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‘of New York State Volume 13 1988 Contents Heinrich Schenker: Graphic Analysis of Brahms's Auf dew Kirchhofe, Op. 105,No. 4 Ira Braus Poetic-Musical Rhetoric in Brahms's Auf dem Kirchhafe, Op. 105, Non Analysis Symposium: Brakms's Op. 76, No.6 Patricia Carpenter ‘A Problem in Organic Form: Schoenberg's Tonal Body. Allen Cadwallader Echoes and Recollections: Brahms's Op. 76,NO. 6 us Channan Willner (Chromaticism and the Mediant in Four Late Haydn Works. Michael Cherlin ‘Hauptmann and Schenker: Two Adaptations of Hegelian Dialectic. Review-Article ‘Music Theory: Anatomy of a Discipine Nicholas Cook, A Guide to Musice! Analysis Jonathan Dunsby and Amold Whittall, Music Analysis in ‘Theory and Practice Tan Bent, Analysis Reviewed by Taylor Greer... Heinrich Schenker Graphic Analysis of Brahms’s Auf dem Kirchhofe, Op. 105, No. 4 as prepared for publication by William J. Mitchell and Felix Salzer INTRODUCTION by Hedi Siegel In the mid-1960s, when William Mitchell and Felix Salzer began their collaboration as editors of The Music Forum, they also worked together to prepare for publication Schenker's analysis of Brahms’s Auf dem Kirchhofe. They later abandoned the project, but Salzer kept al oftheir working papers. These include a three-page typescript of an introduction by Salzer, together with a handwritten draft and fair copy. There is one typewritten page of Mitchell's comments on the graph, followed by his translation of Lliencron’s poem. Schenker's analysis exists in two copies (neither one in Schenker's hand); photocopies of ane of these contain annotations by Mitchell. Thus it appears that Salzer contributed the prefatory material, while Mitchell prepared the graph, though of course each contribution may well reflect discussions that took place as the ‘work progressed.! During this same time, Salzer was also involved in preparing a new edition of Schenker's Five Graphic Music Analysis, to be published by Dover. The two projects ‘were in fact closely inked, for the graph of Auf dem Kirchhofe and the graphs that make up the Fie Graphic Music Analyses originated in a seminar that met at Schenker’s apartment for three seasons, beginning in the fall of 1931. Salzer was one of the fout students in the seminar his description ofits activities was at rst slated for inclusion in the Kirchhofe introduction, as was a facsimile of Schenker’s handwritten list of the ‘works to be studied by the group. But as the Dover edition neared completion, Salzer 1 We extend our thanks to Mrs. llce Michal and Mr. Hed Salzer thelr Kind permission to publish the material contained in these papers 2 The other students were Trude Kral (ater active as piano teacher in New York), Greta Kraus (a lanist and harpsichordist now living in Toronto), and Manfred Wilfort (about whom very litle is [Enown except that he may have taught theory and plano in Vien) VOLUME 13 (1988) 2 SCHENKER found that most of this material more properly belonged in his new introduction for that publication? ‘Thus the main body of Salzer’s introduction to Auf dem Kirckhofe is now familiar to us as part of the Dover publication. The opening and closing sections, however, did not find their way into print. Salzer begins by discussing his ownership of some of the manuscripts prepared by the seminar: ‘After Heinrich Schenker’s death I acquired from his widow a part of hhis notes, manuscripts, and sketches (voice-leading graphs). The following analytical study of Brahms's Auf dem Kirchhofe is taken from these papers and is published for the first time. Within the papers I acquired most of the analyses of complete pieces—in distinction to sketches of sections only—are in the handwriting of Schenker's students He elaborates further on: ‘As was mentioned above, a number of these graphs are in the handwriting of students. Some show corrections pencilled in by Schenker: others are perfect copies of what appears to be Schenker’ final version. He called such copies “Reinschriften” (fair copies). This seems to be the case with the Brahms song which I possess in two identical “clean” copies in the handwriting of two stedents. One, in pend, is signed by Greta Kraus who was a member of our group; I vividly recall our work and discussions on this project. The other copy Was made by a student whose handwriting I cannot definitely identify its identical in all respects except that itis written in ink and is spaced more widely 51 believe that itis this second copy that Schenker would have chosen for an eventual publication In all probability Schenker would have 9 See Hetnrich Schenker, Fee Gopi Music Anais, with a new introduction and glossary by Flix Salzer (New York: Dover, 193); pp. 17-21 corporate What was o have bers the main pazt of the Kiet inaoacion ‘Rober Kosvaky, who staging the Onter Coecton a the Muse Division ofthe New York Public Library, édenfes ea the hand of Angi Elias, ascent of Schenker's who did great dea of sie copying and secretarial work othr 5 There are a ow minor diferencesbtween the two copes Kraus hs the label "Hintergrund” rather ‘han “itelgrund” or the two level between the fundamental srcrare andthe otgroun, probably usta slp Ser slo the commentary by Arthur Mise hat flows the graph 4 See Fite Graphic Music Artes, p21, fr Salzer’s discussion ofa projected second series of enalyses based on he work ofthe semnat and his stated intention to push some ofthese gr ‘reso preface, Salzer sds that Auf dem Kofe esto have been include the fe Sppearson the verina'sist ashe tenth tem se Fee Graph Mase Anas, pp. 1819) THEORY AND PRACTICE BRAHMS'S AUF DEM KIRCHHOFE 3 published the analysis of Auf dem Kirchhofe without verbal explanation (see his Foreword to Five Analyses in Sketchform).? However the editors believe that a few comments are appropriate. Mitchel’s page of commentary follows. We present it here in its entirety, along ‘with the rext of the poem and his translation: ‘The four graphs representing various levels of structure are fairly self-explanatory. However, bars 4-13 and 26-36 as reduced in the foreground (Graph C)§ require additional middleground explication (Graph B, second level) in order to establish a clearer relationship with the remoter levels (Graph A and Graph B, first level). Each editorial addition has been enclosed in brackets. With regard to bars 4-13, the structural I-V and 2 arive in bars 13-14. ‘The earlier G chord and melodic d! represent a divider dominant and the beginning of a transposition whereby d! makes its way up to the structural d? of bar 13, in answer to the preceding descent e¥ to et, bars 499 Editorial additions to the second level of Graph B, covering bars 26 36,are intended to show in greater detail the arpeggio from e! to cand the simultaneous 3.N-3. ‘An ingeresting point arises in connection with the concluding bars. ‘The allusion to the Passion Chorale is unmistakable.” Quotation oft by Brahms, along with the change to C major, is doubtlessly related to his, plan to underscore musically the contrast between the earlier gewesen (deceased) and, i. bars 31-23, genesen (released). In order to clarify these and other constructive and expressive nuances, the poem, Auf dem Kirchhofe (In the Churchyard) of Detlev von Liliencron (1844-1909) is quoted herewith and followed by a translation which aims solely to represent the sense and the metric and rhymic schemes; poetic values are inevitably sacrificed by translation. 7 Bice Graphic Music Analyses p.3-Selae's refrence isto the edition published by the David Mannes “Muse Schoo in 1833, which served asthe bai for Dover's repulsion, 8 The form of Mitchel's references tothe levels ofthe graph as been slightly altered. 