Narrative and Topic

Department of Music Theory, Jacobs School of Music, Indiana University
Narrative and Topic

Author(s): Byron Almén
Source: Indiana Theory Review, Vol. 25 (Spring / Fall 2004), pp. 1-38
Published by: Indiana University Press on behalf of the Department of Music Theory,
Jacobs School of Music, Indiana University
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Narrative and Topic
Byron Almén
Introduction
example 1, a sixteenth-note ostinato figure appears, becoming the

CONSIDER THEtoFUNCTION
accompaniment of musical
a lilting, dance-like melodic topic in three short examples. In
line. The undulating,
tonally stable, and repetitive character of Chopin's ostinato figure evokes the
gentle stasis-through-motion of the Romantic Spinnerlied, suggesting an
atmosphere of rustic simplicity. It further recalls certain ubiquitous
seventeenth- and eighteenth-century Figuren that appear in nature-pictorial
movements and musically represent running water or gentle breezes. As a
musical topic, we might describe the overall expressive effect as "harmony
with-nature," nature being understood in its gentler aspect. If we trace this
figure through the entire prelude, we see that it is employed continuously,
undergoing occasional changes of harmony, until the final measures. There it
is doubled by the right hand and subjected to fragmentation and a registral
ascent prior to the two final tonic chords that signal the work's conclusion.
Overall, one function of the topic "harmony-with-nature" in this piece is to
provide a specific background environment within which the thematic
material can move.
In example 2, topic is employed in a very different manner. This excerpt

contains the Golden Section point (m. 67) in Mozart's Fantasia in D Minor,
K. 397. The first ten measures of the example feature the third and final
appearance of a rhythmically hesitant opening theme, which has been engaged
in busy dialogue with contrasting thematic material and unstable transitional
passages since the beginning of the work. The musical topic up through
measure 54 has been characteristically fantasia-like: frequent changes of
tempo, a large number of contrasting motives, the alternation of harmonically
stable and unstable passages, frequent chromaticism, a prevailing minor
Much of the content of this article will also appear, in a slightly different form, in
Byron Almén, A Theory of Musical Narrative (Bloomington: Indiana University Press,
forthcoming).
2 Indiana Theory Review Vol. 25
mode, and an absence of (perfect) authentic cadential confirmation

primary key areas.
EXAMPLE 1. Chopin, Prelude in G Major, op. 28, no. 3, mm. 1—6
Vivace
>
8s
#• É *p"
4
/ leggieraleggiemmenle
mente
■*—*"
mfm "ffrr^rr m m
"frrrTrr m P 0
Fffrm rf
I
^§g
1—j
=Msst =
jTm »rfffl I Jmirrrryi I .jjrfi Ë»a
fa istss3 ex-»
* #"rrrrl^
Although the opening theme of example 2 is energetically diffuse due to
its frequent rests, accented non-chord tones, and isolated melodic fragments,
it returns in measure 45 in its most forceful manifestation thus far, having
been prepared by an impressive, chromatically dense cadenza passage on the
dominant. Further, the rapid registral ascent of the melodic line after measure
51 effects a stronger upward melodic thrust than was the case in this theme's
earlier appearances. The rhythmic hesitancy of measures 45—51 is
counteracted by the repeated figures in measures 51—52, and the cadential
drive combines both the registral ascent of measure 5 3 and the beginning of an
authentic cadence in measure 54. All of the musical features in this passage
suggest that the long-delayed cadential arrival is at hand.
While the subsequent measure does complete a dominant-to-tonic
harmonic progression, the anticipated moment of closure fails to arrive—a
failure that is effected by the most fundamental topical shift in the piece.
Every musical parameter that was previously unstable and dysphoric now
becomes graceful, euphoric, and free of formal-cadential cul-de-sacs. An
entirely new theme appears, supported by the parallel major mode. The
hesitancy of the opening theme is supplanted in the Allegretto by hypermetric
predictability, balanced phrasing, increased regularity in rhythmic values, a
clear tonal profile in the melody, and a conventional formal model with
Almén, Narrative and Topic 3
immediate cadential confirmation. This theme combine

character of the piece's introduction (now in the major mo
resemblance to the forceful contrasting theme in measure
conveyed via the repeated-note figure of m. 59). In this ne
topical environment, the overall effect is one of assurance. T
key are further confirmed in the remainder of the piece, an
of the fantasia topic—the cadenza in measure 86—is
framework of stability represented by the allusion to th
concerto.
EXAMPLE 2. Mozart, Fantasia in D Minor, K. 397, mm. 45—70
Tempo I
> 1
63
• »rrf f i # i j-~r
,r
jiTj fehJ
~Y
In this example, two contrasting topical fields—differentiated by c

in mode, formal clarity, meter, tempo, and polarities of chromaticism
diatonicism—help to create the piece's significant expressive turning
which occurs at the elided cadence of measure 55.' Implicit in th
discussion is the assumption of a narrative trajectory, which will appea
a listener recognizes a fundamental opposition within a work and can
its progress and, particularly, its outcome. In contrast to example 1, w
single topic provides a framework for the whole work (which may or m
contain the potential for a narrative trajectory to be perceived), exam
illustrates the way in which a change of topic can reinforce, highlight,
constitute the primary oppositions within a narrative trajectory.2
The third example shows the opening measures of the first movem
Beethoven's Piano Sonata in A-flat Major, op. 110. In this excerpt,
topics appear in succession. The gentle theme of the opening four b
hybrid of the sarabande and chorale. While the antecedent function o
phrase implies a consequent to follow, the unexpected recitative em
from the fermata frustrates the theme's forward momentum. Rather than the
foreshadowed consequent, what follows instead is a new theme (mm. 5—12),

also displaying sarabande features (slow tempo, emphasis on the second beat),
but with a "singing" topic in the melody and accompaniment. The passage
sheds its chorale associations as it creates a more unalloyed dance-like
environment, giving the impression that the initial theme was a false start.
The new theme is then affirmed by a rhythmically active transition
characterized by the "brilliant" style. This passage features rapid arpeggiations
that first outline the tonic triad, then move away to prepare the subordinate
key of B major, which arrives—after some digression—in measure 28.
'i am loosely following Robert Hatten's usage of the term "topical field," which he
defines as "larger areas . . . that are supported by topical oppositions." See Robert S.
Hatten, Musical Meaning in Beethoven: Maikedness, Correlation, and Interpretation
(Bloomington: Indiana University Press, 1994), 295.
2Topic also plays a role in delimiting smaller musical spans in this piece, but I will not
elaborate on this aspect here.
Almén, Narrative and Topic
EXAMPLE 3. Beethoven, Piano Sonata in A-flat Major, op. 110/i, mm. 1—15
Moderato canta t>ile molto e spressivo
r4=T\ E±
i-f^ r
p con ami bilild
P-F—p MP ^
(sanfi)
-l /* < > >
Jp p „ =p=g
r
I I I I I 1 I I ~F^^~
j
—
®f
mwnrm
T
©„ ,
f
T
*
F^*fi
Y B
1 1 i—— --^ ^"*1 ^rfrrn
====J
t^sr
--JJJ—J_J^L„
»
Lm i ■ I ^
By this point it appears that at least one narrative trajectory is po

based on the supplanting of one theme by another. In contrast to the
opposition of the two main topical fields in example 2, this third e
illustrates a more complex relationship between topics. Here the to
more localized, serving to flesh out individual semantic units, or isoto
Eero Tarasti has labeled them.3 A narrative interpretation, if one is bor
by subsequent events, would involve the coordination of these isotopi
global set of relationships that suggests a particular resolution to wha
conflict was developed. Topic, in this instance, influences narrative on
different level than was the case with examples 1 and 2.
The above examples reveal that while narrative and topic ar
primary contributors to the creation and identification of musical expr
the relationship between them is variable and often complex
phenomena have generated their own extensive theoretical and an
literature in the last generation,4 but there have been few attempts to
3Eero Tarasti, A Theory of Musical Semiotics (Bloomington: Indiana University

