define any general principles governing contrapuntal motion.
And Laufer doubts that pieces can be generated from any generalizable prototypes. But whereas Laufer does not indicate how we
might overcome these problems, chapters 1 and 2 offer some basic
guidelines. Our first step might be to isolate certain specific repertories of Post-Tonal music. These repertories should be aurally
distinct from one another. Our next step might be to look for general laws that cover the local and global behavior of the constituent
lines and chords. Ideally, these laws will cover six areas: 1) how
individual lines move and reach closure; 2) how polyphonic lines
move in relation to one another, 3) how unstable tones behave
in relation to stable tones; 4) how stable harmonies are distinguished from unstable harmonies; 5) how successive harmonies are
arranged to create idiomatic progressions; and 6) how stable harmonies are inflected coloristically. Just as the precise laws of step
motion, melodic convergence, and vertical alignment must be
modified when we shift from the intervallic world of strict counterpoint to the triadic world of functional monotonality, so they must
be different when we shift to some new non-triadic context. These
new harmonic environments might be based on seventh chords,
quartal harmonies, or even more complex pitch-class sets. This
point is shown in figure 5.19 (Functional tonality and twentiethcentury tonal practices).
Once we have discovered appropriate laws of voice leading and
harmony for each repertory, we can try to represent them as a
system of prototypes, transformations, and levels. In some cases, the
prototypes and transformations will look a lot like tonal transformations, but there is no reason to suppose that they will always be
analogous. Nor should we expect that we can necessarily assume
these laws can be reformatted as a recursive and rule preserving system; as we saw in chapter 1, even Fux was unable to formulate the
laws of strict counterpoint in such a fashion. But, while it is premature to speculate about what these new prototypes, transformations,
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and levels will look like, there is no a priori reason why such new
theories cannot be found for many types of twentieth-century
music. To paraphrase Laufer, the resulting theories will not be
Schenkers, but they will still owe much to him.49
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As it happens, Schenker and his followers have set about naturalizing their theory in both ways. Schenker himself picked the
acoustic route; throughout his career, from the Harmonielehre to
Der freie Satz, he connected the principles of tonality to the physical properties of the overtone series. As he explained, [T]herefore
art manifests the principle of the harmonic series in a special way,
one which lets The Chord of Nature shine through.2 In fact, we
find the same basic arguments at the start of Der freie Satz as we
do in the opening of the Harmonielehre, some thirty years earlier.
Fred Lerdahl and Ray Jackendoff, meanwhile, have developed a
theory of pitch prolongation which, though similar to Schenkers,
is purportedly based on listener psychology. According to them, a
successful theory of music provides a formal description of the musical intuitions of a listener who is experienced in a musical idiom.3
Influential as the writings of Schenker and Lerdahl/Jackendoff
may have been, this chapter proposes a rather different way to naturalize Schenkerian theory. Like Lerdahl and Jackendoff, this alternative model takes the psychological tack; unlike them, however, it
places greater emphasis on the relationship between listening and
composing, and on the ways in which we acquire our knowledge
of tonal relationships. This change of focus has important consequences for the testability of the theory; by shifting our attention to
the connections between composition and listening and to the
ways in which musicians gain their expertise, we will inevitably
draw on quite different types of evidence than those offered by
Lerdahl and Jackendoff.
211
212
Figure 6.2. Schenkers derivation of the major system from The Chord of
Nature.
a. Schenker, Harmonielehre, Ex. 18.
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215
Though they aspire to fulfill the same tasks, Lerdahl and Jackendoff
concede that their focus is primarily on musical cognition.
So what aspects of human cognition do Lerdahl and Jackendoff
use to support their theory of tonality? In fact, they mostly borrow
from two quite separate traditions of cognitive psychology. On the
one hand, Lerdahl and Jackendoff base many of their hypotheses on
the principles of Gestalt psychology. They do so for several reasons.
Like Gestalt psychologists, Lerdahl and Jackendoff are keen to treat
perception as a dynamic process; they believe that it relies on the
active, though often unconscious, participation of the person, as
well as on the recognition that our local perceptions are guided by
global concerns.13 Gestalt psychologists also implied that our mental representations of music consist not only of lists of pitches, but
also of abstract relations among them.14 These ideas are clearly crucial to Lerdahl and Jackendoffs work, especially their discussion of
archetypes. On a more specific level, Lerdahl and Jackendoff also
connect many of their preference rules to particular Gestalt principles. For example, they specifically invoke the Law of Prgnanz
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Explaining Tonality
along with the principles of continuity, proximity, similarity, inclusiveness, and closure.15
Principles of Gestalt Psychology
Law of Prgnanz:
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not separate these activities too sharply. For one thing, we have
absolutely no reason to suppose that when expert composers listen
to music, they process their knowledge in different ways than when
they compose. On the contrary, the evidence suggests that expert
listening requires similar mental representations to expert composition.20 For another, although ordinary listeners are unable to comprehend immediately every aspect of an expert composition, such
as Beethovens Eroica symphony, they can still appreciate some of
219
its features; if not, then it is hard to understand why they are able to
recognize and value exceptional feats of musicianship.
In the second case, Lerdahl and Jackendoff focus their thoughts
exclusively on the experienced listener; they pay little or no
attention to explaining how experienced listeners actually acquire
and even refine their knowledge. This omission is most serious
with respect to their claims about the audibility of long-range
tonal motion. Although they seem to attribute the ability to hear
prototypes to all experienced listeners, there is good reason to
suppose that this is not actually the case. Nicholas Cook, for
example, has conducted experiments to show that music students
do not hear tonal closure on a large scale.21 Such a result is hardly
surprising given the fact that expert Schenkerians often disagree
when picking the prototype for a given piece. As Robert West,
Peter Howell, and Ian Cross stress, Lerdahl and Jackendoffs
model may overestimate the perceptual and cognitive propensities
as well as powers of even musically educated listeners. In fact, the
features used to pattern a piece of music on a single hearing may
well differ from those used if the listener is given time to study a
piece.22 To make matters worse, Lerdahl and Jackendoff make
no effort to interface their theory with traditional approaches to
analysis and theory; they completely ignore the idea that their
theory should be coherent with what we already know from these
areas.
To negotiate these problems, it is useful to reconsider the topics
discussed in chapters 1 and 2. As we saw earlier, Schenkerian theory can be boiled down to four basic claims. First, the laws of strict
counterpoint must be transformed to explain the behavior of tonal
voice leading. This is The Heinrich Maneuver. Second, the laws
of tonal voice leading and harmony are interdependent. We
referred to this as The Complementarity Principle. Third, any
complete, continuous tonal progression can be derived recursively
from a simple string of essential lines and essential harmonies using
a finite set of transformations. We referred to this as The Recursive
Model. Fourth, any complete, continuous, monotonal composition
can be derived recursively from a single prototypical string of essential lines and essential harmonies, using a finite set of transformations. This is The Global Paradigm.
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223
triad as more stable than others, and that unstable tones generally
move by step onto stable or anchored tones.25 Leonard Meyer,
Eugene Narmour, and others have also shown that listeners expect
leaps to be followed by step motions, though their explanations of
gap filling is not immune from criticism.26 As Diana Deutsch has
shown, pitch proximity may be an advantage in processing efficiency; this suggests that it might be tied to the Gestalt Law of
proximity.27 The issue of melodic closure is less clear cut. Burton
Rosner and Eugene Narmour have shown that 2 1 does indeed
produce strong melodic closure, but they also note that listeners
showed no closure preference for a VI progression with scale steps
28
2 1 over those with 7 1 or 2 3. This result essentially confirms
the closure rules for other polyphonic voices, but it does not give a
preference to 2 1 in the soprano. To account for the latter, we must
remember that, globally, well-formed melodies tend to rise before
falling to a cadence. Although this is an important aspect of what
Schenker referred to as melodic fluency, there does not seem to be
any experimental evidence to support this view.
Similarly, we can find some support for the laws of relative
motion. In chapter 1, we noted that at points of maximum closure,
the soprano voice normally ends on 2 1, the alto ends 7 1, the
bass 5 1, and the tenor 5 3; that the soprano and bass essentially move in contrary motion or parallel thirds and sixths; that
parallel perfect octaves and fifths do not occur when two essential
lines move in the same direction; and that, if parallel perfect
octaves and fifths do occur, then they arise from doubling and
figuration or from combinations of non-harmonic tones. As mentioned above, Rosner and Narmour have effectively confirmed the
first law, even though they do not give preference for 2 1 as a
soprano. Unfortunately, less attention has been paid to the predominance of contrary motion and the lack of parallel perfect octaves
and fifths. There does not appear to be a systematic study of whether
people hear permissible parallel octaves and fifths as our laws
suggest.