9 Mltehell haba footnote here which reads: “A suggestive ard helpful parallel ase canbe found Inthe first movement of Beethoven's Sonata, Op. 2, No. bars 143. Its discussed by Schenker In Der free ‘Satz, Vol L $313, and raped ta Voll, Big. 1542." 10.0 Haupt vl Blue wed Warden. Votume 13 (1988) 4 SCHENKER ‘Auf dem Kicchhofe Der Tag ging regenschwer und stumbewegt, [eh war an manch vergessenem Grab gewesen, Verwitert Sten und Kreur, dle Krinze al, Die Namen Uberwachsen, kau zuosen. Der Tag ging sturmbewegt und regonschwer, Ayfallen Gribernfror das Wort Gewesen, ‘Whe sturmesto dle Srge schlummerten, ‘Aufallen Graber tute stil: Genason. la the Churchyard ‘Therains and winds prevaiied rough all the day, To many forgotten graves my pathways, ‘To weathered stones and crosses, withered wreaths, ‘To names o'ergrown, sarcaly to be read. ‘The winds and rans prevsed through al the day, ‘Thete froze the word on every grave: Deceased. From storms removed, the coffins slumbered.on, ‘There thawed in peace on every grave: Releasod. (WMD Included with the typed poem and page of commentary is a handwritten note from Mitchell to Salzer in which he mentions that he “has several questions about the graphs.” Mitchell entered a few question marks on the annotated photacopy of the manuscript (the copy written in ink) that he prepared for publication. This annotated copy is the basis forthe graph reproduced here, in a format which reflects that of the manuscript as closely as possible. Mitchel’s added middleground material has been placed in large square brackets just as he had it. Brackets have been added around his question marks and other isolated annotations. His translations and abbreviations of THEORY AND PRACTICE BRAHMS'S AUF DEM KIRCHHOFE 5 ‘headings ard terms have been substituted for the German originals according to the following ist: arp. (arpeggio) Brech. (Brechung) foreground Vordergrand fourth (ourth-progression) Quartzug fundamental structure Ursatz level Schicht middleground Mitelgrand N (neighboring tone) Non. (Nebennote) N. (neighboring-tone harmony) Nonlin. (Nebenrotenharmonic) ‘There is no record of any answers by Salzer to Mitchell’s questions about the graphs; the work seems to have stopped at this point. Thus these papers represent a stage of a work-in-progress rather than a finished study. We hope that our presentation brings to fruition the plans of Mitchell and Salzer—and indeed those of Schenker himself—to publish this important study of Brahms's song, VOLUME 13 (1988) a I. Te THEORY AND PRACTICE BRAHMS AUF DEM XIRCHHOFE 7 Votume 13 (1988) =| ez PeRIID RP call ee Po teem “v THEORY AND PRACTICE BRAHMS's AUF DEM KIRCHHOFE 4 VOLUME 13 (1988) 10 SCHENKER ‘A. COMMENTARY by Arthur Maisel In the present commentary, the original analysis will be referred to as “Schenker! the later additions, as “Mitchell.” Actually, the former grew out of the seminar conducted by Schenker, and the latter may have resulted from discussions between William Mitchell and Felix Salzer concerning some details of the additions. There exist two copies of the former, one in pencil and a fair copy in ink; these differ very litle. Mitchell worked on a photocopy of the fair copy. Besides adding English translations, he also filled in some gaps in the second level of middleground—attempting (not quite completely successfully) to distinguish his additions by enclosing them in large square brackets. Some of these additions might perhaps more properly have formed a third level of middleground, but they surely represent preliminary ideas rather definitive interpretation—as the several question marks indicate ‘The first seven bars of Auf dem Kircthofe are analyzed in Schenker’s incomplete ‘middleground sketch (somewhat obscured by Mitchell’s additions); this corresponds to Figure 63, Examnple 3 of Free Compesition and shows the same interpretation (if one ‘makes allowances for differences in graphic presentation appropriate to an isolated ‘musical example on the one hand, and a part of a complete analysis on the other)! The two sections of the second level of middleground that are largely Mitchell's ‘work are, first, from the c? upbeat to bar 5 through the dl! downbeat of bar 13, and second, the entire C major section, bars 26-36. In the first of these passages, the g quarter note with its downward stem in bar 7, the slur connecting it to the ab! of bar 5, and the corresponding figure below the staff, “5,” all appeared in Schenker’s sketch. ‘There are several features ofthe analysis that cal for further comment. In contrast to the presentation in Five Graphic Music Analyses, the background is not aligned with the other levels. Because of (1) extensive coupling between the one-line and two-line octaves, and (2) the presence of two interruptions in the middleground, the relationship of the background level to the others may not be self-evident. The background 3 occurs in bar 4, the 2 in bar 13 (note the tonicization of V and the answering of the downward transfer e2-e5! by the upward transfer d!-d2). The lof the background occurs in the obligatory register only in the final chord of the piece (bar 36)—though it is reached in the lower register in bar 33. Mitchell added the label “divider!” below the V in bar 9 and questioned the “2” above the dl in the original foreground sketch. In notes about the analysis, he ‘mentions a similar instance in the first movement of Beethoven's piano sonata Op. 2, 1 Schenker also refers to Auf dem Kirchkofe in Counterpoint | (Examples 301 and 302, p. 208) and elsewhere in Free Composition (§ 102, p41, and § 107, p. 42. THEORY AND PRACTICE [BRAHMS'S AUF DEM KIRCHHOFE 1" No. 3, analyzed in Free Compesition, Figure 154, Example 2, Schenker, in his discussion of the Beethoven (p. 134), insists that, while the second degree is reached at the divider (also, as in the Brahms, in a lower register than the 3 ofthe background), it must be “understood not as a “prolonged” 2 but as extended until the background 2is reached in the upper register (again, similarly to the Brahms)? Uf, as seems likely, Mitchell is correct in drawing a parallel between the two pieces, then itis probable that Schenker viewed the V in bar 9 as a divider (though it was not labeled as such), and that he would have ultimately eliminated the “2” from the foreground sketch3 In connection with the dividing V in bar9, a feature of the numbering of measures into phrase groups ought to be noted. Bar 9is shown as the first measure of a phrase and bar 10 is shown as the first measure of another. This is not an example of Dehnung, which would be indicated here as in bars 14-16 and 24-25, with the phrase ‘measure numbers extended by a slur. Rather, this confirms the reading of the V in bar 9.28 a divider that is not prolonged but extended, in this case by the interpolation of the “2nd fourthl-progression],” gl-dt, in bars 10-13, The examples of Dehnung mentioned differ interestingly from each other. The phrase structure in bars 14-16 is similar to that in bars 9-10, insofar asa “1” is followed by another “1”—but the first is now expanded and suspended into the second. The Deknung in bars 24-25 is harmonically and texturally parallel to the earlier instances as ‘well—but what was the first “I” is now “5” within a six-measure phrase. In effect, there is @ progression throughout the piece: (1) bars 9-10, a “I” followed by another “1”; (2) a “1” expanded and suspended into another “1”; (3) a “5” ‘expanded and followed by a “6.” One might say that this progression seems to come to ruition in the integral six-measure phrase, bars 27-32. (Moreover, it does so in a manser somehow allied to the change from minor mode to major—the halting, improvisatory texture in minor resolved by the sureness of the major with its allusion to the chorale O Haupt voll Blut untd Wunden in bars 2632.) (One other peculiarity ofthe foreground sketch also relates to bars 9-10, Note that in bars 22-24 the arpeggiation g!