1994), 6-10.
important sources include Carolyn Abbate, "What the Sorcerer Said," 19th-
Music 12 (Winter 1989): 221—30; Abbate, Unsung Voices: Opera and Musical Narrativ
Nineteenth Century (Princeton: Princeton University Press, 1991); V. Kofi Agawu, P
With Signs: A Semiotic Interpretation of Classic Music (Princeton: Princeton Universi
1991); Wye Jamison Alienbrook, Rhythmic Gesture in Mozart (Chicago: Unive
Chicago Press, 1993); Almén, "Narrative Archetypes in Music: A Semiotic Ap
(Ph.D. diss., Indiana University, 1998); Almén, "Narrative Archetypes: A Crit
Theory, and Method of Narrative Analysis,"journal of Music Theory 47, no. 1 (Sprin
1—39; Marshall Brown, "Origins of Modernism: Musical Structures and Narrative Fo
in Music and Text: Critical Inquiries, ed. Steven Paul Scher (New York: Cambridge U
Press, 1992), 75—91; Edward T. Cone, "Schubert's Promissory Note: An Exerc
Musical Hermeneutics," 19th-century Music 5 (1982): 233-41; Marta Grabôcz, "G
Narrative Grammar and the Analysis of Sonata Form," Intégral 12 (1998): 1—23; Gr
"Paul Ricoeur's Theories of Musical Narrative and their Relevance for Musical Narra
trans. Ryan McClelland, Indiana Theory Review 20, no. 2 (Fall 1999): 19—39;
Kerman, Contemplating Music (Cambridge, Mass.: Harvard University Press, 198
Kivy, The Corded Shell (Princeton: Princeton University Press, 1980); Kivy, So
Semblance: Refections on Musical Representation (Princeton: Princeton Universi
1984); Michael L. Klein, "Chopin's Fourth Ballade as Musical Narrative," Music
Spectrum 26, no. 1 (Spring 2004); Kevin Korsyn, review of Wordless Rhetoric: Musi
and the Metaphor of the Oration by Mark Evan Bonds, Music Theory Spectrum 16, no.
1994): 124—33; Lawrence Kramer, Music as Cultural Practice: 1800—1900 (Ber
University of California Press, 1990); Kramer, "The Narrative Moment," Lenox Aven
(1999): 59—62; Fred E. Maus, "Music as Drama," Music Theory Spectrum 10 (1988
the relationship between them, in part because a consensus

about the nature and character of musical narrative. Recentl
fruitful developments have made this issue less problemati
at its point of departure the work of Robert Hatten on top
own previous research on narrative. Starting from the
theoretical foundations, the discussion below will suggest a
the various ways narrative and topic may interact in musical
Topical Analysis
Topic, as a conceptual and analytical tool, has found its w

about music in the last generation or so after its prominen
Leonard Ratner's book Classic Music: Expression, Form an
thorough and exhaustive discussion of the concept of to
however, is likely to be found in the 1994 book Musical Mean
Markedness, Correlation, and Interpretation by Robert Hatten.5
part of a larger theory of expressive meaning that conside
aspects, how oppositions of musical elements give ri
oppositions, how the juxtaposition of expressive types b
expressive interpretations, and how individual, piece-spe
Maus, "Music as Narrative," Indiana Theory Review 12 (1991): 1—34; Ve

and Narrative Revisited: Degrees of Narrativity in Beethoven and Mahl
Royal Musical Association 126, no. 2 (2001): 193—249; Raymond Mon
Semiotics in Music (Philadelphia: Harwood Academic, 1992); Jean-J
One Speak of Narrativity in Music?" Journal of the Royal Musicological
(1990): 240—57; Anthony Newcomb, "Once More 'Between Abs
Music': Schumann's Second Symphony," 19th-century Music 7 (A
Newcomb, "Schumann and Late Eighteenth-Century Narrative Strat
Music 11 (Fall 1987): 164—74; Newcomb, "Narrative Archetypes a
Symphony," in Music and Text: Critical Inquiries, ed. Steven Pau
Cambridge University Press, 1992), 118—36; Newcomb, "The Polonaise-
of Musical Narrative," in Chopin Studies 2, ed. John Rink (Camb
University Press, 1994): 84—101; Leonard Ratner, Classic Music: Expres
(New York: Schirmer Books, 1980).
5Ratner, Classic Music; Hatten, Musical Meaning in Beethoven. Other
address the issue of musical topic include Agawu, Playing with Sig
Fourth Ballade"; Klein, lntertextuality in Western Art Music (Bloomingt
Press, 2005); Micznik, "Music and Narrative Revisited"; Monelle, Lingui
Music; and Monelle, The Sense of Music: Semiotic Essays (Princeton: Pri
Press, 2000).
become encoded into a conventional stylistic feature (type) that in tur

as raw material for new expressive correlations.
Most important for our context, however, is the way in wh
implications of musical topic are developed. Using the music of Beeth
a stylistic test case, Hatten starts with the premise that topics ar
words of David Lidov, "richly coded style types which carry features
affect, class, and social occasion such as church styles, learned sty
dance styles. In complex forms these topics mingle, providing a
musical allusion."6 Hatten employs topic in the traditional Ratnerian
understanding a particular configuration of musical characteris
correlating with a specific expressive domain. This is in evidence
highlights the employment of a "monumental" hymnic topic in
movement of the Hammerklavier, characterizing it as involving "
diatonic triads, slow harmonic rhythm, and a slow tempo."7 As a
clarification he points out that Ratner's topics involve a mixing of c
such as style, word painting, motivic associations, social occasion, or
discourse (high/middle/low).8 Hatten's first innovation is the rec
that all topics emerge from an "oppositional network of meanings,"
to say that they acquire meaning insofar as they differ from other
configurations of musical elements that might be employed inste
makes possible, on the one hand, a clear understanding of the ways ex
correlations are created (e.g., the particular impact of the Picar
involves using a major triad instead of a minor triad as the goal of an
cadence in the minor mode); and on the other hand, a way of m
expressive terrain using possible stylistic choices from a small nu
parameters as coordinates (for instance, the combination of high/mi
styles with major/minor modes). When employed over large musical
this latter approach identifies what Hatten calls topical fields, suc
pastoral or the buffa, which may or may not interact in a particular
engender new hermeneutic interpretations.10 On the level of an enti
or movement, the change of state from one topical field to another,
employment of a single topical field to the exclusion of others, r
6David Lidov, foreword to Musical Meaning in Beethoven by Hatten, x.

7Hatten, Musical Meaning in Beethoven, 14.
8Ibid., 74-75.
9Ibid., 80-81.
1 °Ibid., 295.
expressive genres that amount to large-scale paradigms

expression analogous to formal schemes in the sphere of stru
Using Hatten's mode of interpretation, we might unders
prelude from example 1 as embodying a pastoral expressive
topical field pervades the entire piece. Likewise, the M
excerpted in example 2 can be interpreted as a tragic-to-triu
genre, in which one topical field gives way to another. I will
Hatten's implicit recognition that topic can be used at d
magnification (local, sectional, global) is of great usefuln
theory of topic and narrative. I will also suggest that expres
successfully integrated with a theory of narrative: they fo
possible narrative schemes in which topic (and not some
phenomenon) plays a primary role in articulating either th
frame (as in example 1) or the conflict that embodies the p
level (as in example 2).
Narrative Analysis
I have previously outlined a theory of musical narrative1

James Jakob Liszka's semiotics of mythic narrative and
theory of archetypes.13 Liszka's understanding of narrative
tracking the temporal course of a cultural hierarchy placed in
Narration focuses on a set of rules from a certain domain or
of cultural life which define a certain . . . hierarchy, and pla

in a crisis. There is a disruption of the normative function
rules—they are violated, there is some transgression. The n
then unfolds a certain, somewhat ambivalent, resolution to th
depending on the pragmatics of the tale: the disrupted hier
restored or enhanced or, on the other hand, the hierar
destroyed, leading to social anomie, or terrible tragic consequ
. . . The ambivalence of the resolution reveals the pres
certain tension which serves as the dynamic of the narra
tension between an order or hierarchy, i.e., a set of rul
"Ibid., 290.
"Almén, "Narrative Archetypes."
13James Jakob Liszka, The Semiotic of Myth: A Critical Study of the Sy
Indiana University Press, 1989); Northrop Frye, Anatomy of Criticism: F
Princeton University Press, 1957).
imposes an order on a culture, and the possibility of its transgression,

i.e., the possibility of an alternative order.14
Since musical phenomena can be organized into explicit or implicit hierarc

in many ways, Liszka's model describes musical narrative as effectively
does mythic narrative. To put this model into practice—to constru
musical narrative—the listener or analyst must recognize and coordi
three levels of operation (the labels for which are appropriated from Lis
model):15
1. An agential level, in which musical-semantic units are identified,

characterized and located in time. This level is analogous to Eero
Tarasti's use of the Greimasian term isotopy, which is a unit that
coheres via the "principles that articulate musical discourse into
coherent sections."16 Using Hatten's terminology, we might also say
that an analysis of this level involves the identification of those musical
elements in an isotopy that are marked or unmarked with respect to each
other or to an implicit model or ideal.17
2. An actantial level, in which the dynamic relationship between each
isotopy in the piece is defined. Here each musical-semantic unit is
understood to have one or more expressive functions with respect to
the narrative trajectory; these functions will be coordinated through
the articulation of a fundamental opposition at the narrative level. This
will generally manifest itself as the increase or decrease of a certain
expressive quality or characteristic in successive appearances of related
isotopies, a modification that alters the relative status of one musical
unit with respect to another. Again, we can appeal to Tarasti and
Greimas for a model of actantial analysis through their concept of
modality, through which the "activity" of isotopies is imbued with
meaning by interpreting that activity in relation to an environment.18
This level breaks through the inherently bounded quality of units at the
agential level (or of any expressive units per se, including individual
topics) to reveal the dynamic interaction between units.
l4Liszka, The Semiotic of Myth, 15.