In chapter 1, we also suggested that melodies generally move
between triadic tones and that if non-harmonic tones occur, then
they move by step between harmonic tones or by leap between contrapuntal lines. The discussion of unstable tones by Krumhansl,
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233
own area of interest, so they take for granted any received knowledge they might have from these other disciplines. As problems are
solved in one area, others will appear; gradually music scholarship
as a whole becomes transformed into something new. In this respect,
our knowledge of music theory is part of a more general fabric of
knowledge that Quine and Ullian refer to as The Web of Belief.60
As we propose the chart given in figure 6.7, it is important to
stress that, although music theory is placed at the center, this does
not mean that it necessarily has any epistemic priority over the
other areas of inquiry. On the contrary, music theory appears at the
center simply because it happens to be that area of inquiry that I
have chosen to discuss in this particular book; scholars working in
other areas will place their own discipline center stage and the
other disciplines on the peripheries. This is as it should be. After
all, figure 6.7 does not present a hierarchy of knowledge about
music; it simply shows a network in which ideas from one domain
flow to another. This last point is important at the present time
because scholars are constantly trying to prioritize one area of
research over another. On the one hand, many historians criticize
music theorists for ignoring the cultural context of the works they
analyze; they insist that unless such knowledge is taken into account,
music cannot be understood adequately. On the other hand, many
music theorists criticize historical musicologists for offering superficial analyses of musical compositions; they insist that there is more
to understanding a piece than understanding the cultural circumstances from which it came.61 By presenting figure 6.7 as a network
rather than a hierarchy, I claim that there is no a priori reason for
prioritizing one domain over another. Each discipline can offer
valuable insights about the nature of music; we should all learn to
respect these differences and look for constructive ways for allowing scholars working in one domain to communicate with those
working in another.
Conclusion
In his well-known essay The Americanization of Heinrich
Schenker, William Rothstein claims that, however they choose to
regard their work, Schenkerians must eventually meet the challenge posed by the scientific theorists.1 During the course of this
book, we have seen one way in which this challenge might be met.
We have seen that Schenkerian theory is explanatory insofar as it
explains why certain notes appear in particular tonal contexts, why
these notes behave in some ways and not in others, and how we can
actually generate specific tonal relationships. It does so by invoking
an appropriate set of concepts and covering laws, which it represents in procedural form as a system of prototypes, transformations,
and levels. When picking one analysis over another, Schenkerians
are guided by some of the same criteria as scholars working in the
natural and social sciences, namely, they are motivated by a desire for
accuracy, scope, consistency, simplicity, fruitfulness, and coherence.
Besides accepting Rothsteins challenge, this book has responded
to some of the other issues outlined in the Preface. We have avoided
the cabalistic image of Schenker abhorred by Dunsby by showing
how Schenkerian theory is based on explicit laws of tonal voice leading and harmony. Since these laws are testable intersubjectively, we
can not only reject Schenkers appeal to magic numbers or other
mystical forces, but we can also counter the charge of circularity as
leveled by Narmour. As mentioned earlier, the explanatory laws
underpinning Schenkerian theory were actually discovered empirically in the Harmonielehre and Kontrapunkt I, long before Schenker
formulated his concept of a single tonal prototype. By the same
token, we have eliminated some of the inconsistencies discussed by
Benjamin. What is most remarkable is that we did so by using some
of Schenkers own ideas. This does not mean that we have necessarily resolved every anomaly in Schenkers work, but it does mean that
we have overcome one particularly pressing problem.
In addition to shoring up the methodological foundations of
Schenkerian theory, we have also clarified several other areas of
Conclusion
235
236
Explaining Tonality
Conclusion
237
238
Explaining Tonality
Notes
Preface
1. For detailed lists of Schenkers works and works about Schenker, see
David Beach, A Schenker Bibliography, Journal of Music Theory 13, no. 1
(1969): 237; David Beach, A Schenker Bibliography 19691979, Journal of
Music Theory 23, no. 2 (1979): 27586; David Beach, The Current State of
Schenkerian Research, Acta Musicologica 57 (1985): 275387; Larry Laskowski,
Heinrich Schenker: An Annotated Index to His Analyses of Musical Works (New
York: Pendragon Press, 1978); Nicholas Rast, A Checklist of Essays and Reviews
by Heinrich Schenker, Music Analysis 7, no. 2 (1988): 12132; Benjamin McKay
Ayotte, Heinrich Schenker: A Guide to Research (New York: Routledge, 2004);
and David Carson Berry, A Topical Guide to Schenkerian Literature: An Annotated
Bibliography with Indices (New York: Pendragon, 2004).
2. Heinrich Schenker, Neue musicalische Theorien und Phantasien, vol. 1:
Harmonielehre (Stuttgart and Berlin: Cotta, 1906); in English as Harmony, ed.
Oswald Jonas and trans. Elisabeth Mann Borgese (Chicago: University of
Chicago Press, 1954).
3. Heinrich Schenker, Neue musicalische Theorien und Phantasien, vol. 2:
Kontrapunkt I (Stuttgart and Berlin: Cotta, 1910); Kontrapunkt II (Vienna: Universal, 1922); in English as Counterpoint I and II, ed. John Rothgeb and trans.
John Rothgeb and Jrgen Thym (New York: Schirmer, 1987), corrected ed.
(Ann Arbor, MI: Musicalia Press, 2001).
4. Heinrich Schenker, Neue musicalische Theorien und Phantasien, vol. 3:
Der freie Satz (Vienna: Universal, 1935), 2nd ed. (Vienna: Universal, 1956); in
English as Free Composition, ed. and trans. Ernst Oster (New York: Longman,
1979).
5. Heinrich Schenker, Der Tonwille, vols. 110 (Vienna: A. Guttman,
192124); in English as Der Tonwille Pamphlets in Witness of the Immutable Laws of
Music, 5 vols., vol. 1 ed. William Drabkin (Oxford: Oxford University Press,
2004); Das Meisterwerk in der Musik, vols. 13 (Munich: Drei Masken Verlag,
1925, 1926, 1930); in English as The Masterwork in Music 13, ed. William
Drabkin (Cambridge: Cambridge University Press, 1994, 1996, 1999); and Fnf
Urlinie-Tafeln (Vienna: Universal, 1932), in English as Five Graphic Analyses, ed.
Felix Salzer (New York: Dover, 1969).
6. Milton Babbitt, The Structure and Function of Music Theory, College
Music Symposium 5 (1965): 4960; Allan Keiler, The Syntax of Prolongation I,
In Theory Only 3, no. 5 (1977): 327; Allan Keiler, The Empiricist Illusion:
Narmours Beyond Schenkerism, Perspectves of New Music (1978): 16195; Allan
Keiler, On Some Properties of Schenkers Pitch Derivations, Music Perception 1,
240
no. 2 (198384): 200228; Fred Lerdahl and Ray Jackendoff, A Generative Theory
of Tonal Music (Cambridge, MA: MIT Press, 1983).
7. For example, see Michael Kassler, Explication of the Middleground of
Schenkers Theory of Tonality, Miscellanea Musicologica 9 (1977): 7281; James
Snell, Design for a Formal System for Deriving Tonal Music (Masters thesis,
SUNY Binghamton, 1979); and Stephen Smoliar, A Computer Aid for
Schenkerian Analysis, Computer Music Journal 4 (1980): 4159.
8. Jonathan Dunsby, Recent Schenker: The Poetic Power of Intelligent
Calculation (or the Emperors Second Set of New Clothes), Music Analysis 18,
no. 2 (1999): 263.
9. William Benjamin, Schenkers Theory and the Future of Music, Journal
of Music Theory, 25, no. 1 (1981): 163.
10. William Rothstein, Review: Articles on Schenker and Schenkerian
Theory in The New Grove Dictionary of Music and Musicians, 2nd ed., Journal of
Music Theory 45, no. 1 (2001): 206.
11. See, for example, Matthew Brown, Review: Hedi Siegel ed., Schenker
Studies and Allen Cadwallader ed., Trends in Schenkerian Research, Music Theory
Spectrum 13, no. 2 (1991): 26573.
12. Edward Laufer, Review: Heinrich Schenker, Free Composition (Der freie
Satz), trans. Ernst Oster, Music Theory Spectrum 3 (1981): 161.
13. Laufer, Review: Heinrich Schenker, Free Composition, 15961.
14. Joseph Kerman, Contemplating Music (Cambridge, MA: Harvard University Press, 1985), 85.
15. Felix Salzer, Structural Hearing (New York: Boni, 1952).
16. Eugene Narmour, Beyond Schenkerism (Chicago: University of Chicago
Press, 1977).
17. Schenker, Further Consideration of the Urlinie: I, The Masterwork in
Music I (1925), trans. John Rothgeb, 105.
18. Benjamin, Schenkers Theory and the Future of Music, 160. Benjamin
is not alone is claiming that Schenker graphs can be regarded as music. For
example, to quote Arthur Maisel, Schenker was a superior music theorist
because he grew more and more to think of music as music: the graphs are
musicnot words, not pictures, not anything else. Arthur Maisel, Talent and
Technique: George Gershwins Rhapsody in Blue, in Trends in Schenkerian
Research, ed. Allan Cadwallader (New York: Schirmer, 1990), 69.