-bb!-d? is indicated by a dotted slur. Schenker consistently used dotted slurs to jin only notes of the same pitch or pitches coupled 2 Thisis not to imply that repistral factors are the sole cr even the most sllent reasons fr the readings. 5 Placing the "2" in parentheses would not be consistent sith Schenker’s practice, whate that is reserved forthe prolongation of s structural tone, by the composing-out of an octave coupling, for feample in such a case, the capped numeral in parentheses symbolizes the representation of the background structural tone by # foreground tone that is not in the sbligatory register, Such & foreground represer'atve s thought of, however, as par of the prolongation ofthe structural tone, whether It comes atthe pining oF end of the prolongation, Ie should be noted that in he penal copy, bar 9 ofthe has “CHIV-V)" writen under it. ‘Tis was omit inthe fair copy which carried over only the "47-5" ftom the peel version. The error of the sharp before "7 had perhaps been made under the influence ofthe sharp before the "TV" cand had perhaps been partially effaod in the penal copy a8 wel. VoLuME 13 (1988) 2 SCHENKER in octaves, as are the dl and d? in bar 13 (Le.,only members ofthe same pitch class)-It is at least possible thatthe highly unusual usage is intended to call attention to certain similarities between bars 22-23 and bar 134 Features of the surface also tend to connect the two passages: Compare the residual triple meter ofthe voice against the quadruple time of the accompaniment in bars 10-12 with the hemiola of the accompaniment in bars 21-23 (see Example 1) Example 1: Residual triple meter in the voice part, bars 9-11 “@a) “+ Finally, Mtchel’s reading ofthe middleground of bars 26-36 not fully congruent with Schenker’s foreground sketch 5 Mitchell shows on expanded reference to the arpeggiation of bars 47, eb2-<2-aS(N)-gl, as el-c2-al(N-g! in bars 26:2. Note, however, that the foreground sketch gives no prominence at all to the c2. Rather, it Could be interpreted to imply a middleground mote unusual than what Mitchell suggests, one that Would add another dimension of meszing to the programatic reference to the chorale melody. One assumes that i just an errr because itis in both the endl anc the ink copy. 5 Theres evidence that Mitchell (understandably) had sont problems with this very dificult passtge. 1s possible that Schanker, too, left the analysis unfinished because of the dificlty in presenting {graphically what i 90 poetic about the passage—wantng to believe that he had reached a stage in the evelopment of his graphic techniqsa that obviated commentary. ‘We have alteady seen that other passage of this 0g perhaps called Schenker to extend or ody his graphic “vocabulary.” Another nice instance is he disposition of the “3-10.85” below bare 10-12 in ‘he foreground sketch. This shows that, although the bass remains in one register, a mation fo an inner ‘voices implied. For this reason, the “85” inthe midaleground probably should align vertically with the ddownbeats in the foreground. THEORY AND PRACTICE BRAHMS'S AUF DEM RIRCHHOFE 3 Recall that O Haupt has Phrygian implications, as Brahms undoubtedly was aware. ‘This means thatthe a! of bar 27 cannot be simply understood to resolve to gl in bar 28 In fact, the foreground sketch shows the a? moving up to <2 (over b) in a kind of boundary play$ ‘The reading implies a relationship between this passage and the strange beginning where the neighboring Ab almost seems f0 be prolonged by the G in bars 34, instead of vice versa. Of course, A resolves to Gin the superficial sense that, having formed a melodic seventh with the lower B, it mst; it is als0 “coupled” in 10ths (note the dotted slurs again) to the F in the bass in bar 27, which moves to E in bar 29. (This, “coupling” is significant because the a! substitutes for the deep middleground neighbor, f1, in bar 31,1) Despite the surface resolution, the A is reinstated on the downbeat of bar 30 and emphasized by the voice exchange, In sum, the cis the boundary of a motion from a!, and the latter's resolution to gl is deemphasized, both of these in keeping with the original chorale melody. Consequently, itis difficult to grant the c of bar 29 the weight it would need to participate in the arpeggiation that Mitchell shows. (The arpeggiation of bars 4-7 is alluded to in the motion c2al-fl-el of bars 29-30) Example 2 shows two levels (second and third) of middleground for bars 26-36. The sketches are consistent with both Schenker's foreground and his first level of middleground: an attempt has been made to keep them consistent with his late graphic style as well. S Schenker analyzes Hans Leo Hassler’ original sting ofthe melody (in O major in Free Composition, Figure 116. The d? in bar 3—corresponding tothe e2 In bar 29 of Auf dem Kirekhofo—isshovn a the ‘upper third oa prolonged bi. In other words, his reading ofthe foreground of the Brahms song is consistent with his reading ofthe chorale. ‘That Schenker i his discussion ofthe Hassler (p98) explicitly dismisses any Porygian aspecs of the melody as of lite signifcance Is due to hie being in the midst of setting forth hs tleslogical view ‘of German musi: Hasier may il have thought he blleved in the Phrygisn mode, but his gonius led ‘him to compose ou 2 afr tonal. Despite his teleology, Schenker is more sensitive than some more ‘ovant analysts to the importance of the fourth dagre im the Phrygian anode and. the consequent prominence of 8 wien the tune i harmonized ia major 7 schenker gives an example of § subs ttating fot Nd-—alzo associated withthe use of 10ths—in Figure 104, Example | of Pe Composition (Beethoven's pano sonata Op-31, No.2, 3rd mvt), 8 The downward ssth, a, i of suurse modeled onthe previous melodi: phrase, which constitutes tbe pat of te prope of O Hap Thea of ms 28.2 rand of the alsin) Whe this downward sich comprises the only literal motvic repetition from ofthe arpeggiation in ars 47, ‘nce that lnk is made, others are juste: The inital voeal phrase, (D)-E-C-SAl, for example seems ‘ated rezospect—a downward arpeggition ofa iad with lant nate embelished from above on [strong beat-—and thus fami semblance can be heard between the chorale an the vary beginning, ofthe song. VoLUME 13 (1988) 1“ ” ScueNKER Example 2: Middleground, bars 26-36 ‘aad eve — a RS FR san ws @2@® © ® © ® ® 4 Oa se Mt Sau ede I -IV- -V- i So, the chorale melody can be understood as the single answer to two compositional problems. It provides the affect of “healing” required by he text, rawing on the consolation associated with 2 religious melody and, more concretely, a shift from minor to major. But its odd, Phrygian character also allows Brahms to transform the weird quality of the beginning in the C major section: The disquiet felt in the graveyard does not so much melt when the potential for salvation is revealed as modulate from dread to awe—note how the prevailing 3/4 “opens up” into what sounds like a measure of 3/2 (bar 27 and the first half of tar 28) at the beginning of the chorale paraphrase. (Holding back | in the obligatory register until the final chord even allows Brahms to suggest resurrection by the final upward octave leaps of C)) He thus transcends what in the work of a lesser composer might have been an all-too-easy cliché. THEORY AND PRACTICE Poetic-Musical Rhetoric in Brahms’s Auf dem Kircithofe, Op.105, No.4 Ira Braus Der Tg ging regenschiver und surabewegy, [eh war an manch vergssmnem Grab gewesen, “Verte Sten und Kreuz de Kriz alt Die Namen Gberwachen, kaum sale. ‘Der Tag ging sturmbewegt und regenschwer, ‘Auf allen Graber for das Wort Gewesen. Wie seurmesot die Sige schlumaerten, ‘Aufsllen