lsIbid., 121-40.
16Tarasti, A Theory of Musical Semiotics, 6—7.
nHatten, Musical Meaning in Beethoven, 34—38.
l8Tarasti, A Theory of Musical Semiotics, 38.
3. A narrative level, through which the interactions of the e

are understood in relation to the playing out of tensions
order-imposing hierarchy and a transgression of that hi
conflict can be expressed in terms of a combination o
oppositions: order/transgression and victory/defe
permutations of these oppositions collectively define fou
archetypes. A romance narrative involves the victory of an or
hierarchy over its transgression (victory + order); a trag
involves the defeat of a transgression against an order-imposi
(defeat + transgression); an ironic narrative involves the
order-imposing hierarchy by a transgression (defeat + order);
narrative involves the victory of a transgression over an o
hierarchy (victory + transgression).19
The determination of a narrative archetype is not solely dep

musical data; it is crucially linked to the interpretive standpoin
or analyst, who must determine what value to place on eve
pole of the opposition will elicit the participative sympathy of
analyst). In counterbalance to the infinite variety of relationsh
established in the first two levels, the narrative level identifies
of archetypes that describe the overall trend of the narra
provides a standpoint through which the listener can inter
narrative reading of a piece. The categories at this level ar
Hatten's expressive genres, although they are not limited in t
to topical fields or to a succession of topical fields. The arche
the "bottom-up" contributions of the agential and actantial lev
their narrative impact in relation to a culturally significa
classification scheme.
The cultural significance of this third level—and of musical narrative in

general—is not merely taxonomic; the archetypes provide a functional
justification and explanation for narrative organization in temporal media. By
tracking narrative trajectories in musical works, we are observing strategies
that apply to any arena where divergent hierarchies are set against one
19Liszka, The Semiotic of Myth, 140. Liszka appropriates the four archetypes labels and
their general features from Frye, Anatomy of Criticism.
another, whether political, social, interpersonal, psychological,

ideological.20
Issues in the Integration of Topic and Narrative
Given these definitions of topic and narrative, several other observa

can be made. These five corollary statements are crucial to the proje
integrating topical and narrative analysis, and I will discuss each in turn. F
as a locus for a network of correlations, topic is expressively static. By contra
as a manifestation of the playing-out of a fundamental opposition, narrat
expressively dynamic. This is not to say that successive instances of a single to
cannot undergo change or development, but rather that the mechan
through which individual topics interact are not specified by the definiti
an individual topic per se. Likewise, while topics can certainly expr
activity—as, for example, with storm or battle topics—they are neverth
expressing a state of activity, rather than a change of state. Consequently,
theory requires supplementation in cases where multiple topics are prese
a single work in order to account for the expressive implications of
juxtaposition.
There are a number of ways to do this: Hatten's expressive genres
principle of troping are responses to this problem, as is Kofi Agaw
appropriation of Schenkerian temporality and beginning/middle/end
rhetorical gestures. These approaches are not mutually exclusive; they de
on what subset of the universe of meanings is being considered. Express
genres, for example, are limited to conveying only the expressive ef
derived from combining topical fields. Agawu's method does not expl
uncover the expressive implications of grafting topical successions o
Schenkerian graph; such implications are fleshed out by means of educat
speculation after the analysis has been carried out.
20A more extensive treatment of these issues can be found in my forthcoming bo

Theory of Musial Narrative. This work also treats a number of other narrative issues:
manifestations of narrative in different artistic media, a detailed account of Lis
semiotics (focusing particularly on markedness, rank, and transvaluation), connections
other approaches to musical narrative, detailed analyses and explications of the
narrative archetypes, additional analytical lenses (archetypal subtypes, narrative p
discursive strategies, rhetorical mode, Micznik's degrees of narrativity, to
classifications, primary narrative level), and the dependence of narrative interpretatio
cultural considerations and the interpreter's standpoint.
One obvious strategy that has not been fully devel

incorporation of topical data into a narrative analysis. This ap
advantage of potentially allowing for other expressive me
explored in tandem with topic (for instance, programmatic me
borrowings, or lower-level correlations such as the registr
height and depth that do not cohere into topics); that is, the
specifically topical in orientation. Further, the confluence of
top-down approaches in narrative analysis allows the analy
distinct contributions of each level: for example, broad simila
two pieces on the narrative level might be combined wit
realizations on the actantial and/or agential level. Finally, a n
allows topical elements to play a role at multiple levels, and c
functions of the various elements at each level. With respect
character of narrative, it is specifically the actantial and narra
are concerned with the relationship between different isot
analyses are therefore not suitable for pieces in which change
expressive role.
Second, topic can exist in the absence of narrative, and narrative
absence of topic. Since topic and narrative have different
temporality, the effect of various combinations of the tw
distinct. At one extreme would be a piece with a single topica
not evince narrative organization (either because significan
changes-of-state were minimized, or because the listener did n
work with a readiness to understand the piece in a narrative f
In this instance, the work would have the effect of a charact
piece, or a mood painting (the aural equivalent of a visual art
the primary impression is the establishment of a "spatial" expr
extreme would be difficult to bring about in works emplo
tonality, since harmonic contrast and opposition are virtually
avoid; but the state could be closely approached in piec
contrasts were minimized or deemphasized.
At the other extreme would be a piece with narrative o
which topic did not play a role. Again, this would be difficult
functional tonality, since almost any such musical succession w
capture some topical association. Since topics are gene
combinations of musical events, however, it would be poss
parameter (harmony, for example) to manifest a significant o
that narrative dynamics were discernible without en
associations. Between these two extremes are countless varieties of w

which topic and narrative combine in a particular work. Indeed, topic c
active at one or more levels of magnification, while narrative potentially coord
these levels to provide interpretive coherence. This aspect will be examined in
detail in the final section of the article.
Third, a listener's perception of narrative requires both musical activity t

supports a fundamental opposition and the listener's openness to recognize and interp
this activity as narrative. A familiar example of this situation
interpretation of the conventional sonata structure. That music students
often need to be directed to listen for the essential stages of the so
narrative is clear indication that an aural predisposition to hear narrati
essential to its functioning. Narrative is not, therefore, an innate princi
music, although it can be more or less strongly embedded into a compo
by a work's use of contrast and opposition.
In the literature on musical narrative it has been claimed, by Antho
Newcomb and Carolyn Abbate among others,21 that narrative arise
response to disruptions in traditional form, or appears when more com
formal or structural explanations are not possible. Nevertheless, it
seem more likely that the sonata principle, in which contrasting keys and
associated theme groups are reconciled in the recapitulation, was at f
narrative scheme that achieved strong cultural sanction. That the
ubiquity of the paradigm strongly encourages the listener to follow
interplay of key and theme does not diminish the form's narrativit
success of the sonata principle may lie, as Raymond Monelle has suggest
not only in the musical effectiveness of the formal design, but also in
suitability of the narrative—whereby the interplay of themes, motives
tonal regions unfolds a hermeneutic reintegration of a transgressive ele
back into society.22
Recognition of musical topic also requires listener interpreta
although, by their very nature, topics are culturally coded so that
familiar with the contemporary or stylistic use of the musical language w
likely to recognize them. Topics also frequently involve correlations th
so strongly reinforced over time as to be nearly universal: the disti
between a euphoric major and a dysphoric minor mode, the associat
21Newcomb, "Narrative Archetypes," 19—20; Abbate, "What the Sorcerer Said," 2