19. I am not the only person to hold this view. For example, William
Rothstein distinguishes between notes, which he regards as musical entities
represented in a score, and tones, which he treats as analytical abstractions
inferred from the piece. According to him, The tradition of Schenkerian
graphing has been that only tones, not notes, are shown in graphs, even at foreground levels. See William Rothstein, On Implied Tones, Music Analysis 10,
no. 3 (1991): 295.
20. For an extensive discussion of this point, see Matthew Brown, Debussys
Ibria: Studies in Genesis and Structure (Oxford: Oxford University Press, 2003).
Notes, pp. 26
241
Introduction
1. For a summary of The Classical Theory of Concepts, see two articles by
Edward E. Smith, Concepts and Thought, in The Psychology of Human Understanding, ed. Robert J. Sternberg and Edward E. Smith, 1949 (Cambridge:
Cambridge University Press, 1988); and Concepts and Induction, in Foundations of Cognitive Science, ed. Michael L. Posner, 5025 (Cambridge, MA: MIT
Press, 1989); see also Alvin I. Goldman, Philosophical Applications of Cognitive
Science (Boulder, CO: Westview Press, 1993), 126ff.
2. See Matthew Brown and Douglas J. Dempster, The Scientific Image of
Music Theory, Journal of Music Theory 33 (1989): 65106; and Brown and
Dempster, Evaluating Music Analyses and Theories: Five Perspectives, Journal
of Music Theory 34 (1990): 24779.
3. See Smith, Concepts and Induction, 505ff.
4. Goldman, Philosophical Applications of Cognitive Science, 128.
5. Ibid., 128.
6. See Schenker, Counterpoint II, part 6, chap. 3, par. 17, pp. 23542; and
Free Composition, par. 172, p. 62.
7. For a long discussion of the role concepts play in music theory, see Mark
DeBellis, Music and Conceptualization (Cambridge: Cambridge University Press,
1995).
8. For general accounts of these problems, see John Losee, A Historical
Introduction to the Philosophy of Science, 3rd ed. (Oxford: Oxford University Press,
1993); William Bechtel, Philosophy of Science: An Overview for Cognitive Science
(Hillsdale, NJ: Erlbaum, 1988); Robert Klee, Introduction to the Philosophy of
Science (Oxford: Oxford University Press, 1997); Philip Kitcher, Explanatory
Unification and the Causal Structure of the World, in Scientific Explanation, ed.
Philip Kitcher and Wesley C. Salmon, 410505, Minnesota Studies in the
Philosophy of Science 13 (Minneapolis: University of Minnesota Press, 1989);
Philip Kitcher, The Advancement of Science (Oxford: Oxford University Press,
1993); David Papineau, Philosophy of Science, in The Blackwell Companion to
Philosophy, ed. Nicholas Bunnin and E. P. Tsui-James, 290324 (Oxford: Blackwell, 1996); Wesley Salmon, Four Decades of Scientific Explanation, in Scientific Explanation, ed. Philip Kitcher and Wesley C. Salmon, 3219, Minnesota
Studies in the Philosophy of Science 13 (Minneapolis: University of Minnesota
Press, 1989); Martin Curd and J. A. Cover, Philosophy of Science: The Central
Issues (New York: Norton, 1998).
9. The classic presentation of this problem has been offered by Henry
Kyburg. According to him, we could explain why a sample of salt dissolves by
claiming that it does so because a magician in a funny hat has cast a spell on the
salt. If we assume that all samples of salt hexed by the particular spell dissolve in
water, then this explanation conforms to Hempel and Oppenheims version of
The Covering-Law Model. The snag, of course, is that the magicians spell has
nothing to do with the solubility of salt in water; there must be some way of
242
excluding accounts like this one. For details, see Henry Kyburg, Comment,
Philosophy of Science 35 (1965): 14751.
10. Nelson Goodman, The Problem of Counterfactual Conditionals,
Journal of Philosophy 44 (1947): 11328.
11. To quote Peter Railton, Where the orthodox covering-law account of
explanation propounded by Hempel and others was right has been in claiming
that explanatory practice in the sciences is in a central way law-seeking or nomothetic. Where it went wrong was in interpreting this fact as grounds for saying
that any successful explanation must succeed either in virtue of explicitly invoking covering laws or by implicitly asserting the existence of such laws; Peter
Railton, Probability, Explanation, and Information, Synthese 48 (1981):
24849, cited in Salmon, Four Decades of Scientific Explanation, 162.
12. Carl Hempel and Paul Oppenheim, Studies in the Logic of Explanation,
Philosophy of Science 15 (1948): 13575.
13. For an extensive discussion of the relevance of functional explanations
to music theory, see John Brackett, Philosophy of Science as Philosophy of
Music Theory (Ph.D. diss., University of North Carolina, Chapel Hill, 2003).
The classic defense of historical narratives can be found in Michael Scriven,
Definitions, Explanations, and Theories, in Concepts, Theories, and the MindBody Problem, ed. H. Feigl, M. Scriven, and G. Maxwell, 99195, Minnesota
Studies in the Philosophy of Science 2 (Minneapolis: University of Minnesota
Press, 1958); and Wesley Salmon, Scientific Explanation and the Causal Structure of
the World (Princeton, NJ: Princeton University Press, 1984).
14. See Carl Hempel, The Logic of Functional Explanation, in Aspects
of Scientific Explanation and Other Essays in the Philosophy of Science, 297330
(New York: Free Press, 1965).
15. Sylvain Bromberger, An Approach to Explanation, in Analytic Philosophy, ed. R. J. Butler, 72105 (Oxford: Blackwell, 1968). Brombergers original
argument concerns a flagpole. Imagine a flagpole of height h casts a shadow of
length l. Knowing the length of the shadow, the angle of elevation of the sun
(initial conditions), the laws of light propagation and elementary geometry, we
can deduce the height of the flagpole. Although such an argument is deductively
valid and follows The Covering-Law Model, it does not constitute an explanation because the flagpole causes the shadow and not vice versa. See also Hempel,
Aspects of Scientific Explanation, 42930.
16. For an extensive discussion of the role causality plays in scientific theories,
see Judea Pearl, Causality: Models, Reasoning, and Inference (Cambridge: Cambridge
University Press, 2000), especially the epilogue entitled The Art and Science of
Cause and Effect, 33158. Stathis Psillos gives a nice survey of the philosophical problems posed by the concept of causation in his recent book, Causation and
Explanation (Chesham, Bucks.: Acumen, 2002).
17. W. V. Quine and J. S. Ullian, The Web of Belief (New York: McGraw-Hill,
1978), 87.
18. Richard Feynman, The Character of Physical Law (New York: Modern
Library, 1994), 150.
Notes, pp.1217
243
244
245
43. See Richard Boyd, The Current Status of Scientific Realism, in Scientific Realism, ed. Jarrett Leplin (Berkeley: University of California Press,
1984), 53.
44. For a classic account of Theory Reduction, see Ernst Nagel, The Structure of Science: Problems in the Logic of Scientific Explanation, 2nd ed. (Indianapolis,
IN: Hackett, 1979), 33697.
45. Graham Chapman et al., The Complete Monty Pythons Flying Circus: All
the Words (New York: Pantheon, 1989), 2:11820.
46. Kuhn, The Structure of Scientific Revolutions.
47. Kitcher, Explanatory Unification and the Causal Structure of the
World, 477.
48. Kuhn, Objectivity, Value Judgment, and Theory Choice, 322.
49. According to Feynman, Every theory that you make has to be analyzed
against all possible consequences, to see if it predicts anything else as well.
Feynman, The Character of Physical Law, 32.
50. Kuhn, Objectivity, Value Judgment, and Theory Choice, 322.
51. Although this notion does not appear in this form in the writings of
William of Ockham (ca. 12851347), it can be traced back as far as Aristotle, see
Robert Audi, ed., The Cambridge Dictionary of Philosophy (Cambridge: Cambridge
University Press, 1995), 545.
52. See W. V. Quine, Atoms, in Quiddities: An Intermittently Philosophical
Dictionary (Cambridge, MA: Harvard University Press, 1987), 12.
53. Quine and Ullian, The Web of Belief, 71.
54. See Robert L. Causey, Unity of Science (Dordrecht: D. Reidel, 1977).
55. Salzer, Structural Hearing.
56. Richard Taruskin, Review: Kevin Korsyn, Towards a Poetics of Musical Influence, and Joseph N. Straus, Remaking the Past, Journal of the American
Musicological Society 46 (1993): 125.
Chapter 1
1. Schenker, Harmony, par. 88, p. 159. Used by permission of the University of Chicago Press.
2. For example, in Counterpoint I, he noted, The phenomena of [tonal]
composition, then, are invariably to be understood only as [transformations] the
prolongations of those principles. Schenker, Counterpoint I, introduction, p. 13.