Gribern tute sil: Genesen. ~ Detlev von Lkencron? ‘This article is based on the last chapter of my dissertation, “Textual Rhetoric and Harmonic Anomaly in Selected Lieder of Johannes Brahms,” (Harvard, 1988). The dissertation studied text and music in twelve solo lieder exhibiting what I called “structural coloring of the intial tonic harmony”: that i, frst presentation ofa tonic chord colored by dissonant tones witose working out later generates unique sub- and superstructures in the music. More precisely, my analysis highlighted parallels between these structures and rhetorical figures present in the poetic texts. I advanced the thesis that Brahms, who lived through a fenascence of rhetorical education and citicism (after the anti-chetorical period 1750-1820), was the first Romantic composer to thoroughly integrate verbal rhetotic into his vocal works Brahme’s active interest in the 19th-century musica poetica rediviva, I believe, led him to develop a lied idiom 1 Brahms’s source forthe text was Lilencron’s Adjatensite und andere Gece (1883), ‘Translation by Stanley Appelbaum from the Dover edition: The day was heavy and disturbed by ssonms: 'had visited many a forgotten grave stone and cross ware Weathered the wreaths Were cid, ‘he names were so overgrawm that they could hardly be read. / The day was dloturbed by storms and heavy wth fain; on al the graves the word “departed” froze, The coffine slumbered as i in the ddeadnes ofthe storm; on all he graves thee appeared, in asin av: “healed.” 2 Historical reasons for the acendance of rhetore after 1820 ae oulined in Par of my disvertstan, VOLUME 13 (1988) 6 BRaus that fused late Romantic musical language with the Volkslied aesthetic of early Romanticism. And this synthesis was achieved through rhetorical interpretation of text (sense through syntax), after the spirit of Renaissance and Baroque composers. In this article, textual analysis will precede musical analysis? Detlev von Lilfencron (1844-1909) bas been something of an enigma for historions of German literature, Liliencron, who did not write poetry, until his mid-thirties, is remembered chiefly as a dramatist and a novelist whose works recreated both his military exploits during the Franco-Prussian War and the local color of his native Schleswig-Holstein # His poetic idiom, often individualistic to the point of eccentricity, mixes gravity with absurdity, plety with irreverence, and formal rigor with experimentalism. Liliencron once dubbed himself “the crassest naturalist” saying, “I expect nothing from life save anger, disgust, shame."5 Posthumous criticism of Liliencron has been kinder. One commentator sees the astist's preoccupation with form and rhetoric as deriving from Platen and Eichendorff6 Another considers liencron’s explosive diction and flamboyant epithetic compounds expressionistic?” Still another finds a strain of impressionism in his lambent onomatopoeia.’ What is relevant to our concerns, however, is that Liliencron’s “naturalism” is tantamount neither to cynicism nor Weltschmerz. His “creesty naturalistic” view of humanity rather transforms worldly pessimism into compassion for a humanity fallen from grace. Liliencron is, in this last respect (and only in this respect) heir to Joseph von Eichendorff. 31 thank Professors David Lewin and Judith Ryan of Harvard University for thelr generous asistance, 4 Litiencron was a contemporary of the to other major ninetenth-century North German, Heinatsichte, Theodor Storm (1817-88) and Klaus Groth (1819-9), both of whose poems Brahars had set lo music Liljencron’s friend and fellow poct, Gustav Falke, addressed him once 28 "Der teutschen, (atk Feldmarschall” Falke, speaking rhs rend, wrote Jalen it mi noche ih nant Badautend ber a ex mu ats* (Mars is my law” shall always be far dearer to me than “Artis mi aw") Quoted in Albert Soergel, Dichtung sd Dichter der Zeit Eine Schlderang der deutchen Literatur der lez. ahrazhete, 17th ed. eipage R Voigiander, 1911) 455 5 Soargel, 487-8. 6 Bichendorfs influence cn Lilencron is discussed in Heinrich Spero, Dtlo om Llenron. Sein Leb soe seine Were Berlin: Schasie de Lotter, 193), 107-110. 7 Hermann Pongs espouses this View in Das Bid in der Deutschen Dichtung, 2nd ed. (Marburg: wert, 1960) 1 42526, 5 Djetmar Ulrich discusses this subject with special reference to Lilencron's poems based chiefly on sonics (2, his Ballade se U:Dur) in Die Verslunst der Lyrik Delo von Lilencons (Haniourg: M. Buske, 1970) 23-28. { venture to say that Liliencron’s onomatopoeia anticipates the German Dadaist poetry fhe 18206 eg, Kur Scters’ Uronat). THEORY AND PRACTICE RHETORIC IN BRAHMS AUF DEM KIRCHHTOFE 7 ‘Auf dem Kirchhofe (1879) is an early poem and was occasioned by the death of \Ufencron’s mother. The poet's biographer, Heintich Spiero, has documented the genesis of the poem 3 The earliest version reads: Der Tag ging regenachwer und surmbewegt, eh war an meiner Mutter Grab gewesen, Schiver sat mein Haupt ans Keine Kreuz gepragt, Alsen Namen wiedet ich gelesen. Der Tag ging sturmbewegt und regenschwet, Afallen Graber fror das Wort: Gewesen. Moin Herz so sturmestot, mein Haus so let, ‘Ach Miter, wire ich wie du genesen 10 The next draft: ‘er Tag ging regenschwer und sturmbewegt, [ech war an miner Mutter Grab gewesen, ‘Verwittert Stein und Kewuz, die Krinze al, ‘Und ach, der teure Name kam 2 ee Der Tag ging sturnbewegt und regenschwer, ‘Aufallen Griber for das Wort: Gewesen, We sturmestot da unten, wie verweht, Teh as ein zweites Wort, das hiews: Genesen 9 splero, 119-20, 107The day was heavy and disturbed by storms; had vilted my mother’s grave my bead sank heavy, prested aguint the small ros, as [read het tase once mare. / The day was dlaturbed by storms and heavy with rin; onal the graves the word “departed” froze. My hear slumbered a if inthe deadiness cof hestorm, my house 30 empty, O Mother, would that | were you arenow—healed- 1 Theday was heavy and disturbed by storms; had been at my mother’ grave; stone and cross were weathered, the wrens were old. and, O, the beloved name overgrown so that t auld hardly be rea. 1 The day was disturbed by storms and heavy with ran; on all he graves the word “departed” froze, ‘There below me, in the deadess of he rm, asf seattered fo the winds, a second word I rea, that was: “healed” VOLUME 13 (1988) 18 Braus ‘Two additional changes were made before the final version: Der Name aberwachsen,kaurn 2u lesen (verse) ‘Aufallen Graber taute stil: Genesen (verse 8) In revising the poem, Liliencron broadened its message from personal despair to reconciliation with death. His revisions, moreover, engendered a dynamic structure whose strength grows not so much from the endrhyme (which he atypically violates), but from the poem's robust iambic pentameter and other details of rhetoric and rhythm.12 The large structure of the poem is delimited by an anaphora transformed by inversion; this in turn forms a chiastic relationship between the respective epithetic compounds “regenschwer” and “sturmbewegt”: Der Tag ging regenschwer und sturmbewegt Der Tag ging sturmbewegt und repenschwer This structure attains greater eloquence by means of the intervening off-rhymes incorporated into the final draft of the poem: Der Tagging regenschwer und sturmbewegt ‘Verwittert Stein und Keouz, die Kranze alt and Der Tag ging sturmbewegt und regenschwer ‘Wiesturmestot die Sirgeschlummenten!