22Monelle, Linguistics and Semiotics in Music, 232.
register with direction, or of rhythmic activity with motion

will of course be more of a problem for listeners who approa
outsiders from a different culture or time period, but in gene
are simpler in constitution, they are less subject to varying int
are narrative structures.
Fourth, individual narratives can be simple or complex, depending on the number

of distinct isotopies, the complexity of their ordering in the piece, and the nature of the
relationships between them. Both the Mozart fantasy (example 2) and the first
movement of Beethoven's Opus 110 (example 3) can be perceived as
possessing narrative organization. Even from these brief excerpts, however, it
should be clear that the two narratives are likely to differ in their complexity.
Whatever the other details, if the Mozart example features a strong topical
differentiation between the first and second parts of the piece, and if this
dividing point is correlated with the fundamental opposition, then the
narrative level, at least, will be easy to map. In the Beethoven example,
however, there is no clear relationship between topic and the fundamenta
narrative opposition. Indeed, the multiple topics involved in this piece do not
exhibit a clear-cut oppositional relationship; thus, the interpretation of the
details, including the identification of narrative levels, will be relatively more
complex.
Fifth, the boundaries of what is and what is not a topic are dfficult to define with
certainty. Certain expressive correlations seem to skirt the edges of the topical
domain, while others are relatively distinct but intermingle with topic in
musical works to the point where it is difficult to distinguish them. In the first
category are correlations like those mentioned above, which are too subtle or
pervasive to be considered a topic when taken alone. Examples include the
correlation between dynamic change and change of intensity or expressive
status, the correlation between registral change and motion in space, the
correlation between tonal regions and notions of center and periphery, the
correlation between rhythmic activity and motion, and the correlation
between tempo and energy level. All of these correlations are extremely
important in narrative analysis when determining the expressive
characteristics of an isotopy or comparing the relative status of successive
isotopies.24
23See Victor Zuckerkandl, Sound and Symbol: Music and the External World (New York:
Pantheon Books, 1956).
24The most sensitive theoretical treatment of these issues in recent years appears in
Tarasti's discussion of discursive categories (spatiality, temporality, and actoriality), domains
In the second category are forms of musical expression that are clear
distinct from topic, such as certain types of programmatic associati
musical borrowing, or motivic or thematic intertextuality. In a more gl
sense, all these concepts, including topic, can be considered as exampl
the semiotic process, since all involve a concept in one domain being mad
stand for a concept in another. These issues are too complex to be addres
here in more detail; a fuller treatment of musical meaning that situates
possible contributions in a coherent framework remains to be accomplish
For our purposes, however, it is sufficient to say that these borderli
overlapping phenomena would function in a manner similar to topic
respect to its role in narrative processes. Indeed, one of the advantag
narrative theory is that the analyst may use virtually any method
identifying and characterizing isotopies and for determining t
relationships, so long as these methods effectively account for diffe
manifestations of musical expression.
A Typology of Interactions between Narrative and Topic
In the remaining pages of this article, I will illustrate a spectrum of n

possible intersections of narrative and topic, a spectrum articulated both w
respect to these elements' presence or absence and by the use of top
different levels of magnification within a narrative scheme (see table 1 ). T
illustrations can serve as models for analytically recognizing and clarifying
relationship between narrative and topic. As space does not allow for a f
narrative and topical analysis when illustrating each category, I provi
some cases a summary intended to allow the reader to observe the ge
lines along which a complete analysis would proceed, while making clear
relative roles of the two expressive mechanisms under discussion.
within which various parameters are carefully examined for their contributions to mu
expression. See Tarasti, A Theory of Musical Semiotics, 59—111.
TABLE 1. Interactions between musical topic and narrative
Type I Non-narrative piece with topic

Type II Narrative within a single, overarching topic (topic as frame)
Type III Narrative with two topical fields that constitute poles of the narrative
opposition (topic with level 3 narrative involvement)
Narrative with topical fields not identical to the poles of the
fundamental opposition (or to any musical agents), but serving
Type IV
to signal important moments in the narrative (topic with level 2
narrative involvement)
Narrative with topics used primarily to define musical agents (topic
Type V
with level 1 narrative involvement)
Type VI Narrative with topic playing a variety of roles (see types II—V)
Narrative with topics that do not contribute significantly to the
Type VII
narrative trajectory
Type VIII Narrative with no topical elements
Type IX Non-narrative, non-topical works
Type I. Non-narrative piece with topic. As discussed above, it would be

difficult in most styles to find a piece that had no contrasting musical elements
of any kind. There are any number of pieces, however, that resist narrative
interpretation because of the unlikelihood that a listener would recognize a
fundamental opposition. Such is often, but not always, the case with short,
strophic works intended primarily to convey the meaning of the text via
word-painting, clarity of texture, and topical allusion. Schubert's
"Wiegenlied" is representative of this category (see example 4, below).
"Wiegenlied" is a lullaby comprising identical settings of three verses by
Matthias Claudius that explore the metaphorical identity of sleep and death. In
keeping with this theme, the musical material is simple and repetitive with
respect to harmony, melodic contour, cadential design, and phrase length.
Clearly the work makes use of the lullaby topic, one in which simplicity and a
lack of musical tension are the primary characteristics. Also relevant is the
rocking accompaniment figure in the piano part (appearing in mm. 1—4, 7—8,
and in varied form in mm. 9—10). The harmonic progression alternates
continuously and solely between tonic and dominant, an oscillation reinforced
on the formal level by the alternation of half and perfect authentic cadences
(mm. 2, 4, 6, and 8). Likewise, the melodic line centers around the pitches
C5 and Bl>4 (3 and 2), which take turns as structural pitch and neighbor note,
twice resolving to Al>4 (in mm. 4 and 8).
Indiana Theory Review Vol. 25
EXAMPLE 4. Schubert, "Wiegenlied," D. 498
Langsam.
Langsam.
Singstimme.
Sings timme.
^ " ■1
r r ^p-f
i j irpi (i f m
' r j i r r u
Schla - fe, schla -- fe,
fe, hol-der,
hol-der, svi
sü -- sser
sser Kna
Kna -- be,
be, lei - se wiegt dich
Schla - fe, schla - fe, in dem sii
sü - ssen Gra - be, noch be - schiitzt
schützt dich
Schla - fe, schla - fe, in der Flau - men Schoo - sse, noch um - tont
tönt dich
:n ri
Pianoforte.
pp
fe=
fe
ejLt
EJLt j ' rj p' T
WJWJ
Ir PFr
Ir Jm1 rJr1g r r [j
dei-ner Mut - ter Hand; sanf - te Ru - he, mil - de La - be bringt dir schwe - bend
dei-ner Mut - ter Arm. al - le Wiin
Wün - sehe,
sche, al - le Ha - be fasst sie lie - bend,
lau-ter Lie - bes - ton; ei - ne Li - lie, ei - ne Ro - se, nach dem Schla - fe
MA
mm sè
É
m
fe
die
die -- ses
ses Wie
Wie--gen
gen- -band,
band,
al - le lie - be - warm,
werd' sie dir zum Lohn.
rfe TO.,
f4=^ J
n J J—r— Jjj] jtoj.—*
/^#n ■J
_ m ;
—3—*—,—* =F= =t
^ c_r
C—TJ^ -J
>
"P1
■f
>
2
U.
u. {AU U. - 1 Jfcï
UU
There is little in this piece that would lend itself to a narrative

interpretation. There are no mode or key changes, and very few elements of
melodic contrast. Deborah Stein and Robert Spillman observe that "in the
absence of any chromaticism or key change in 'Wiegenlied,' the dominant is
the sole element of melodic tension, where the V7 chord must resolve to I,
and where melodic pitches of V7 (especially the leading tone,