Similarly, at the end of Counterpoint II, he claimed that tonal relationships can
be treated as prolongations of the fundamental laws. Schenker, Counterpoint II,
part 6, introduction, p. 176. For rather different interpretations of this passage,
see Joseph Dubiel, When You Are a Beethoven: Kinds of Rules in Schenkers
Counterpoint, Journal of Music Theory 34 (1990): 291340, esp. 29293; and
Robert Snarrenberg, Schenkers Interpretative Practice (Cambridge: Cambridge
University Press, 1997), 953.
246
247
248
249
Chapter 2
1. Besides Free Composition, Schenker also used this motto starting with
vol. 1 of Der Tonwille (1921) and in each part of Counterpoint II.
2. See Schenker, Free Composition, par. 45, p. 25.
3. See ibid.
4. For example, Schenker claimed that his principles of reduction are
analogous to those traditionally under the rubric of diminution theory, see Free
Composition, par. 49, p. 26.
5. See ibid., par. 28, p. 17.
6. In Harmony, Schenker mainly reduced passages to fairly local prototypes.
Yet, there are times when he was also thinking in wider terms. For example, in
par. 131, he claimed: In the form of established keys we have the same progression of Stufen, albeit at a superior level. For the sake of the construction of content
in a larger sense, the natural element of Stufengang is elevated correspondingly.
Harmony, par. 131, p. 246 (used by permission of the University of Chicago Press).
For a general discussion of Schenkers views, see Matthew Brown, The Diatonic
and the Chromatic in Schenkers Theory of Harmonic Relations, Journal of
Music Theory 30 (1986): 1416; Carl Schachter Analysis by Key: Another Look
at Modulation, Music Analysis 6, no, 3 (1987): 289318; and Rothstein,
Review: Articles on Schenker and Schenkerian Theory in The New Grove
Dictionary of Music and Musicians, 2nd ed., Journal of Music Theory 45, no. 1
(2001): 2089.
7. See also Schenker, Beethoven neunte Sinfonie (Vienna: Universal, 1912),
ed. and trans. John Rothgeb as Beethovens Ninth Symphony (New Haven, CT:
Yale University Press, 1992); and Schenker, ed., Beethoven Piano Sonata, Op. 109
(Vienna: Universal, 1913); Beethoven Piano Sonata, Op. 110 (Vienna: Universal,
1914); Beethoven Piano Sonata, Op. 111 (Vienna: Universal, 1915); Beethoven
Piano Sonata, Op. 101 (Vienna: Universal, 1920). For an excellent general history,
see William Pastille, The Development of the Ursatz in Schenkers Published
Works, in Trends in Schenkerian Research, ed. Allan Cadwallader, 7185 (New
York: Schirmer, 1990); and William Pastille, Heinrich Schenker, Anti-Organicist,
19th-Century Music 8, no. 1 (1984): 3435.
8. Pastille, The Development of the Ursatz, 7476.
9. See Schenker, Free Composition, par. 8, p. 12, and par. 26870, pp. 1078.
10. For example, according to Schachter, Schenker conceives of the fundamental structure as a kind of second-species counterpoint with dissonant passing
tones, rather than as a first-species counterpoint restricted to consonances.
Schachter, A Commentary on Schenkers Free Composition, Journal of Music
Theory 25, no. 1 (1981): 126. More recently, Robert Snarrenberg refers to
Schenkers theory as a second-species model of tonality; see Snarrenberg,
Competing Myths: The American Abandonment of Schenkers Organicism,
in Theory, Analysis and Meaning in Music, ed. Anthony Pople (Cambridge:
Cambridge University Press, 1994), 39, 54.
250
11. See, for example, par. 84 (p. 154) of Schenkers Harmony, entitled The
Lack of Stufen in Strict Counterpoint.
12. Peter Westergaard, An Introduction to Tonal Theory (New York: Norton,
1975), 426n. For a very helpful survey of Westergaards work, see Stephen Peles,
An Introduction to Westergaards Tonal Theory, In Theory Only 13, no. 14
(1997): 7393.
13. Schenker, Free Composition, par. 69, p. 32.
14. For a recent survey of the relevant literature, see David Smyth,
Schenkers Octave Lines Reconsidered, Journal of Music Theory 43, no. 1
(1999): 10133.
15. David Neumeyer, The Urlinie from 8 as a Middleground Phenomenon, In Theory Only 9, no. 56 (1987): 325; David Neumeyer, The Ascending
Urlinie, Journal of Music Theory 31, no. 2 (1988): 271303; and David Neumeyer,
The Three-Part Ursatz, In Theory Only 10 (1987): 329, esp. 3.
16. See Susan Tepping, An Interview with Felix-Eberhard von Cube,
Indiana Theory Review 6 (198283): 77103.
17. The same point can be used to counter Peter Westergaards charge that
3-lines are conceptually superior to 5 - and 8-lines, see An Introduction to Tonal
Theory, 426n.
18. Robert Joseph Lubben, Schenker the Progressive: Analytic Practice in
Der Tonwille, Music Theory Spectrum 15 (1993): 65ff.
19. Eugene Narmour, Beyond Schenkerism (Chicago: University of Chicago
Press, 1977).
20. Schenker explained this point very nicely at the opening of Counterpoint
II: Now the triad reaches us by both routes, but with only this difference of effect:
in their vertical dimension, it sounds in its complete, palpable, physical totality, so
to speak, while the horizontal dimension unrolls step by step, through the detour
of melodic evolution. Schenker, Counterpoint II, part 3, chap. 1, par. 2, p. 2. Significantly, he anticipated this idea in the Harmony by claiming 1) that the concept of an interval is bound to and limited by the concept of its harmonizability
and 2) that the harmonic element has to be pursued in both directions: the horizontal as well as the vertical. Schenker, Harmony, par. 76, p. 134.
21. Schenker confirms the idea that neighbor motion implies a prior repetition in Free Composition, par. 108, p. 42.
22. According to Schenker, The descending linear progression always signifies a motion from the upper to the inner voice; ascending linear progression
denotes a motion from the inner voice to the upper voice. See Schenker, Free
Composition, par. 203, p. 73.
23. For discussions of mentally retained tones, see Schenker, Counterpoint
II, part 3, chap. 2, par. 2, esp. pp. 57ff.; Schenker, Further Considerations of the
Urlinie: II, trans. John Rothgeb, The Masterwork in Music 2 (1996), 3ff.; and
Schenker, Free Composition, par. 93 and 204, pp. 3839 and 73, etc. William
Rothstein considers the term in detail in his thesis, Rhythm and the Theory of
Levels (Ph.D. diss., Yale University, 1981), 91ff.
251
252
Chapter 3
1. Quine, Quiddities, 162.
2. Quine and Ullian, The Web of Belief, 100.
3. Schenker, Counterpoint I, part IV, p. 14.
4. Ibid., part IV, p. 16.
5. Benjamin, Schenkers Theory and the Future of Music, 163.
6. Schenker, Free Composition, par. 161, p. 56.
7. For a comprehensive account of sequences in general, see Adam Ricci,
A Theory of the Harmonic Sequence (Ph.D. diss., University of Rochester,
2004).
8. Benjamin, Schenkers Theory and the Future of Music, 160.
9. As Alfred Mann observes, The forming of sequences (the so-called
monotonia) ought to be avoided as far as possible. See Fux, The Study of Counterpoint, ed. and trans. Alfred Mann (New York: Norton, 1973), 54.
10. Whereas Figures 91 and 92 of Gradus ad Parnassum conform to 5-line
paradigms, Figure 98 composes out a 3-line, 3 4 321.
11. Fux, The Study of Counterpoint, 98.
253
254
Chapter 4
1. Schenker, Free Composition, introduction, xxiii. I have changed Osters
wording slightly.
2. Schenker, Counterpoint I, part 1, chap. 2, par. 1, 3334. Emphasis in
original.
3. See Schenker, Elucidations, in The Masterwork in Music 1 (1994),
11314.
4. See ibid., 113.
5. This maxim is usually translated as entities should not be multiplied
beyond necessity.
6. Paul M. Churchland, Ontological Status of Observables, in Images of
Science: Essays on Realism and Empiricism, ed. Paul M. Churchland and Clifford
A. Hooker, 4041 (Chicago: University of Chicago Press, 1985).
7. Ibid.
8. For a helpful discussion, see Leeman L. Perkins, Modal Strategies in
Okeghems Missa Cuiusvis Toni, in Music Theory and the Exploration of the Past,
ed. Christopher Hatch and David Bernstein, 5971 (Chicago: University of
Chicago Press, 1993), esp. 6061.
9. William J. Mitchell, Elementary Harmony, 3rd ed. (Engelwood Cliffs,
NJ: Prentice Hall, 1965), 5.
255
10. Edward Aldwell and Carl Schachter, Harmony and Voice Leading, 3rd ed.
(Belmont, CA: Wadsworth, 2003), 7.
11. Pieter Van den Toorn, The Music of Igor Stravinsky (New Haven, CT:
Yale University Press, 1983), 460n14.
12. Richard Taruskin, Chez Petrouchka: Harmony and Tonality chez
Stravinsky, 19th-Century Music 10, no. 3 (1987): 267.