> 121m personal communication, David Lewin has suggested thatthe removal of “Mutter” in the final version suppresses a double entnare for “genesen”: the participle connotes both spiritual deliverance snd being delivered ofa child ("eines Kindes genesen”) 1 Lewin notes also thatthe chiastc inversion in verse 5 is augmented sonically by verse 7; the two verses taken together form a web of intra-and interlinear connections Der Tag ging sturmbewest und regengchwer Wie sfarmestot die Saige echiammerten THEORY AND PRACTICE RIIETORICIN BRAHNS'S ALF DEM KIRCHOFE, 7 ‘A fair asnount of Liliencron criticism treats his use of epithetic compounds, so I shall confine my own remarks to the Poem under discussion. In Auf dem Kirchhofe, the compounds “regenschwer..sturmbewegt,” motivate the anaphoral ‘transformation alluded to above and Set the poem in motion." “Sturmestot,” the most original ofthe three compounds in the Poem (though stil tame for Liliencron), is rich in spiritual innuendo, especially as it appears in the final draft of the Poem. With “sturmestot” Liliencron acknowledges his belief in life after death the departed, who, slumbering i fda to the storm, will eventually eturn from the state of “having been” to a blessed state of being. This progression is phonetically encoded in the combined alliteration-endrhyme, “Gewesen... Genesen.”6 Given the sepuichral imagery of the poem, the most Jogical way to translate “Genesen” is “resurrected,” since “restored”)*recovered” applies to the living, ‘Whatever Liliencron’s intent, Brahms's positivistic view of religion invites us to query how the latter might have interpreted “Genesen.” One alternative translation might be “gathered up,” a compromise between the morbid notion of death as “recovery” and the Judaeo-Christian doctrine of resurrection. “Genesen” might also be interpreted as “released,” which would play on the “frieren-fauen” opposition. Death is cold (teieren”); a thawing (“tauen") from death would imply the sou!'s release from the ‘body. A final possibilty would be “reborn,” in the sense that life begins afresh in springtime; this translation is problematic, however, since Liliencron’s progression “rain... Major / minor ©) cross-related pitches: & enharmonic pairs > Ab/B Di— At— ER BR Fe B/S BA CG BO e The Grundgestalt Now look at the initial statement—first a brief overview, then the details. Example 1 shows this first formal section, the statement, consisting of three phrases. It is in the form Schoenberg calls a “sentence”: the first phrase or “tonic form” establishes the tonality, the meter, and the motivic material; its immediate varied repetition or “dominant” form presents a contrasting harmony; the ‘materials reduced: reductions and further reductions lead to the cadence, here, @ cadence to V. These segments articulate the idea in an elegant way: the tonic form presents the Grungestalt; the dominant form formulates the problem; the reductions begin to clarify the material. ‘The Grungestalt is the basic shape to which derived Gestalten are traceable. In what does it consist? Example 2 shows the opening phrase of the statement, the tonic form. It presents two figures, the Grungestalt and its immediate repetition. This is a three-voice structure. The Grungestalt (Example 2.1) consists of two elements: the first is a two-voiced combination, two parallel tenths, the upper THEORY AND PRACTICE wos 2104, aouaquas ay}—juowamg Sumadg ayy: 1 aduoxq 1 SS { =e =o by iervalic motives: Py the b 4 - | j = C 6—6 22: inversion at the octave 23: i : = — Lp 2.4; motivie material 2) The voices aze characterized by hythmic motives ‘dupe division the basic combination) SCHOENBERG'S TONAL BODY s Clsplaced by an octave. These two, the outer voices, are doubled at the octave. The second element isa third inner voice, the leading tone (A~G8), which I call a “free” voice. Example 2.2 is a variant of the first, inverting the combination st the oetave—that is, parallel tenths become parallel sixths. This basic two-voice combination, cleared of suspensions, oclave displacements, and octave inversion Is the stepwise descent of a third in parallel tenths (See Example 2). ‘A Gestalt is a configuration of several motives. Example 2.4 shows the motivie content of the Grungestat. | Slow Schoenberg in distinguishing rhythmic and intervallic features by notating them with caret and bracket, respectively. Four rhythmic features characterize the several voices. The basic combination is cast in 2 duple division of the beat, two quarter notes (f) and their displacement by an cighth-note rest (P), a configuration that in essence suggests a dissonant suspension. The other two voices are cast ina tiple division of the beat, the “free” voice (2) and @), which doubles the upper voice. Generally, throughout the piece, when this rhythmic configuration is present it characterizes this disposition of the voices. I distinguish two intervalic features: the major second of the suspension figure J, and the minor second, the leading tone of the free voice Finally, a figure emerges, defined by the phrase mark, encompassing a fourth; I call both figure and fourth J. Look now at this material in its final form, in the coda (Example 3). The sotivic transformations summarize the events ofthe piece. These eight bars (bars 84.91; see Example 3b) sxe an expansion of the irutial two—the tonic form (Example extended by the interpolation of a cadental progression to V (bar 87), with the entire combination in octave inversion. Look first at Bars 90-91 (Example 32), which are a dear recall of the suspension figure, Over a pedal, the original voices are characterized by the sare disposition of both rhythmic and intervallic features (6 is augmented): the duple division of the beat carries the basic combination; the triple division marks the free and doubling voices Bars 84-90 are a variant of the first figure, the Grangestalt (the upper voice descends from E in bar 8 to D in bar 90) I have laid out the motivic material over three staves in order to show how it has been teased apart, transformed and clarified (Example 3b), For example, the upbeat mative $ is elaborated by a neighbor note form of ‘Fj 6 , augmented and displaced, carries the suspension figure; Fis diminished and displaced, and the {igure restored to its original shape and pitch level; F becomes the descending lading tones 42 and b6-5.1 Vouume 13 (1988) poms pause 9°13) oa SA Ion dino 209 ay—sui0, sranoyy arOuN) :¢ ayduoxg SSCHOENDERG'S TONAL BODY @ believe that what Schoenberg means by “developing variation” yields an answer to the question: how do these materials arrive coherently at this state? And, perhaps, to the question, why? ‘The tonal problem Return now to the opening statement. Example 4 shows the second phrase, the ‘dominant form” of the sentence, which Schoenberg defines as an immediate repetition of the first phrase, a variant based on a contrasting harmony. Here the function of this segment of the theme is to formulate the tonal problem (see Example da). A third voice, added to the basic combination below and above the original lower voice, complicates the harmony by introducing the first three nondiatonic pitches, F, 04 and Bf. How could these be read in A major? Perhaps they could indicate two diminished seventh chocds a major third apart (Example 4b}.18 but such a juxtaposition makes little sense. This conjunction of pitches pprosents a problem because their relation to the tonic cannot be clear. On the one hand, Ft and D# can be easily understood, Fas 4, Déas #4, borrowed from tonic minor and dominant, respectively, both closely related regions (ard easily encompassed, for example, in an augmented # chord on Il) (Example 4¢). But 84 then is quite far. On the other hand, BY and Dé are easily part of an applied dominant to the mediant, Ct-put Fi cannot belong to that region. Df is common to both these possible regions; I rake the primary tension here to be between Fh and BR Challenge, condlict, imbalance have been introduced, As I follow the enhancement, working-out, and resolution of this imbalance, I will talk about these twa pitches in two aspects: specific pitch, for example, Fi, and tonal function, for example, Fras 4, And { will talk about analogies of tonal function: for example, in the mediant major (C¥) the ® analogous 10 Fis At. I believe the primary purpose of motivic work is to make such analogies clear. For example, a motive might reinterpret specific pitches—as the first simultaneous interval of the A section, the suspension £ § becomes the first successive interval of the B section, Sot; oF a motive might emphasize analogies—as the bé represented by Fy in the opening theme is assimilated into the contrast region (submediant, F¥ minor) as Dh. I assume a nondiatonic pitch to be assimilated into the tonality when its relation to the tonic is made clear and explicit. 