of V7, Dt) need to resolve to tonic pitches (At and C re
Although it would be possible to perceive a narrative goal coin
strong cadential arrival on the tonic triad, the ease with whic
accomplished in "Wiegenlied," coupled with the continual
alternation on the harmonic level, makes such a narrative tra
trivial. It would appear that narrative organization requires m
motion toward a goal than is evident in this work. Using a
literary narrative, if the protagonist is essentially unchanged, o
what is desired, then there is little reason to be intereste
Rather, the change or achievement should be hard-won an
complex to be worth the telling. As a narrative, then, "Wi
not be worth the telling using any parameter or combination
that one might wish. Even the most promising narrative eleme
resolution to A\> in measures 4 and 8, is undermined by the
tonic triad (including the tonic pitch itself) in every meas
simplicity and predictability of harmony and form.
"Wiegenlied" derives its expressive interest, then, from ot
musical meaning. First, its topical allusion to the lullaby brings
set of associations and moods. Second, brief moments of word
gentle turn figure sung with the text "süsser" in measure 2, t
the initial "Schlafe" motive as a soothing gesture—reinforc
text. Third, the text itself provides the primary expressive in
striking aspect of "Wiegenlied" is the shock or moment of ins
when, in verse 2, the listener realizes that the child being
asleep, but dead. The poignant grief that arises from hea
continue a nightly ritual in the absence of its original purpos
way of comforting herself) grabs the listener in a mann
reinforced by the stubbornly gentle topical environment and
any musical narrative trajectory. In this piece, then, musical na
the work's meaning is negotiated between dynamic text and st
Type II. Narrative within a single, overarching topic. Here w
Chopin prelude discussed above with regard to topical en
example 1). Like the Schubert song, this work for piano uses
to create an overall mood or character—in this case, the "harm
first suggested by the hypnotic accompaniment figure that o
2SDeborah Stein and Robert Spillman, Poetry into Song: Performance and A
(New York: Oxford University Press, 1996), 111.
Unlike the Schubert song, however, there is in the prelude some potentia
a listener to perceive a narrative trajectory. One fundamental opposition t
exploited involves the contrast of registral space and directional con
embodied in the motives of the two opening subphrases (mm. 3—6).
EXAMPLE 5. Chopin, Prelude in G Major, op. 28, no. 3: motives a (mm

and b (mm. 4—6)
jM A b -Sr. c cd
m
•?
U
-w .
r '
These motives are obviously related

like the accompaniment figure under
Further, both contain short, dotted r
dignified quality and suggest a
similarities, several musical aspects c
motive, a, with its predominately hal
the piano's middle range, is more
motive, b, reverses the upward direct
and contains slower note values and
element of "striving upward" in a is a
but in a higher register, suggestive o
accompaniment, the a motive's u
uncomplicated; largely arpeggiating th
of assuredness rather than restles
reinforced by its beginning on the fift
The persistence of the tonic key in m
motive on the tonic pitch seems to s
registral motion.
The relationship between a and b
between oppositional and compleme
separation implies a need for its re
opposition. The oppositional aspect
directional contour, with the profile o
ascent. On the other hand, there are
that suggest an echo effect between
rhythm that concludes motive a in measures 3—4 is also used to

b in bars 4—5, giving the latter motive the character of
continuation, or reprise of the first motive. In a certain sense,
considered two halves of a larger figure—note that b inverts
content of a. Their opposition therefore suggests a kind of inn
which two aspects of a single personality enter into dialogue.
Three further, more hidden aspects seem to support this i
The first is the continuity of the melodic line outlined by
motives, which (in mm. 3—5) describes a stepwise segment E—
hidden by the registral shift. The second aspect is the cont
registral ascent of motive a (D+ to B4 to Ds) up to the Bs in mo
1). The third aspect is the resemblance of the entire melodic
the notes of the accompaniment figure.26 The pitches in a+b (D
B—G) are found in exactly the same order in the accompanime
2, 5, 8, 9, 10, 11, and 13), and both contain the climactic
figure E—D.
The narrative implication, borne out in later material, is t
and b constitute the primary oppositional elements. These
some form of kinship, but are prevented from realizing this
factors: their registral separation and the directionality o
contours. The narrative program in this case consists of vario
bring the two motives into a more harmonious relationsh
removal of these two obstacles. (Note in particular the registr
fourth, B+—Es, between the upper voice of a and the lower voi
play a role in the eventual resolution of this conflict.)
Motives a and b are thus the piece's significant musical agen
functionally under the aegis of a global narrative trajectory. T
this trajectory is generated by the fluctuating nature of thei
which sets up a semiotic opposition between the potential for
the potential for separateness. The former is musically realized
similarities between motives a and b: their dotted rhythmic c
degree of harmonic stability, their shared initial arpeggiation
triad, and their overlapping registral compasses (the span B4—
26I consider the upper line to be the melodic line, although the right-
actually in parallel thirds, lending a euphoric quality to the melody.
discussion of the melodic line, the parallel voice will be considered with r
register.
both). In addition, they combine to form a linear voice E—D—C—B

middleground level, suggesting an organic connection through this
contiguity. The connection is reinforced by the continuation of the re
ascent of a into the beginning of motive b, preventing too great a disju
between them. Finally, the two motives both partake of the charact
shape of the accompanimental figure: apart from sharing its lilting, dig
and dance-like quality, the composite contour of the right-hand phrase
its staggered arch shape, is a reflection of the same shape found in the
hand part.
By contrast, the potential for separation is also available to be exploited as
the piece progresses. As mentioned above, this potential is primarily
expressed through registral separation, contrasting directional contours, and
differences in the respective sequences of rhythmic events.
This conflict between two possible paths that the music might take—
toward an apparently restored unity or toward a greater degree of
distinctness—can be expressed in terms of an opposition between a narrative
"order" and a narrative "transgression." The listener must then determine the
standpoint from which this opposition will be interpreted. (Is the re
establishment of "order" to be understood as desirable or undesirable? To the
contrary, would a definitive departure from "order" be understood as

desirable or undesirable?) In this case, the topical environment plays a
significant role in suggesting narrative context. Given that the peaceful,
pastoral accompanimental frame, the major tonality, and the leisurely tempo
all suggest calm and avoidance of conflict, the listener is likely to look for a
synthesis or mediation (a new "order") rather than a separation or
"transgression." Thus, the narrative trajectory will involve the question of
whether the centrifugal elements of the two motives will lead to
fragmentation or synthesis.
What the prelude in fact unfolds is a narrative romance, a
reestablishment—through a registral and directional synthesis—of "order," of
the kinship between motives a and b. Measures 7—12 contain a modified
version of the primary melodic material, and serve to move away from
relative stability and balance: the narrative action commences in an attempt to
mediate between the contrasting elements of bars 3—6. The motive now in
play (mm. 7—8, 9—10) is a variant of both a and b, and represents a first,
unsuccessful attempt at mediation between them. Its rhythmic profile most
resembles a, absent the first pitch, but the lengthened initial note and the high
registral location (above the aforementioned overlapping region B+—E5)
suggests the less energetic b motive. The melodic profile still em

ascent, but one made less emphatic by the hesitancy of the initia
Fl, and the motive ends on a melodically unresolved high A.
The harmonic motion away from the tonic to a tonicizat
dominant further contributes to this motive's insufficiency as a
mediation between a and b; its repetition, reintroducing the tonic
the addition of a seventh to the final chord, has the effect of a half-
unfruitful insistence. Leading into the second section, the rep
anacruses of measure 11 present in succession the two as yet
registral spans.
An exact repetition of measures 3—6 occurs in bars 12—15, in
return to tonic—the obvious tonal location or goal for an
mediation. Also recurring, however, is the original separatio
contour and register—the "transgression." The difference b
passage and its earlier appearance is that the listener has now ex
intervening material, such that measures 12—15 are no long
condition, but a retreat from experimentation and a return to the
Measures 16—19 (see example 6, below) contain the first
phrases representing the expressive climax, phrases that togethe
octave descent from Gs to G4 (ending in m. 26). Instead of r
narrative conflict, the phrase intensifies it through a move to the
and an emphasis on the chromatic F1! in measure 16. The qua
motive are present, but do not coexist peacefully. On the on
rhythms of the melodic material derive from an almost obsessive
the rhythms of the a motive, producing a sense of restless a
directional profile of a, an assured arpeggiated ascent, has been
weaker reiterative figure that cannot rise higher than the F1! b
inevitably to E in measure 18. On the other hand, the melody ap
register of b and displays its characteristic descent, but without t
and rhythmic contour of b.
The second phrase of the pair (mm. 20—27) is the crucial s
respect to the narrative, as it features a resolution of the initial
This process is highlighted by a directed return to tonic (IV—V—
through the previously tonicized subdominant and dominant
harmonic locations of earlier mediation attempts). In this section—
unbroken melodic span of the piece—the melodic descent co
rhythmic profiles of a and b into a single, extended line.
EXAMPLE 6. Chopin, Prelude in G Major, op. 28, no. 3, mm. 16—33
T J
r* a, hj
^ jaJU ^
- --
8 : -— —-Jig
,//^^mPm ^ ^ 1*^
• i* P
♦ taasa " ' 1 1
0 tf
r
___
|u
T i? * » -
=^=fc=
"»
i
25
25
rf+--1
J tt
Ü
y^"
y^" #■
P m.
Ä ^ y^^
y^~~P-P m
mÄ
m ~
ß f P m~ \ \ f P m P f
mr*Wm-TT*rmP? m m m~\\fpmpf
pfp ~ \ v P m * P
»
■»
This passage also evokes a previous attempt at a syn