13. Ibid.
14. Schenker, Counterpoint I, part 1, chap. 1, par. 5, pp. 2021. The purpose
of this digression was twofold: on the one hand, it allowed him to attack theorists
who used modes and scales to explain the behavior of tonal relationships (for
example, Capellan, Polak, Riemann, and Dittrichs); on the other, it allowed him
to criticize composers who tried to expand the sphere of tonality by writing in
modal or exotic styles (for example, Saint-Sans, Busoni).
15. Scholars have generally underestimated the importance of Schenkers
comments on mode. Roger Sessions did broach the question of mode in his short
review article, Heinrich Schenkers Contribution, Modern Music 12 (1935):
17075, but failed to appreciate Schenkers great insight that the properties of harmonic systems do not depend on the properties of scales. So far as I can tell, nobody
has ever stressed the significance of this claim. Nevertheless, several Schenkerians
have undertaken analytical studies of modal music. See, for example, Peter
Bergquist, Mode and Polyphony around 1500: Theory and Practice, Music Forum
1 (1967): 9961; William J. Mitchell, The Prologue to Orlando di Lassos
Prophetiae Sibyllarum, Music Forum 2 (1970): 26473; Saul Novack, Fusion of
Design and Tonal Order in Mass and Motet: Josquin Desprez and Heinrich Isaac,
Music Forum 2 (1970): 187263; Saul Novack, The History of Phrygian Mode in
the History of Tonality, Miscellanea Musicologica 9 (1977): 82127; Saul Novack,
The Analysis of Pre-Baroque Music, in Aspects of Schenkerian Theory, ed. David
Beach, 11333 (New Haven, CT: Yale University Press, 1983); Felix Salzer,
Tonality in Early Medieval Polyphony: Towards a History of Tonality, Music
Forum 1 (1967): 3498; Felix Salzer, Heinrich Schenker and Historical Research:
Monteverdis Madrigal Oim, se tanto amate, in Aspects of Schenkerian Theory,
ed. David Beach, 13352 (New Haven, CT: Yale University Press, 1983); Carl
Schachter, Landinis Treatment of Consonance and Dissonance: A Study in Fourteenth-Century Counterpoint, Music Forum 2 (1970): 13086; Lori Burns, Bachs
Modal Chorales, Harmonologia Series, 9 (Stuyvesant, NY: Pendragon, 1995). Jonas
summarizes some of Schenkers arguments in his Introduction to the Theory of Heinrich Schenker, ed. and trans. John Rothgeb (New York: Longman, 1982), 2731.
16. To quote him: And thus countless systems are assumed in a situation in
which even one system in the strict sense of the word is impossible from the outset, since the all too modest tonal material is simply not differentiated enough.
For that reason, the so-called systemsagain exactly as in the earliest period of
Western musicare of value at most only as mechanical-descriptive tools and
can apply only to the horizontal dimension at that. Schenker, Counterpoint I,
part 1, chap. 1, par. 5, p. 21.
256
17. Schenker, Counterpoint I, part 1, chap. 1, par. 5, pp. 20 and 39. In Harmony, he wrote, Hence there is no violence against the spirit of History in the
assumption that the old church modes, though they had their undeniable right
to existence, were nothing but experimentsexperiments in word and fact, i.e.,
in theory as well as practicewhence our art benefitted especially in so far as
they contributed decisively to the clarification, e contrario, of our understanding
of the two main systems. Harmony, par. 28, p. 59.
18. Schenker, Counterpoint I, part 1, chap. 2, par. 1, p. 39.
19. Ibid.
20. Ibid., part 1, chap. 1, par. 5, p. 20.
21. Schenker, Free Composition, par. 4, pp. 1112.
22. Schenker, Harmony, par. 41, p. 87.
23. These arrows are missing from Mann Borgeses translation.
24. Schenker, Harmony, par. 48, p. 93. Schenkers student Oswald Jonas
went one step further to explain how Phrygian and Lydian effects can also be created. According to him, these effects can arise when diminished triads are added
to the mix: in Phrygian mode the tonic and subdominant triads are minor and
the dominant triad is diminished, and in Lydian mode tonic and dominant triads
are major and the subdominant triad is diminished. Jonas, Introduction to the
Theory of Heinrich Schenker, 28.
25. Schenker, Harmony, par. 40, p. 86. Used by permission of the University
of Chicago Press. Translation modified slightly.
26. Ibid., par. 30, p. 76. Used by permission of the University of Chicago
Press. Translation modified slightly.
27. Schenker, Counterpoint I, part 1, chap. 1, par. 5, p. 21.
28. Ibid., part 1, chap. 1, par. 5, p. 28. Emphasis in original.
29. Schenker, Harmony, par. 2630, 3852, pp. 5576, 84115.
30. Numerous other examples of modal works can be found in ibid., par.
2630, pp. 5576.
31. Barry Cooper, Beethoven and the Creative Process (Oxford: Oxford University Press, 1990), 56.
32. Schenker, Harmony, par. 29, p. 65.
33. Ibid., par. 29, p. 63. Used by permission of the University of Chicago Press.
34. Ibid., par. 29, p. 66. Used by permission of the University of Chicago Press.
35. Ibid., par. 29, pp. 6263.
36. Significantly, Kevin Korsyn never bothers to mention Schenkers discussion of the passage in J. W. N. Sullivan and the Heiliger Dankgesang,
Beethoven Forum 2 (1993): 13374.
37. Schenker, Harmony, par. 29, pp. 6061. Used by permission of the University of Chicago Press.
38. Schenker, Counterpoint I, part 1, chap. 2, par. 4, p. 57.
39. Ibid., part 1, chap. 2, par. 6, p. 57.
40. Schenker, Harmony, par. 29, p. 67. Used by permission of the University
of Chicago Press.
257
41. Ibid., par. 29, pp. 6768. Used by permission of the University of
Chicago Press.
42. Ibid., par. 29, p. 68. Used by permission of the University of Chicago Press.
43. Schenker, Counterpoint I, part 1, chap. 2, par. 1, p. 36. Schenkers discussion can be found on pp. 3439, Ex. 1314.
44. Schenker, Free Composition, par. 251, pp. 9596, Fig. 116.
45. Schenker, Counterpoint I, part 1, chap. 1, par. 5, p. 28.
46. Schenker, Chopin: Etude in G major, Op. 10, No. 5, trans. Bent, The
Masterwork in Music 1 (1925/1994), 97.
47. Arnold Schoenberg, Harmonielehre (Vienna: Universal, 1911, 3rd ed.
1922), chap. 20, trans. Roy E. Carter as Theory of Harmony (Berkeley: University
of California Press, 1978), 39098; and Donald Francis Tovey, Harmony, in
The Forms of Music (Cleveland: Meridian, 1956), 69.
48. Matthew Brown, Tonality and Form in Debussys Prlude LAprsmidi dun faune, Music Theory Spectrum 15, no. 2 (1993): 12743.
49. Burkhart, Schenkers Motivic Parallelisms, Journal of Music Theory
22, no. 2 (1978): 157.
50. Van den Toorn, The Music of Igor Stravinsky, 73.
51. Ibid.
52. Carl Dahlhaus, Nineteenth-Century Music, trans. J. Bradford Robinson
(Berkeley: University of California Press, 1989), p. 306.
53. Don Randel, Emerging Triadic Tonality in the Fifteenth Century,
Musical Quarterly 57 (1971): 7386. See also Robert W. Wienpahl, The Evolutionary Significance of 15th Century Cadential Formulae, Journal of Music
Theory 4, no. 2 (1960): 13152. Helen E. Bush, The Recognition of Chordal
Formation by Early Theorists, Musical Quarterly 32 (1946): 238.
54. Randel, Emerging Triadic Tonality in the Fifteenth Century, 7879,
exx. 12.
55. Ibid.
56. Ernest T. Ferand, What is Res Facta? Journal of the American Musicological Society 10 (1957): 12974; Margaret Bent, Res facta and Cantare Super
Librum, Journal of the American Musicological Society 36, no. 2 (1983): 37191;
Bonnie J. Blackburn, On Compositional Process in the Fifteenth Century,
Journal of the American Musicological Society 40, no. 2 (1987): 21084.
57. Blackburn, On Compositional Process in the Fifteenth Century, 252.
As she notes, Tinctoris gave two definitions of counterpoint, one in the Terminorum musicae diffinitorium (Treviso, ca. 1495) and the other in chapter 1 of the
Liber de arte contrapuncti (1477).
58. Blackburn, On Compositional Process in the Fifteenth Century, 252.
59. Ibid., 254.
60. For details, see ibid., 253 (emphasis in original). Incidentally, Jeppesen also
notes that repetitions are much more common in res facta than they are in noteagainst-note counterpoint for two voices. Knud Jeppesen, Counterpoint: The Vocal
Style of the Sixteenth Century, trans. Alfred Mann (New York: Dover, 1992), 12.
258
Chapter 5
1. Schenker, Miscellanea: Thoughts on Art and Its Relationships to the
General Scheme of Things, trans. Ian Bent, The Masterwork in Music 3 (1997), 71.