18 Schoenberg considered a diminished seventh chord tobe an incomplete ruth cboed, functioning as 8 dominant oa root amajor third below is sscencing leading tone VoLume 13 (1988) Muy eg Gri SCHOENBERG'S TONAL BODY @ Consider orce more the three pitches that present the problem. It would be s0 convenient to read Bf in the basic combination a3 C} (Example 44}! Indeed, although BE will be clearly defined as #7 in the mediant major (CH), a distant region, it will be overcome by Chasbé in the dominant. And although Fi will be early contradicted by Efas 7 in the submediant (F# minor), its function as 6 in the tonic will be affirmed in the coda, by its inclusion in a diminished seventh chord on V. Df is no zeal problem. Clarification Example 5 shows the concluding phrase of the sentence, what Schoenberg calls the reductions. This segment functions to simplify the material in preparation for the cadence. Simplification is usually clarification. This phrase consists of two statements of the basic combination and a cadence to V. The first statement produces parallel sixths above the original lower voice (bars 5-6); the second statement is a diminution of this in octave inversion (bars 7- 8). Each extends the span of the basic combination to a fourth. Notice how the material is simplified: octave displacement is omitted; the figure Tis reduced to fourth skip, inverted above E, with a simple scalewise zetura; the rhythm is a straightforward two against three. Two of the nondiatonic pitches introduced in the dominant form are clarified by means of the leading-tone ,, which is first transposed to the upper fifth (DB), on the way to effecting the hali-cadence, and then applied (by analogy) to the third degree (B4), foreshadowing the contrasting region to be elaborated in the next section. Example 5.2 summarizes the opening statement, coordinating the (our statements of the basic combination with the parts of the sentence—tonic form, dominant form, and reductions. The bass line descent from C¥ to E articulates these segments. Two variants the first tonal contrast; the cadence tothe toni¢ Example 6 concerns the remaining two segments in the first section. In Example 6.1 I have laid out the two variants of the opening sentence, Which serve as contrast and establishment, respectively. Example 6.2 shows the contrast section b (bars 9-16). It presents the confrontation of F} and Et; loses, Example 6.2a recalls the statement of the VOLUME 13 (1988) 7 Sees x oe cece ee) ame jaa, ve ae a eo a a Jyjd. fea a 4 cel rv BS : . oF ay ale op ® Oe ern ge ofthe siaement vw tonic @) coe Example 6: Two (6.1: Contrast (and a. © oe ; = igs =| by Hr CS Si She == + 2 ® { > @ boa © cleat si vu =r} eS —a9 + tit j eo | ay q iN he iC 1: ff ie Fol thos a's ae 6 fant; =F IV Mediast: 63: Section a—# /C, G, 3 » © ~ec9E& 0 aoe ewe oie fare fva0 36 CARPENTER problem in the dominant form of the initial statement. In this variant tonic and dominant forms are contracted to a single statement (bars 9-10) and the reduction extended by a sequence of 7 (Example 6.2b; bars 11-16). This first contrast section elaborates the mediant major, Ct, moving to a half cadence on its dominant, thereby pushing the tonality as far as it will go in this piece: to the fifth fifth clockwise around the circle; all ascending leading-tones are in, The problem presented in the dominant form has been met head on: Fr is abandoned, set aside by the major third of the mediant, ER. Further, its function, 4, is also negated: i in the mediant (C# minor), At, is replaced by the mediant major's Af, a pitch strongly emphasized by the disjunct voice leading of the first phrase (bar 10) and the sequential extension of the reduction (bar 13). Two of the “problem” pitches, Bt and Dé, are assimilated into the mediant region. Notice the lowered 7th degree, Bl, which, leaning toward the subdominant of this region, initiates the bass line descent and prepares for the oncoming contrast section, the submediant (FF zminor), and for the analogous lowered 7th (Gt) in the next segment. Example 6.3 shows the varied return of the initial statement, a’. Beginning like the opening statement, but moving through dominant and subdominant regions, it finally effects the cadence to the tonic. The dominant form now elaborates the dominant; the reductions move through the subdominant to the close. This statement works with the lowered 6th degree, taking up two enharmonic conflicts, overcoming one member of each by means of a kb made explicit in a region close to home. First the B8/Ci conflict is dealt with. The dominant form (Example 6.33; bars 19-20) transposes the function of Ft in the opening statement: Ci becomes 46 of {the dominant region. BE has been cancelled and will not return as a member of a region. Next the A#/Bb conflict is taken up. In the reduction (Example 6.3b), Gl, initiating the bass line descent, elaborates the subdominant, D major, introducing its bd, Bs. Thus the 56 function has been made explicit in both dominant and subdominant regions. But the At, as can be seen in the striking juxtaposition of the cross-related forms in the cadence (bar 23), has not been overpowered. ‘At this point the chromatic content of the piece is complete. Contrasting middle section Example 7 concerns the contrasting middle section, B. Its structure is somewhat loose (as characterizes a contrasting section, according to Schoenberg) consisting of two alternating phrases and a liquidation that reduces the material to its essential bits. Example 7.1 shows the two statement phrases of this section. The first phrase (Example 7.1a) is the Grungestalt as it appeared in the reduction in bar 5, reinterpreted in a new region (the mediant, F#) by means of a tonic pedal and THEORY AND PRACTICE qe pean pom won 1 SCHOENBERG'S TONAL BODY 7 Example 7: The Contrasting Middle Section: Dt, E$ Contrasting setion: - Tg fora plres (4) ene: 26.28 238 34.37, 38-2 ‘Tioo auctions toto bas 46, 47-48,39SD Tiguidadane 7.1: Old and new material 38 (CARPENTER interpolation of a dominant arpeggiation. The second phrase (Example 7.1b) is a variant leading to a cadence on V. Schoenberg maintained that in a coherent contrast something is changed, something kept. The main contrast here is the new region, which establishes the E¥.as #7 in a region close to home. Example 7.1c indicates how the development of fold motivic material, the rhythmic features # and 6, contributes to a coherent contrast by emphasizing the leading tone 7, reinterpreted as 8-8 (DI-C#) and a variant of the figure In reductions, transitions, and liquidations, where material is reduced to its most essential form, it is usually also clarified. That is the case here. Example 72 shows the beginning of the liquidation, the reduction of the first 4-bar phrase to two-bar fragments. Notice two things: the sharp juxtaposition of the cross-related A#/A¥ (bar 43) and the curious voice leading it produces, A# to Gt (Example 7.2a). These reductions refer back to those in Part I (Example 7.24), especially bars 21-23, in which the pitch A was placed in the context of