measures 21—26 is identical to the attack pattern
rhythm of a appears in measures 20—21 and, in a partially augm

measures 24—26, while the rhythm of b appears in measures
25. These relationships are summarized in example 7.
EXAMPLE 7. Motivic variants of a and b in the resolution passa
a'
a' b'
i
I 1
1 r
I
20
20
b^_
24 I
The f
accom
this f
narra
restor
regist
synth
regist
effect
regist
This i
piece
simila
motiv
above
the ov
non-t
traject
Type I
oppos
there
in the piece.27 For a piece to belong to this category, the prim

responsibility for carrying the narrative opposition must fall on the contrast
topical fields, with no other significant topics active on other levels. In
large works, topics tend to operate on multiple levels—contributing to
characterization of musical agents, marking off other pivotal movemen
the narrative trajectory, and so on—and belong more properly to Type
discussed below. In practice, then, the number of such pieces is limited,
these works must be modest enough in size and/or constitution that oth
contrasting features capable of supporting narrative oppositions do not
Certain Romantic character pieces and lieder are among the most sui
candidates, since they frequently involve large-scale interplay of topical f
and are, in a few instances, parametrically de-tensional enough to su
such a one-dimensional narrative structure.28
A possible exemplar is Schubert's three-verse strophic song "An

Mond," D. 468, which consists of an eight-measure modulating period
major followed by an eight-measure period (plus a two-measure postlude
A minor. The two isotopies contain contrasting accompaniment figures
degrees of harmonic complexity (the former largely alternating between
and dominant, and the latter featuring tonicization of the relative m
several diminished sevenths, frequent employment of secondary domina
and prominent chromaticism). They also support poetic lines of contrast
character—the former largely concerned with fond memories of na
settings and joyous meetings, the latter with themes of separation and
and the final revelation that the narrator-subject is singing from beyond
grave(!). In this piece, the fundamental oppositions exactly correlate wit
two contrasting topical fields, and the resultant tragic narrative theref
takes its cue from this opposition. The initial "order" represented by the
isotopy is denied by the subsequent "transgression": the separation o
lovers by the subject's death in the second isotopy. This process play
three times as the three verses are sung, with the final verse confirming
music's narrative by making the reason for separation explicit. In this p
27Strictly speaking, expressive genres can also function in a Type VI interaction,

which topics contribute to multiple aspects of narrative organization.
28Other pieces of smaller dimensions may be less suitable for one reason or anoth
although this does not rule out individual exceptions. Baroque dance movement
example, tend to feature a single, characteristic topical field, while Classical da
movements often either do the same or make use of multiple topics of short duration.
topic, narrative, and text cooperate to present a clear picture

from joy to sorrow.
Type IV. Narrative with topical fields not identical to t
fundamental opposition (or to any musical agents), but serving to s
moments in the narrative (arrival of important isotopy, point of greates
In this category, topic and narrative are not so strongly correla
or narrative, level of analysis. Instead, topic is used as an art
on the second, or actantial, level; in other words, it marks si
along the path of a narrative. The fundamental opposition inv
elements, with topics illustrating the progress of this oppositio
As an example of this type, consider the final moveme
String Quartet op. 33, no. 2. This movement can be re
narrative in which the formal paradigms of the Classical
undermined. The "transgression" is the successful challenge t
of an accepted organizational pattern. The movement feat
malleable initial theme, which undergoes fragmentation and ch
function to the extent that the organizing rondo principle
internally. Indeed, Hans Keller has written that this piec
precisely because it presents "the very first structuralizat
opposite of structure—of a process of formal disintegration."29
The narrative itself is elaborate and complex, with nar
represented by the rondo paradigm and the functional identi
theme as a beginning gesture, and narrative "transgression" r
instances of fragmentation, passages with chromatic inflection
contrasting motives, and the réévaluation of the initial mate
Space does not permit a full accounting of this narrative, wh
more detail in a forthcoming publication.30 For the p
consideration of the interface between narrative and topic, it
discuss the surprising appearance of the Adagio (mm. 149—15
to its topical characteristics and role in advancing the narrative
Haydn's choice of musical material and his formal deplo
material up to the second return of A in measure 141 are c
conventionality and sameness, perhaps even banality. Th
essentially monothematic, with each section's melodic materi
the opening theme. The formal scheme is a conventional f
29Hans Keller, The Great Haydn Quartets: Their Interpretation (Londo

Sons, 1986), 71.
30Almén, A Theory of Musical Narrative.
(ABACA), the A sections are harmonically closed, and the B and C sec
tonicize various keys before preparing the home key with dominant ped
Indeed, the work's relatively uncomplicated harmonic vocabulary
thematic homogeneity provide very little apparent material for a narrat
reading. A réévaluation becomes necessary, however, when the routine f
return of the A material is abruptly interrupted in measure 149 (ref
example 8).
EXAMPLE 8. Haydn, String Quartet op. 33, no. 2/Finale, mm. 145—172
f p f p
At the point when the digression of A's rounded binary the

mm. 9—28) should return, a new passage appears. The
dramatically, the meter shifts from a compound to a simple du
a pair of descending phrases, replete with Lombard rhythms a
the melody into a lower register. As it possesses a choppy, fra
expressed by frequent rests and uneven rhythmic activity, th
to drain the momentum from the primary motives.
On hearing this passage, the listener may recall certain mom
the movement in which fragmentation and sudden pauses were
As shown in example 9, the first of these occurs in the cadenti
A section's digression (mm. 23—28), in which short melodi
above a dominant pedal to A\>s (4). In this earlier context, the e
up anticipation for the return of the opening material. A s
appears in measures 133—140, coincident with the dominant p
the C section. While this passage is lengthier than the first, th
that of a conventional heightening of anticipation for the de
thematic return. With the appearance of the Adagio in measu
motivic resemblance can be seen between this latter passage a
dominant pedals: both are based on a short-long motive—th
earlier passages being the result of added rests between each
than signaling a formal return, as did the earlier passage
interrupts this return and creates instead a formal "roadblock."
The effect of the Adagio is to initiate a situation in which
fragmentation itself becomes the primary "transgressive" elem
Up to this point, there had been very little large-scale contras
connections of the Adagio with earlier material indicate that t
not entirely absent, but merely required sufficient emphasis
returns again in measure 153, as if nothing unexpected had ha
Adagio were an acceptable substitute for A's original digressio
see, however, the fragmentation-as-narrative-transgression n
this opening material, which is broken up into four phras
Grand Pauses (please refer back to example 8). These pauses fo
phrase to assume a new shape, since it was originally connect
phrase. This phrase, which initially contained a powerful asce
motive, now resembles the less active opening. The long
measures 166—169 seems to indicate the end of the piece, and
the opening phrase comes as a final surprise.
EXAMPLE 9. Haydn, String Quartet op. 33, no. 2, Finale, mm. 22—36
''
m ft ' m -f
fit&\J—^
ffrp * ' I CTl p
4']
4,J
k. h'v
-ft j+- 1| - T
1—7. ||r- ' r- •
a m
Il f
^
^ (0
<0 '
—' (0
(<>
G P
4J p
lip ||kk J
IIÜ
J Ii. I IT"
|cijcjr|r ^Ci
The pauses have disrupted the integrity

repetition of the opening phrase in measure
of this discontinuity. This event implies tha
is underway. Instead, this "opening" phrase
fact clarified only by a sufficient passage of
performers. Thus, with the subsequent a
Pauses, the longer Grand Pause, and the
material in the final bars, the structure of
again and again. By the end of the piece,
phrase is suitable not only as a beginning,
and harmonic stability allows it to function
The disruption of the rondo structure th
understand the opening phrase in a new ligh
respect to the motive's original function as
The opening phrase was not supposed to
appearance as such points to the multifacete
has developed more fully at the expense of
Furthermore, because of its ascent to the fi
of the Et over a weak beat, this phrase d
adding to the surprise when it actually serves as the concludin

typical of the ironic archetype that it reveals the insufficiency
hierarchical order, emphasizing instead aspects that have been
that hierarchy. The principle of fragmentation, when placed
the motives of the A section, causes that section to break apart
réévaluation of the opening motive.
In this piece, the Adagio passage, with its completely d
environment, is not identical to either pole of the narrative tr
plays out in the areas of formal conformance versus fragment
it correlate with individual theme-agents (since the motivic p
the Adagio material were not similarly constituted). Rather, i
make evident the narrative conflict, which, until that mom
merely latent in the earlier material. In this Finale, then, the c
active on the actantial (second) level of the narrative, helping t
of the significant moments in its unfolding.
Type V. Narrative with topics used primarily to define musical a
category fall pieces in which topic is employed on the agential
means of distinguishing and characterizing those musical eleme
counterpoised in a narrative analysis. As we have seen in the
above, it is possible to perceive narrative organization withou
motivic agency, but these phenomena bring music closer to li
narrative structure, and are therefore powerful mechanis
■ 31
music.
The opening movement of Beethoven's Piano Sonata