2. Ren Lenormand, tude sur lharmonie moderne (Paris: Monde musical,
1913).
3. Claude Debussy, Music in the Open Air, La Revue blanche, 1 June
1901, reprinted in Debussy on Music, coll. Franois Lesure, ed. and trans. Richard
Langham Smith (New York: Knopf, 1977), 41.
4. Claude Debussy, Debussy Letters, ed. Franois Lesure and trans. Roger
Nichols (Cambridge, MA: Harvard University Press, 1987), 7677.
5. Claude Debussy, A propos de Muguette, Gil Blas, 23 March 1903,
reprinted in Debussy on Music, 155. I have retranslated the terms parfait and
imparfait.
6. Debussy, Conversations, 1890, reprinted in Debussy: Prelude to The
Afternoon of a Faun, ed. William Austin, Norton Critical Scores (New York:
Norton, 1970), 130. For a facsimile of Maurice Emanuels transcription of these
conversations, see Lon Vallas, Claude Debussy: His Life and Works, trans. Maire
OBrien and Grace OBrien (Oxford: Oxford University Press, 1933), 84.
259
260
of chromatic phenomenon back to the basic triad. Oster, trans., Free Composition, Introduction, p. xxiii. According to Schenker: Chromaticism is an element
which does not destroy diatony (or Diatonie), but which rather emphasizes and
confirms it. Schenker, Harmony, par. 155, p. 288. Used by permission of the
University of Chicago Press.
19. William J. Mitchell, The Tristan Prelude: Techniques and Structure,
Music Forum 1 (1967): 203.
20. Schenker, Harmony, par. 89, p. 174. Used by permission of the University of Chicago Press. Translation changed slightly.
21. Schenker, Harmonielehre, par. 89, pp. 22022, Fig. 173. Unfortunately,
this extract is one of many passages omitted from Mann Borgeses English translation. Schenker repeated his general criticisms of Regers music in a comment
dated June 1911: One thinks, for instance of Regers silly way of writing: with
Reger, chord leads to chord, unsubstantiated by any sort of motive, and consequently the succession of chords has only an external effect. Insubstantial phenomena simply unload themselves at the outer doors of our consciousness. Only
substantial on the other hand, are able to penetrate into the depths. See
William Pastille, Review: Hellmuth Federhofer, Heinrich Schenker: Tagebchern
und Briefen, Journal of the American Musicological Society 39 (1986): 673.
22. See Schenker, Free Composition, par. 24445, p. 88ff.
23. See ibid., par. 244, p. 88.
24. Ibid., par. 307, p. 131.
25. See ibid.
26. For discussions of the term directional tonality or progressive tonality, see William Kinderman, Introduction, in The Second Practice of NineteenthCentury Music, ed. William Kinderman and Harald Krebs (Lincoln: University of
Nebraska Press, 1996), 9.
27. Schenker, Free Composition, chap. 1, section 3, p. 5.
28. See Brown, Debussys Ibria: Studies in Genesis and Structure (Oxford:
Oxford University Press, 2003), 13556.
29. Graham George discusses the concept of interlocking tonality in his
book, Tonality and Musical Structure (London: Faber, 1970). For a brief discussion
of Georges work, see Kinderman, Introduction, in The Second Practice of Nineteenth-Century Music, 9.
30. See, for example, Gregory Proctor, Technical Bases of NineteenthCentury Chromatic Tonality, (Ph.D. diss., Princeton University, 1978); and
Kinderman and Krebs eds., The Second Practice of Nineteenth-Century Music. To
quote Proctor, in classical diatonic tonality, chromaticism is defined as the interaction of different diatonic scales, but in nineteenth-century tonality, there is
but one chromatic scale from which all diatonic scales are derived as subsets.
Proctor, Technical Bases of Nineteenth-Century Chromatic Tonality, iiiiv.
31. For another response to these issues, see Robert P. Morgan, Are There
Two Practices in Nineteenth-Century Music? Journal of Music Theory 43, no. 1
(1999): 13563.
261
32. For a discussion of the text, see Margaret G. Cobb, ed., The Poetic
Debussy: A Collection of His Song Texts and Selected Letters, 2nd ed., Eastman
Studies in Music (Rochester, NY: University of Rochester Press, 1994), 1023.
For another reading of the piece, see Wallace Berry, Musical Structure and Musical
Performance (New Haven, CT: Yale University Press, 1989), 144216.
33. For a discussion of the text, see Cobb, ed., The Poetic Debussy, 12223.
34. To cement the connections, both pieces contains the same chromatic
inflection 5 6 DE in La mort des amants and AB in Claire de lune.
35. Katherine Bergeron, The Echo, the Cry, the Death of Lovers, 19thCentury Music 18, no. 2 (1994): 13650.
36. Robert Baldick, Introduction, in Huysmans, Against Nature, trans.
Robert Baldick (Harmondsworth: Penguin, 1959), 13.
37. Jean Pierrot, The Decadent Imagination, 18801900, trans. Derek
Coltman (Chicago: University of Chicago Press, 1981), 12324.
38. According to Des Esseintes, [Verlaine] alone had possessed the secret
hinting at certain strange spiritual aspirations, of whispering certain thoughts, of
murmuring certain confessions so softly, so quietly, so haltingly that the ear that
caught them was left hesitating, and passed on to the soul a languor made all the
more pronounced by the vagueness of these words that were guessed rather than
heard. Huysmans, Against Nature, 186.
39. See Marcel Dietschy, A Portrait of Debussy, ed. and trans. William
Ashbrook and Margaret G. Cobb (Oxford: Oxford Univerisity Press, 1990), 42.
40. See ibid., 49.
41. See Morgan, The Dissonant Prolongation. Several other writers have
noticed this inconsistency, among them Carl Schachter, A Commentary on
Schenkers Free Composition, Journal of Music Theory 25, no. 11 (1981):
13637; William Clark, Heinrich Schenker on the Nature of the Seventh
Chord, Journal of Music Theory 26, no. 2 (1982): 22159; Allen Forte and
Steven E. Gilbert, Introduction to Schenkerian Analysis (New York: Norton,
1982), 24445; Jonas, Introduction to the Theory of Heinrich Schenker, 12022.
The most notorious analyses appear in Schenker, Free Composition, Fig. 62, 14,
and par. 215.
42. For example, in the Preface to Counterpoint I, he noted: In comparison
with the works of our masters, todays compositions have to be considered musically
too simple, even far too simple and primitive. Despite heaviest orchestration,
despite noisy and pompous gestures, despite polyphony and cacophony, the
proudest products of Richard Strauss are inferiorin terms of true musical spirit
and authentic inner complexity of texture, form, and articulationto a string
quartet by Haydn, in which external grace hides the inner complexity, just as
color and fragrance of a flower render mysterious to humans the undiscovered,
great miracles of creation. Schenker, Preface, Counterpoint I, xxi.
43. To quote Schenker, The dissonant passing tone, including the passing
seventh, is itself a means of composing-out. Therefore, as long as it retains its dissonant quality, it cannot at the same time give rise to further composing-out; only
262
Chapter 6
1. See Matthew Brown, Adrift on Neuraths Boat: The Case for a Naturalized Music Theory, Journal of Musicology 15, no. 3 (1997): 33042; Douglas
Dempster, Aesthetic Experience and Psychological Definitions of Art, Journal of
Aesthetics and Art Criticism 11, no. 2 (1985): 15365; and Dempster, Renaturalizing Aesthetics, Journal of Aesthetics and Art Criticism 21, no. 3 (1993): 35161.
2. Schenker, Free Composition, par. 1, p. 10.
3. Fred Lerdahl and Ray Jackendoff, A Generative Theory of Tonal Music
(Cambridge, MA: MIT Press, 1983), 5 (emphasis in original).
4. Schenker, Free Composition, Appendix H, p. 160.
5. See Schachter, A Commentary on Schenkers Free Composition, Journal of Music Theory 25, no. 1 (1987): 119.
6. Schenker, Harmony, par. 18, p. 40. Used by permission of the University
of Chicago Press. Translation slightly changed.
7. In response to my claims that Schenkers generation of the major system
is based on ad hoc and arbitrary assumptions, Suzannah Clark notes In each of
these cases, the factor Brown has missed is the Mysterious Five. Suzannah Clark,
Schenkers Mysterious Five, 19th-Century Music 23, no. 1 (1999): 87.
8. Schenker, Free Composition, par. 16, p. 14.
9. Schenker, Harmony, Preface, p. xxv. Used by permission of the University of Chicago Press.
10. Joseph Kerman, Contemplating Music (Cambridge, MA: Harvard University Press, 1985), 85. It is worth noting, however, that Schenker did not necessarily
believe that tonal composition was exhausted; see Schenker, Harmony, par. 8, p. 21.
263
11. H. Budge, A Study of Chord Frequencies (New York: Bureau of Publications, Teachers College, Columbia University, 1943).