dominant and subdominant regions and contrasted to the important A8. There I maintained that the A# at the end of that section, challenged by Bs, was nevertheless loft in a state of strong tension; here it will be laid to rest. This is accomplished by reinterpreting it as Bh in a diminished seventh chord (bar 46) (Example 7.2b), which carries the descending thirds of the basic combination to the subdominant. The liquidation (Example 7.3) illuminates what has happened. The first segment (Example 73a), a clear transposition of the basic combination to the submediant, articulates the upper and lower leading tones, b6 and #4—Dt/BE— around its fifth degree, showing BE to be analogous to D# in the opening statement and Di to Fy and thereby clearly defining the functions of those two nondiatonic pitches. The second segment (Example 7.3b) assimilates these elements into a cadence to I in the submediant. Summary Look once again at the coda in Example 8. The nondiatonic pitches have been either assimilated into the tonic or negated. For example, Ef, reappearing in bar 81, has been shown to be the leading-tone of the submediant and resolved in this region, close to home. The At, defined as in a distant region (the mediant rajoz) will be finally negated by the subdominant emphasis in the coda. I would say that tonal balance is restored as Gt (bars 84-85), indicating the subdominant major/minor, prepares the way for the return of Ft (bars 874), borrowed from THEORY AND PRACTICE SCHOENBERG'S TONAL BODY 3» ‘Example 7.2: Reductions : Ab # (CARPENTER, Bxample 7.3: Liquidation » CO) @, @— 8-2 =| THEORY AND PRACTICE ot SSCHOENUERG'S TONAL BODY VOLUME 13 (1958) @ (CARPENTER Example 8: The Coda THEORY AND PRACTICE ‘SCHOENBERG'S TONAL BODY e subdominant minor, which, together with Gt, effects the diminished seventh chord on V that allows its resolution in its proper context, as bé to $ in the tonic— the context that was thwarted in bar 4, Thave attempted to show here how unrest in this piece is Sormulated in the ‘dominant form” of the statement as a specific tonal problem: three incompatible pitches foreign to the tonality challenge it in a particular way. I have traced how these elements were enhanced and how the disruption they brought sbowt was ultimately subdued by thetr assimilation into an expanded tonality, that is, their relation to the tonic was demonstrated. Especially, I have hoped to show how each formal member played its role in clarifying this process—which I take to be the presentation and development of the musical idea, VOLUME 13 (1988) Echoes and Recollections: Brahme’s Op. 76, No. 6 Allen Cadwallader The motivic resembiances among Brahms's shorter piano pieces are often quite remarkable.! To cite but one case, consider the Be minor (Op. 117) and B minor (Op. 119) Intermezzi, which display a strikingly similar foreground basic motive. In the Bb minor piece, the basic motive F-AI-GH- is ambiguously presented in the opening bars over a sequence of seventh chords by descending fifth; in the B section, this motive is expanded and clarified within the tonal context of Dy major and becomes the structural framework of the upper voice of each phrase of a sixteen-bar period. A similar technique occurs it the B minor Intermezzo, where the basic motive is FI-A-G- ¥. In both cases the upper voice describes a reaching-over figure that decorates and prolongs the primary tone $. This same type of configuration occurs (at various leves) in the A minor Intermezzo of Op. 7 (E-A-G-F-E), the B section of the A major Intermezzo of Op. 118 (CEFEE-D<4), and the E minor Intermezzo of Op. 119 (B-E-D- cB. ‘The subtle similarities among these pieces are not always immediately obvious, because this recurring figure penetrates deeper levels of different tonal contexts. The resemblances are often better described through the relationships of large-scale structural features than through the rather literal (ut transposed) recurrences of a lowerievel motive. In each piece mentioned above, for instance, the continual reworking and expansion of the reaching aver motive prolongs the primary tone $ cover large stretches of the middleground, a procedure that greatly influences the descent of the fundamental line and thus the structure of the piece (or section); in some cases the unitansposed repetition (and expansion) of the basic motive determines “modulation,” the secondary key areas in, the contrasting sections of these composite forms. In short, the reaching over motive is perceived as a common element only when it occurs at lower levels; but when the motive is expanded, its effect on the ‘middleground varies notably trom piece to piece. 1 Yhave done extnsive work on several ofthe Intermezi for plano, See my articles “Motive Unity and Integration of Structural Levels in Brahms's B Minor Intermezzo, Op. 119, No," Thary and Pract, 3/2 (1983), £24; “Schenkor’s Unpublished Graphic Analy of Brahms Intermezzo, Op. 117, No.2: Tonal Stricture and Concealed Motivie Repetition,” Music Theory Spectrum, 6 (964), 113; and “Foreground Motivic Ambiguity: Ils Clarification at Middleground Levels in Selected Late Piano Pieces of Johannes Beahin,” Musi Anyi, 7/1 Qdarch 1988), 5951 Vouume 13 (1988) 66 CADWALLADER In two pieces, however, the physiognomy of the surface and foreground levels is so similar, the recollections s0 vivid, that one is tempted to view the later piece as a recomposition of the first: the A major Intermezzi Op. 76, No. 6 and Op. 118, No. 2. ‘The first, composed in the late 1870s, is one of Brahms’s charming but lesser-known works; the second, published in 1893, is one of his most beloved pieces for solo piano. Because the two pieces are so similar, it is illuminating to examine the motivic structure of the earlier work in the light of the later one. This approach brings the motivic structure of the Op. 76, No. 6 into sharper focus, and suggests that a composers style can be defined through voice-leading patterns that recur in different’ contexts, patterns that are, in essence, the distinctive features of his compositional language? ‘The A sections Example 1 presents an overview of bars 1-8 from the A major Intermezzo of Op. 76, and it shows clearly one of the main features ofthis piece: the instability of tonic harmony. The tonic is prolonged from bars 1-4 (confirmed by the manipulation and resolution of the key-defining tritone GE-D, shown in circles), but itis stated in six- three position, which is the case until the end of the A section. A brief glance at the A section of Op. 118 (bars 1-48) reveals the same feature. Its true that the tonic does occur in root position at the beginning, but it is metrically weak, apparently subordinate to the subdominant harmony of the first phrase? Moreover, all statements of tonic harmony after the beginning of the reprise (bar 29) are in frst inversion until the end of the section, at which point it appears for the first time metrically strong and in root position. In both pieces I regard these chords as structurally significant. One of Brahms's stylistic traits (one of the distinctive features mentioned above) is that high-ranking tonic chords (or tonic regions) frequently 2 This paper was part ofan analysis symposium at the 1988 meeting of the Music Theory Society of [New York State, To preserve the sprit and context ofthe symposium, which feature other analytical petapectve and focised on different ise of Op. 76, No.6, shall follow my presentation dosely and. ‘Saborate primarily aspects ofthe Intermezza's motivic structure. For ease of Ascusion, furthermore, I ‘shall refer fo the two pieces simply as Op. 7 and Op. 118, respectively; these ee the ony Intermer7 for planothet Brahms wrotein the key f A majo 3 The subdominant in bars 1 and 2 of Op. 118 is part ofa