110 (refer back to example 3) is an example of
delineates musical "characters" that interact within a
space limitations do not permit a full explication of t
trajectory in this movement, the general approach to
should be clear from the brief analysis of the o
31Almén, "Narrative Archetypes in Music," provides an

relationship—including commonalities and divergences—bet
narrative.
32The character-based category of narrative is disproportionately emphasized in the

musical narrative literature. This is perhaps due to the influence of Romantic critics like
Schumann (who so often embodied their narratives in anthropomorphic theme-actors) or
to Wagnerian scholarship (in which leitmotivic patterns predispose the scholar to associate
musical events with ideas, persons, or actions). As the above spectrum of types should
make clear, such an approach is but one of several possible ways to organize music as
narrative.
Characterized through specific topical correlations, the expressive hesita

the opening theme (IP, mm. 1—4-) gives way to a transgressive theme
greater narrative status (2P, mm. 5—12) in lieu of presenting the ex
consequent phrase. This theme is subsequently affirmed and reinforced
passage replete with arpeggiations characterized by a saturation of the re
space in measures 12—19. Analogous to a scene change in a drama,
passage modulates to a new tonal region, allowing other agents to contr
to the plot.
A lengthy preparation for the arrival of El» major ensues in measures 20—
31, coinciding with the arrival of an extremely energetic S theme (mm. 28—
31), which ascends rapidly from G+ to C7 accompanied by a percussive
ostinato and a forte dynamic level. There are now two transgressive themes
(2P, S) challenging the primary status of IP, which now seems inadequate to
the task. Furthering this impression, the remainder of the second theme group
in measures 31—4-0 (motivically related to mm. 1-4) takes on a plaintive
character, as if IP were being forced to yield to the more dominant S theme.
The development, however, sets in motion a reversal of the narrative
trends of the exposition. Material from IP appears numerous times in
sequential fragments, improving the status of the opening material. When this
theme returns it appears in a much stronger position, having acquired the
accompaniment figure from the "scene change" that had previously confirmed
2P. Furthermore, the recapitulation of 2P is mitigated by its relegation to the
relatively distant keys of the subdominant and the flat submediant, rather than
a more expected return in the tonic. When the "scene change" music returns,
it is separated from 2P by an interpolated recitative, and thus no longer
appears to affirm that theme. The return of the S theme, too, is expressively
weakened by a sudden shift to V7/V in measure 97, suggesting that it is now
functioning in support of the subsequent material.
This subsequent material—the coda—reprises the chorale topic of IP.
This topic had disappeared during the development and the beginning of the
recapitulation in favor of a dance-like melody-accompaniment topic. At this
juncture, however, the chorale topic takes a leading role, returning the
tonality once again to the tonic. The arpeggiated music returns, this time in
support of IP, and 2P is completely absent. A cadential passage resembling
the yielding response to S bypasses the S theme as well. By the end of the
coda, all of the transgressive elements have been purged, leaving IP alone on
the stage. In this piece, topic and theme-character go hand-in-hand, and the
interplay of thematic elements with respect to each other and to their tonal
environments gives rise to a romance narrative; the hier

theme-subject recovers the preeminent position from melodica
tonally contrasting themes that had usurped its place.33
Type VI. Narrative with topic playing a variety of roles (see ty
potentially narrative pieces, especially those of sufficient lengt
category. Given that there are multiple ways that topic can i
organization, it is not unusual to find that several strategies a
single piece. In example 2, I considered the role of topic in hi
fundamental opposition in Mozart's Fantasia in D Minor,
new—D major—theme appears in measures 55—70 and supplan
theme (mm. 12—19) in narrative status. Unlike the Beeth
discussed previously, this piece does not present the original
regained its preeminence. Two rival interpretations of this nar
suggest themselves, distinguished by the listener's hermeneuti
these events. The first is a comic reading, in which the arriv
mode signals a desired overturning of the old thematic hierarc
new one. Here, the large-scale modal contrast of the two
(minor, then major) is a primary determinant in the reading
rhetoric of the first half of the piece repels the listener while the
D major theme comes as a relief.
A second (ironic) reading might focus on the appa
motivation of the D major arrival and interpret that event as
transgressive validity or force that it attempts to proclaim. He
hinges on the flippant denial of the theme-actors' sufferings
mode material, which "solves the problem" of the work in a m
to a deus ex machina. In this reading, the hierarchical opposit
minor-mode region are set aside, having been overtaken by
illusory new hierarchy. The disintegration of the original hiera
an undesired transgression places this second reading in the fr
ironic narrative archetype.
The fundamental opposition of two large topical fields i
evokes the similar strategy employed in Schubert's "An d
fantasia, however, has a more complicated compositional desig
33One might expect that such a narrative archetype would be the sam
utilizing the sonata principle, and indeed this is often the case (the social
this solution is one reason for its appeal). Nevertheless, other factors
romance sonatas, and topical depictions of the "tragic" or "ironic" might
role in bringing this about.
than a dozen changes in isotopy in 107 measures. As a result, a m

dimensional approach to topic is used to support the broader narrative. T
overall narrative trajectory involves thematic, registral, and cadential go
For the sake of brevity, let us proceed according to the first (comic) rea
outlined above.
EXAMPLE 10. Mozart, Fantasia in D Minor, K. 397, mm. 12—28
Adagio.
As shown in example 10, the opening theme (mm. 12—19) is

characterized by motivic heterogeneity and rhythmic hesitancy and, like the
Beethoven, is initially contrasted with a more forceful but abbreviated theme
(mm. 20—22), in this case featuring a repeated eighth-note figure and a
chromatic descent. The two themes also set up a conflict between high and
low registers; the latter is prefigured in the work's introductory isotopy in
measures 1—11, where arpeggiated figures marked this register for attention.
Finally, as we have seen, the lack of cadential closure typi

allows for the delayed perfect authentic cadence in the tonic
significant expressive arrival point.
The work's tripartite narrative goal is reached in stage
theme, whose eighth-note accompaniment figure links it with
measure 20, and whose triadic character relates to the m
introduction, supplants the original theme in measure 55
graceful, balanced phrases. Cadential, thematic, and registral
occurs in measures 98—107, when the theme returns in first t
the high register. The D major theme is thus like a character h
whose reconciling nature is at first not known, but who is abl
of the narrative, to achieve a synthesis of elements (them
cadential) in a new society represented by the new parallel mo
Topical elements operate on all levels of this narrative.
used to distinguish theme from theme. Second, they sig
moments in the narrative, as, for example, when the tran
foregrounds the registral conflict characteristic of the two in
44; see example 11 below). Finally, they effect the moment o
a third theme supplants the old order (m. 55). This employm
multiple levels contributes to narrative clarity and cogency o
of time.
EXAMPLE 11. Mozart, Fantasia in D Minor, K. 397, m. 44
Presto.
Type VII. Narrative with topics that do not contribute significantly to th

narrative trajectory. Because narrative organization involves multiple levels o
expressive correlation (thematic characterization, interaction modalities
large-scale narrative outcomes), it tends to act as a gravitational center f
semantic elements, drawing any expressive events into its network