12. Lerdahl and Jackendoff, A Generative Theory of Tonal Music, 33738.
13. Ibid., 303.
14. Ibid., 111.
15. Ibid., pp. 304, 336, 40, and 41.
16. Ibid., 3067.
17. Ibid., 5.
18. Ibid.
19. According to David Neumeyer, Lerdahl and Jackendoffs prolongational reduction . . . has achieved no success at all, to judge from adoption of its
methods in the literature (outside of Lerdahl himself). He continues, the care
of its grounding and the logic of its method are matched only by its aridity as an
interpretative practice. David Neumeyer and Julian L. Hook, Review: Analysis
of Tonal Music: A Schenkerian Approach, by Allen Cadwallader and David
Gagn, Intgral 11 (1997): 22021.
20. Sloboda and Parker insist that such mental images are required for
memorizing and performing as well, see John A. Sloboda and David H. Parker,
Immediate Recall of Melodies, in Musical Structure and Cognition, ed. Peter
Howell, Ian Cross, and Robert West, 14367 (London: Academic Press,
1985).
21. Nicholas Cook, The Perception of Large-Scale Tonal Closure, Music
Perception 5, no. 2 (1987): 197206.
22. Robert West, Peter Howell, and Ian Cross, Modeling Perceived Musical Structure, in Musical Structure and Cognition, ed. Peter Howell, Ian Cross,
and Robert West (London: Academic Press, 1985), 46. They cite the work of
L. Cuddy and H. I. Lyons, Musical Pattern Recognition: A Comparison of
Listening to and Studying Tonal Structures and Tonal Ambiguities, Psychomusicology 1 (1981): 1533.
23. For some very perceptive remarks about levels of explanation, see David
Marr, Vision (New York: Freeman, 1982).
24. This point has been made by David Butler in A Musicians Guide to
Perception and Cognition (New York: Schirmer, 1992), 162.
25. J. J. Bharucha, Anchoring Effects in Music: The Resolution of Dissonance, Cognitive Psychology 16 (1984): 485518.
26. See, for example, Leonard B. Meyer, Explaining Music: Essays and Explorations (Chicago: University of Chicago Press, 1978); and Eugene Narmour,
Beyond Schenkerism (Chicago: University of Chicago Press, 1977).
27. Diana Deutsch, Delayed Pitch Comparisons and the Principle of Proximity, Perception and Psychophysics 23 (1978): 22730.
28. Burton S. Rosner and Eugene Narmour, Harmonic Closure: Music
Theory and Perception, Music Perception 9, no. 4 (1992): 407.
29. Carol Krumhansl, The Psychological Representation of Musical Pitch
in a Tonal Context, Cognitive Psychology 11 (1979): 34674.
264
265
47. See Robert Winter, Compositional Origins of the String Quartet in C Sharp
Minor, Op. 131 (Ann Arbor, MI: UMI, 1982).
48. For an extensive discussion of these issues, see Matthew Brown, Composers Revisions and the Creative Process, College Music Symposium 33/34
(1993/94): 9395.
49. From Edward Holmes, Life of Mozart (London: Everyman, 1924), 255ff.
See also Emily Anderson, The Letters of Mozart and His Family, 3rd ed. (London:
Macmillan, 1985), xix.
50. Schenker, Der freie Satz, ed. Oswald Jonas, 2nd ed. (Vienna: Universal,
1956), par. 301, p. 198; and Otto Erich Deutsch, Spurious Mozart Letters Music
Review 25 (1964): 121.
51. W. R. Reitman, Cognition and Thought (New York: Wiley, 1965). For
general accounts of verbal protocols, see K. Anders Ericsson and Herbert A.
Simon, Protocol Analysis: Verbal Reports as Data (Cambridge, MA: MIT Press,
1984); and Alan Lesgold, Problem Solving, in The Psychology of Human
Thought, ed. Robert J. Sternberg and Edward E. Smith, 188213 (Cambridge:
Cambridge University Press, 1988).
52. Sloboda, The Musical Mind, 137.
53. Ibid., 149.
54. Mavromatis, The Early Keyboard Prelude as an Agent in the Formation of Schenkerian Background Prototypes, Paper delivered at the Third International Schenker Conference, Mannes College of Music, March 12, 1999.
55. Richard Hudson, The Concept of Mode in Italian Guitar Music during
the First Half of the 17th Century, Acta Musicologica 42 (1970): 16383.
56. Schenker, Free Composition, Chap. 1, Section 4, p. 6.
57. Ibid., chap. 1, section 4, p. 7.
58. Ibid., par. 301, p. 128. As he put it: But genius, the gift for improvisation and long-range hearing, is requisite for greater time spans. Short-range hearing is incapable of projecting large spans, because it does not perceive those
simpler elements upon which far-reaching structure is to be based. Yet the
geniuss ability to encompass even the largest spans is not unduly astonishing.
Anyone who, like the genius, can create the smallest linear progressions of
thirds, fourths, and fifths abundantly and with ease, need only exert a greater
spiritual and physical energy in order to extend them still further through larger
and larger spans, until the single largest progression is attained: the Urlinie.
Schenker, Free Composition, par. 30, pp. 1819. For an extended discussion of
improvisation, see Schenker, The Art of Improvisation, trans. Kramar, The
Masterwork in Music 1 (1994), 219.
59. Schenker, Free Composition, par. 51, p. 27.
60. Quine and Ullian, The Web of Belief (New York: McGraw-Hill, 1970),
especially chap. 2, pp. 919.
61. For an interesting discussion of this and related issues, see Kevin
Korsyn, Decentering Music: A Critique of Contemporary Musical Research (Oxford:
Oxford University Press, 2003), especially 6190.
266
Conclusion
1. William Rothstein, The Americanization of Heinrich Schenker, in
Schenker Studies 1, ed. Hedi Siegel (Cambridge: Cambridge University Press,
1990), 202.
2. See, for example, Carl Schachter, Rhythm and Linear Analysis: A Preliminary Study, Music Forum 4 (1976): 281334, reprinted in Schachter,
Unfoldings, ed. Joseph N. Straus, 1753 (New York: Oxford University Press,
1999); Schachter, Rhythm and Linear Analysis: Durational Reduction, Music
Forum 5 (1980): 197232, reprinted in Schachter, Unfoldings, 5478; Schachter,
Rhythm and Linear Analysis: Aspects of Meter, Music Forum 6 (1987): 159,
reprinted in Unfoldings, 79117; William Rothstein, Rhythm and the Theory
of Structural Levels; Rothstein, Phrase Rhythm in Tonal Music (New York:
Schirmer, 1989); Joel Galand, Form, Genre, and Style in the EighteenthCentury Rondo, Music Theory Spectrum 17, no. 1 (1995): 2752; Charles Smith,
Musical Form and Fundamental Structure: An Investigation of Schenkers
Formenlehre, Music Analysis 15, no. 23 (1998): 191297; Janet Schmalfeldt,
Towards a Reconciliation of Schenkerian Concepts with Traditional and
Recent Theories of Form, Music Analysis 10, no. 3 (1991): 23387.
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Explaining Tonality
Bibliography
277
278
Explaining Tonality
Bibliography
279
280
Explaining Tonality
Index
IV/V Hypothesis, The, 45, 6364,
180, 225
accented neighbor tone, 5456
accented passing tone, 6, 5456
accuracy, xiv, 2, 18, 1920, 22, 23,
2565, 234, 235
acoustics, 20910, 21115
addition (of a linear progression),
8081
adjacent seventh chords, 5354
Agmon, Eytan, 248n55
Aldwell, Edward, 143, 255n10
Anderson, Emily, 265n49
Anstieg. See preliminary ascent
appoggiatura, 5556
Aristotle, 245n51
arpeggiation (Brechung), 7778, 83,
8384
Artusi, Giovanni Maria, 167, 258n64
Artusi/Monteverdi Debate, The,
16768
Audi, Robert, 245n51
Ausfaltung. See unfolding
Auskomponierung. See composing out
Aussensatz. See outer-voice
counterpoint
auxiliary cadence progression, 18283,
188, 193, 197,
Ayer, Alfred, 244n40
Ayotte, Benjamin McKay, 239n1
Babbitt, Milton, xiv, xix, 92, 239n6,
251n43
Babbitt, Milton, works by: Philomel,
14
Bach, Carl Philipp Emanuel, xiii, 13,
69, 229
Bach, Johann Sebastian, xiii, 13, 171,
185, 204, 230
282
Index
Index
Chord of Nature (Der Naturklang),
210, 211
Chord of Nature Argument, The,
21013, 214
Choron, Alexandre-tienne, xiii
chromaticism, 30, 33, 57, 58, 6164,
68, 11215, 141, 14451, 152,
16062, 167, 172173, 18082,
18586, 22425
Church modes, 29, 141, 14658,
18182
Churchland, Paul, 141, 244n42,
254n6, 254n7
circular reasoning, xvi, 7576
Clark, William, 261n41
Clarke, Suzannah, 213, 262n7
Classical Theory of Concepts, The, 23
Clough, John, 167, 258n63
Cobb, Margaret, 261n32, 261n33
Cohen, Andrew, 248n46
coherence, xiv, 2, 1819, 2223,
20933, 234, 237
combined linear progressions, 103,
123, 126, 130, 136. See also parallel
linear progressions
Complementarity Principle, The, 27,
5665, 98, 13637, 219ff., 22526
complete/incomplete progressions,
172, 18283, 186, 197. See also
incomplete transference of the
Ursatz; interruption
(Unterbrechung)
completeness of Schenkerian theory,
18, 8283, 235
composing out
(Auskomponierung)/prolongation,
6498, 138, 147. See also
transformations
composing vs listening, 13739, 210,
21722
concepts, xiv, 23, 56, 1213, 25,
209, 234
confirmation/disconfirmation, 1218,
99
283
284
Index
Index
essential vs unessential counterpoint,
48
evidence vs system, 18ff.
evolution of theories, 1718, 24
exoticism vs tonality, 141, 147,
15051, 15862, 172, 18182, 186,
expertise/expert composers, xix,
13839, 210, 21731, 237
explain why vs explain how, 2, 4,
1012, 13739
fallacy of affirming the antecedent, 16
fallacy of affirming the consequent,
7576
fallibility of theories, 14, 16
falsification/falsifiability, 1517, 65
Ferand, Ernest, 257n56
Feroe, John, 226, 264n37
festgehaltene Ton, Der. See mentally
retained tone
Ftis, Franois-Josph, xiii
Feyerabend, Paul, 19, 244n39, 245n49
Feynman, Richard, 242n18
Flagpole Problem, The, 242n15
fliessende Gesang, der. See melodic
fluency
Fodor, Jerry, 244n42
foreground (Vordergrund), 69, 91
Forte, Allan, 261n41
free dissonances, 5153, 172, 17579,
259n11
free voice leading, 41
fruitfulness, xiv, 2, 18, 21, 23,
171208, 234, 237
functional equivalence, 22, 57, 5861
functional explanations, 9, 61
functional progressions (Stufengang),
xiii, 57, 5861, 179
Fux, Johann Joseph, 2741, 50, 64,
6772, 117ff., 166, 207, 246n4,
246n12, 246n15, 252n10, 252n11
Gaffurius, Franchinus, 27
Galand, Joel, 236, 252n48, 266n2
285
Gamut, 35
generative linguistics, xivxv, 216
genius, 64, 140, 179, 23132
George, Graham, 184, 260n29
Gestalt psychology, 215
Gilbert, Steven, 261n41
Glaser, Robert, 227, 264n42
Glassman, N., 264n37
Gliederung des Urlinie-Zges, Der. See
division of the Urlinie
Global Paradigm, The, 69ff., 9698,
18386, 219ff., 226, 229
Global Rule, The, 28
Goldman, Alvin I., 56, 241n1,
241n4
Goodman, Nelson, 7, 14, 242n10,
243n24
Grieg, Edvard, Norwegian Dances, 158
Grim, Patrick, 243n32
gronal/gronality, 1415
Groot, Adrian De, 227, 264n41
Grue Paradox, The, 1415
Guilielmus Monachus, 27
Haigh, Andrew, 166, 258n62
Handel, George Frederic, xiii, 13
Hanson, Norwood, 19, 244n39
harmonic function as emergent
property, 116, 136, 165
harmonic vs non-harmonic tones, 38,
2048
Hassler, Hans Leo, works by:
O Sacred Head Sore Wounded,
158
Haydn, Franz Joseph, xiii, 13, 27, 229
Haydn, Franz Joseph, works by:
Representation of Chaos
(Creation), 9397, 180; Schottische
Lieder, 158
Headlam, Dave, xviii, 45, 63, 247n21,
248n64
headtone (Kopfton), 73, 74, 89, 191
Heinrich Maneuver, The, 27, 4156,
64, 98, 100, 219ff., 22526
286
Index
Index
Lewin, David, 28, 246n8, 246n9
limits of Schenkerian theory, 17286,
202, 235
linear progression (Zug), 53, 62,
7980, 83, 124, 126
Liszt, Franz, 205
Lockwood, Lewis, 228, 252n49, 264n46
long-range hearing, 265n58
Losee, John, 241n8, 243n19, 243n26
Lous, Pierre, 17273,
Lubben, Joseph, 75, 250n18
Lyons, H. I., 263n22
Maisal, Arthur, 240n18
major-minor system, 43
Manktelow, K. I., 244n33
Mann, Alfred, 246n5, 246n10,
246n11, 252n9, 257n60
Marr, David, 216, 263n23
Mavromatis, Panayotis, xviii, 16869,
230, 236, 258n67, 265n54
melodic fluency (der fliessende
Gesang), 45, 223
melodic prototype/upper line
(Urlinie), 53, 69, 70, 73, 74, 75,
8790, 123, 126, 130, 147
Mendelssohn, Felix, xiii, 13
mental representation, 217, 218
mentally retained tone or headtone (der
festgehaltene Ton/Kopfton), 43, 79
Meyer, Leonard B., 223, 263n26
middleground (Mittelgrund), 69,
8691; paradigms at deep
middleground, 8689
Mischung. See mixture
Mitchell, William J., 143, 180, 254n9,
255n15, 260n19
Mitchells Axiom, 180
Mittelgrund. See middleground
mixed species, 121, 122,
mixture (Mischung), 4344, 8081,
11416, 14163, 18082, 22425;
double, 4344, 81, 116; secondary,
43, 81; simple, 43, 81, 11415, 148
287
288
Index
Index
projectibility, 1415
Prolog, 236
Prosdocimus de Beldemandis, 27
prototypes in general, 56, 22627
Psillos, Stathis, 242n16
Putnam, Hilary, 244n38
Quine, Willard van Ormand, 11, 15,
16, 1718, 1920, 65, 99, 233,
242n17, 243n26, 243n27, 244n35,
244n36, 244n37, 244n38, 244n40,
244n41, 245n52, 245n53, 248n66,
248n67, 252n1, 252n2, 265n60
Railton, Peter, 242n11
Randel, Don, 163165, 257n53,
257n54, 257n55
Rast, Nicholas, 239n1
Raven Paradox, The, 14, 243n23
reaching over (bergreifen), 78, 83, 237
rectification of II (Die Richtigstellung
der Phrygischen II), 6263
recursion, xiii, 70, 81, 87, 141, 168,
207, 215
Recursive Model, The, 70ff., 83, 84,
9698, 205, 219ff., 226
referential sonority, 2056
refutabilty, 16
Reger, Max, Piano Quintet, Op. 64,
181, 260n21
register transfer, 7778, 83, 126, 167;
ascending, Hherlegung, 7778;
coupling, Koppelung, 7778;
descending, Tieferlegung, 7778
Reitman, W. R., 265n51
relevance, 14
repeated tones, 29, 39
repetition (Wiederholung), 7778
res facta, 16566
Ricci, Adam, 252n7
Riemann, Hugo, 116
Die Richtigstellung der Phrygischen II.
See rectification of Phrygian II
Rimbaud, Arthur, 201
289
290
Index
Index
Serafine, Mary Louise, 170, 226,
258n68, 264n37, 264n39, 264n40
Sessions, Roger, 229, 255n15
seventh-chords, 58, 259n11
seventh progressions (Die Septzge),
126, 202
Shiman, Leon, 216
short-range hearing, 265n58
sigh figure, 18892
similarity, 6, 11
Simon, Herbert, 227, 264n41, 265n51
simple counterpoint vs florid
counterpoint, 2829, 33, 6872
simplicity, xiv, 2, 18, 22, 23, 14070,
234, 23637
sketch studies, 22728
Sloboda, John, 226, 22730, 263n20,
264n37, 264n38, 264n43, 264n45,
265n52, 265n53
Smith, Charles, 236, 266n2
Smith, Edward E., 241n1, 241n3,
264n36
Smyth, David, 134, 250n14, 254n33
Smoliar, Stephen, xv, 236, 240n7
Snarrenberg, Robert, 245n2, 249n10
Snell, James, xv, 236, 240n7
species counterpoint, 2741, 64,
6772, 117ff., 166
Stalker, Douglas, 243n24
Stimmentausch. See voice exchange
Stimmfhrung. See voice leading
Stimmfhrungs-Schicht. See level
Straus, Joseph, 245n56
Strauss, Richard, 228, 261n42
Stravinsky, Igor, 228
Stravinsky, Igor, works by: Concerto
for Piano and Winds, 204;
Petrouchka, 16162
strenge Satz, Der. See strict
counterpoint
strict counterpoint (Der strenge Satz),
2542, 54, 61, 64, 117ff. 168
string divisions, 209
structural vs ornamental tones, 101
291
292
Index
Index
Westergaard, Peter, 74, 250n12,
250n17
Whittall, Arnold, xviii
Wiederholung. See repetition
Wienphal, Robert W., 257n53
Winter, Robert, 265n47
293