result, it is relatively unlikely that a topic that appeared in a particula
would not play some role in whatever narrative unfolding was perc
Nevertheless, the possibility exists and, for the sake of completeness, I
the relevant category here. This situation could arise, for example, in a
in which a listener perceives a narrative interpretation in spite of a seem
contradictory large-scale topical field (for example, a tragic narrative w
joyful, euphoric topical field). In these cases, a sort of meta-irony mig
force a réévaluation of the relationship between topic and narrative, wit
dissonance between readings playing the central role. If we were to accep
semantic contributions of the text, then a narrative reading of "Wiege
discussed earlier in conjunction with Type I, might be understood in thi
and would therefore belong to Type VII.
Type VIII. Narrative with no topical elements. Determining the propo
of narrative pieces with to those without topical elements is dependent
consensus concerning what should properly be considered a topic—and
should not. In particular, to what degree does topic depend on a certain
of conventional precedence? Must a set of expressive correlatio
consistently grouped together in a reasonably large number of m
instances in order to be considered a topic? Or, conversely, is a single in
of a set of expressive correlations sufficient to define a topic? This disti
has been addressed by Hatten with respect to his type-versus-
dichotomy,34 but I do not believe that the issue has been resolved b
scholarly community. I have tended to take a rather broad view of
should be considered a topic, since almost any correlation tends to call
memory of previous examples that are in some way similar. Neverth
certain borderline cases might be discussed with respect to this cate
Consider, for example, Schoenberg's Sechs kleine Klavierstücke, op. 19,
(see example 12).
Schoenberg's early atonal works are musically idiosyncratic in relat
anything else being written at the time; thus, there would appear to b
possibility of topic playing a major role here. Nevertheless, there are c
gestural features that evoke earlier music: the graceful, if exagge
Romantic line (mm. 2—3), the tonal allusions arising from the ubiq
thirds, and an echo of the dominant-tonic relationship in the stepwise d
from G/B to C/E in the last three measures. If one chooses not to consid
34Hatten, Musical Meaning in Beethoven, 44—56.
this piece as containing topics, it might still be possible

narrative around the issues of tonality versus atonality an
accompaniment.
EXAMPLE
EXAMPLE
EXAMPLE 12.12.
12. Schoenberg,
Schoenberg,
Schoenberg, Sechskleine
Sechs Sechs
kleine kleine
Klavierstücke,
Klavierstücke,
Klavierstiicke, op.op.
19,19,
no.no.
2 op.
2 19, no
Langsam.
Langsam. (J) (J) far V
m/
* aufierst
äußerst kurz
kurz pp
pp . i
J'mé
^ ^ é
J1 ^ t
3 *
a p espress.
p
——
——
r . J) - '■ ^ y
'■—-—^—J
/7\
gut im Takt
s
* t j-. i n
- pp
poco rit.
É «P
Used by permission or tielmont Music Publishers.
Such a narrative might proceed as follows:
mm. 1-4: short melodic fragment embedded within a framing

accompanimental pattern
mm. 5-6: interruption of accompaniment figure by a "melody" that
has taken over some of its characteristics
mm. 7-9: absorption of melodic figure into the accompanimental
texture
Since narrative organization is able to make use of expressive mechan

other than topic (including extramusical association, borrowing,
expressive correlations, text, and program), it would be reasonable to ex
that musical narrative can exist apart from topic in an individual piece.
Type IX. Non-narrative, non-topical works. In this category would app
works without sufficient fundamental opposition and directedness to sup
a narrative reading, in conjunction with the absence of expressive correla
capable of assuming topical characteristics. Certain styles are more likel
fall into this category than others: minimalist styles frequently deemph
contrasts (in the sense of topical or narrative oppositions), or at least re
them non-teleological; and total serialist or chance works resist
association (except in relation to the compositional devices they share
meaningful contrast as described above. This category invokes the quest
the limits of narrative and its relation to particular styles, an inquiry tha
outside the boundaries of this article.
Concluding Remarks
The relationship between narrative and topic, as the above discussion

indicates, is complex and multivalent, and has not received the attention it is
due. It is complicated by the fact that topical considerations significantly
constrain and influence narrative interpretations; in many cases, topical details
appear to cue interpretation, much as the light and sound design of a film can
influence the viewer's understanding of events. Indeed, the potency of topical
material may give rise to a suspicion that narrative interpretation is merely a
retrospectively temporalized confirmation of topical significations. Despite a
certain additional degree of definitional overlap (tragic topic vs. tragic
narrative, for example), narrative and topic are distinct significatory domains.
This article has clarified the conceptual boundaries and intersections of the
two domains in order to dispel some of the confusion of categories and to
suggest the multiplicity of ways that narrative coordinates topical events. Now
that sufficiently detailed treatments of both expressive mechanisms are
available, it is hoped that scholars will be able to reveal the undiscovered areas
of the terra incognita, since it holds the promise of enriching our understanding
of the way music carries particular meanings. Although there has not been
occasion in this discussion to provide detailed analyses beyond that necessary
for explication of necessary concepts, the general lines of such an approach
should now be clear.

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Department of Music Theory, Jacobs School of Music, Indiana University

Narrative and Topic

Indiana University Press, Department of Music Theory, Jacobs School of Music,

example 1, a sixteenth-note ostinato figure appears, becoming the

In example 2, topic is employed in a very different manner. This excerpt

mode, and an absence of (perfect) authentic cadential confirmation

EXAMPLE 1. Chopin, Prelude in G Major, op. 28, no. 3, mm. 1—6

immediate cadential confirmation. This theme combine

EXAMPLE 2. Mozart, Fantasia in D Minor, K. 397, mm. 45—70

In this example, two contrasting topical fields—differentiated by c

foreshadowed consequent, what follows instead is a new theme (mm. 5—12),

Moderato canta t>ile molto e spressivo

By this point it appears that at least one narrative trajectory is po

3Eero Tarasti, A Theory of Musical Semiotics (Bloomington: Indiana University

the relationship between them, in part because a consensus

Topic, as a conceptual and analytical tool, has found its w

Maus, "Music as Narrative," Indiana Theory Review 12 (1991): 1—34; Ve

become encoded into a conventional stylistic feature (type) that in tur

6David Lidov, foreword to Musical Meaning in Beethoven by Hatten, x.

expressive genres that amount to large-scale paradigms

I have previously outlined a theory of musical narrative1

Narration focuses on a set of rules from a certain domain or

of cultural life which define a certain . . . hierarchy, and pla

imposes an order on a culture, and the possibility of its transgression,

Since musical phenomena can be organized into explicit or implicit hierarc

1. An agential level, in which musical-semantic units are identified,

l4Liszka, The Semiotic of Myth, 15.

3. A narrative level, through which the interactions of the e

The determination of a narrative archetype is not solely dep

The cultural significance of this third level—and of musical narrative in

another, whether political, social, interpersonal, psychological,

Issues in the Integration of Topic and Narrative

Given these definitions of topic and narrative, several other observa

20A more extensive treatment of these issues can be found in my forthcoming bo

One obvious strategy that has not been fully devel

associations. Between these two extremes are countless varieties of w

Third, a listener's perception of narrative requires both musical activity t

21Newcomb, "Narrative Archetypes," 19—20; Abbate, "What the Sorcerer Said," 2

register with direction, or of rhythmic activity with motion

Fourth, individual narratives can be simple or complex, depending on the number

A Typology of Interactions between Narrative and Topic

In the remaining pages of this article, I will illustrate a spectrum of n

TABLE 1. Interactions between musical topic and narrative

Type I Non-narrative piece with topic

Type I. Non-narrative piece with topic. As discussed above, it would be

EXAMPLE 4. Schubert, "Wiegenlied," D. 498

There is little in this piece that would lend itself to a narrative

and where melodic pitches of V7 (especially the leading tone,

EXAMPLE 5. Chopin, Prelude in G Major, op. 28, no. 3: motives a (mm

These motives are obviously related

rhythm that concludes motive a in measures 3—4 is also used to

both). In addition, they combine to form a linear voice E—D—C—B

contrary, would a definitive departure from "order" be understood as

suggests the less energetic b motive. The melodic profile still em

EXAMPLE 6. Chopin, Prelude in G Major, op. 28, no. 3, mm. 16—33

♦ taasa " ' 1 1

This passage also evokes a previous attempt at a syn

rhythm of a appears in measures 20—21 and, in a partially augm

EXAMPLE 7. Motivic variants of a and b in the resolution passa

in the piece.27 For a piece to belong to this category, the prim

A possible exemplar is Schubert's three-verse strophic song "An

27Strictly speaking, expressive genres can also function in a Type VI interaction,

topic, narrative, and text cooperate to present a clear picture

29Hans Keller, The Great Haydn Quartets: Their Interpretation (Londo