surface progression that prolongs tonic harmony from the anacrussto the seand beat of bar 3:I-IV-V4LI6 = LI, The subordinate function of 1V i unclear because of is duration, its meteally strong position in bars 1-2, and the toc pedal over Which it occurs The main point however, is that tonic harmony goverss the fist pat ofthe phrase Gt Tshigher ranking) eventhough the chord that frame its prolongation ire metrically more unstable and hythmicaly of shorter duration than the subdominant. THEORY AND PRACTICE a CCADWALLADER appear in inversion or in metrically weak positions, a technique that can make them appear structurally subordinate at local levels. ‘The definition of the initial tonic region begins to clarify the context for the ‘unfolding of motives in Op. 76. In the bass CEB is answered by D-Ct, a figure that reduces to the more fundamental upper neighbor-note formula CE-D-Ct and profongs the third of tonic harmony. Ths is accompanied in the upper voice by a similar upper and lower neighbor-note motive that does not decorate one pitch but engenders an arpeggiation from e! toa! of the tonic triad (Example 1), Example 2, however, shows that these figures derive from two intertwined third-progressions: $-4-3 in the upper voice and, in the bass, 4-2. Rhythm and register disguise the unfolding of distinct linear progressions and produce the apparent neighbor notes; we shall see in the B section thatthe third-progression from C¥ recurs ina different tonal environment and is clarified as an unambiguous, autonomous component of the upper voice. Example 2 Once again the motivic resemblances to Op. 118 are striking. The upper neighbor-note motive CE-D-Cf appears to unfold in the anacrusis and bar 1, and at a deeper level this pattern is clarified as it spans the antecedent and the beginning of the consequent phrases (bars 15). It also recurs in the bass inthe first part ofthe reprise (bars 30-34)5 4 These observations about Op. 118 are more amply ustrate in my arcie “Foreground Motivic Ambiguity,” 671 5 Atte reprise the parallel tothe beginning of Op. 76 is vitally exact (the rhythm i differen) inthe bas, Ch-the main fone—moves to Band D, ts lower nd ipper neighbor notes. THEORY AND PRACTICE ‘BRAHMS’ OP. 76NO. 6 a ‘and, at the deepest level of all, as the structural framework of the upper voice from bars 1-34, CE-D-C¥ articulates the aba design scheme of the composite A section *I ‘would also mention the rnyshmic strength of the upper neighbor D, which explains the prominence of subdominant-related harmony at the beginning of the A section and its reprise. These harmonic regions, despite their rhythmic emphasis, are generated by a contrapuntally subordinate tone and are always structurally ‘dependent upon the metrically weaker tonic chords. In other words, Brahms reverses the relationship normally associated with strong and weak components of harmonic ‘prolongation. Before leaving the A section of Op. 76,1 would point out some of its general features. Examples 1 and 3 indicate that the primary tone § is prolonged to the beginning of the reprise. The fundamental line might appear to descend to ?in the tonic region of the first phrase (bars 1-4), but this descent is weakly composed out and. is better interpreted as motion into an inner voice from $, whichis still active at the double bar (in the meantime, % has moved to 2 of the onicized dominant). This motion resembles a procedure that Emst Oster described in certain sonata forms with S-lines: ite eam ound bt never enone by Schenker ollowing ina ta ‘move hat st on 5 th upper vols dw ot een va Land he the tnterupien post normaly would. Thi mene htt compo not aed cn the nteruption rn nthe wrt re. The ae ht woul bethe othe fundamental line core from th hdl rd ofthe oc harmony and st theeore be coidre an fnne-olt tana. In ich a sna explo ha one then compendia url wy, nthe etnies erededl end of tne expan and rom thre tothe begining of the espttion tony decd Teale at the end ston? © The figure CL-D.Ct in the anacrusis and bar 1 of Op. 118s ambiguous. The upper neighbor d2 seems to move back to tin bar 1, but closer examination reveals that the latter isnot the main tone but a passing tone. The impileain of a complete neighbor-note figure, however, is realized atthe phrase level, when d2 of bar 3—the true neighbor note of the antecedent phrase—moves to cf in the consequent phrase, thus arifying a version of CL-D-Ct that spans phrases 1 and 2. For more about these points, see “Foreground Motivie Ambiguly,” 6-71, particulary Examples § and 10. 7 See Heinzich Schenker, Free Composition (Der fee Sats) rans. and ed. by Erest Oster (New York: Longeran, 1979) 19. Inthe A secon of Op. 76, 2 doesnot function inthe way that Omer s suggesting: {tis amply prevent by implication is an inner Volce of th tonicized dominant before the double ba. ‘Theres, however atense in which 3s prolonged throughout the middle passage, which corresponds to the development section in One’ desription. Example 3 shows an inner-Voce line cl-c8} (in the “alto” regirter) that spans bas 8-16, alin that nada rom 2 back wo 5 atthe begining of the reprise ‘This resembles igure 260 in Free Composition, which shown § reestablished by a stepwise line from an Interrupng 2n the upper voice. VOLUME 13 (1988) n (CADWALLADER Example 3 i ADV pt} __#_rt_at THEORY AND PRACTICE BRAHMS! OP. 760.6 n The descent of the fundamental line (shown in Example 4a) occurs late in the reprise of the A section, and typifies another of the stylistic features that recur in Brahms's late piano pieces: the prolongation and elaboration of the primary tone over large stretches of the middleground and the fairly rapid descent of the fundamental Line toward the end of a section or piece? The most complex passage ofthis section to interpret is the C# major region (bars 9-16). At first glance, the mediant (altered through secondary mixture) might seem to be a third-divider that articulates the motion from the dominant at the double bar back to the tonic at the beginning of the reprise. This is certainly a plausible reading, bat a better interpretation, it seems to me, is shown in Examples 34 and 3b. The C# major chord is gonerated by an underlying 5-6 motion above the E dominant (E moves to Bt, and the “root” Cf comes from B, and inner voice of dominaxtt harmony). The descending stepwise bass line atthe surface ther outlines a IV-It-V progression in Cf, Which embraces the more fundamental ascending bass motion E-F-Fx-Gt, indicating 1 prolongation of the dominant by motion to its upper third. The root-position Ct major chord and the sueface harmonic progression antigate the middleground parallels between the outer voices fr over a longer span et moves to its neighbor #41 in the upper voice, and E to F¥ (a passing tone) governs the path of the bass in bars 8- 13 (Example 3b). The Ct chord also serves the design scheme of the A section: each segment begins (in the boss) with C# and a version ofthe surface motive that opens the piece? ‘One additional aspect of design warrants comment, for it sheds light on the “progressive” tendencies of Brahuns's compositional style. We have seen that Brahms appears to leave A major far behind in the prolongation ofits dominant, because the boundary of the prolongation (its upper third) is realized atthe fermata as a Gf major- 1 The surface and foreground elaborations of $—often constitwing he basic motive of a plece by ‘Beahas—can cover a higher-ranking descent to 3 or 2: this oecus, for instance, in the & minor Inermezzo of Op. 17. The eral presence of §, structural or otherwise, fr long spans imparts a rather “tale” quality fo the iramework ofthe upper voice This 's a composional technique that appears to bbe characteristic of some later styles of 19thcentusy tonality m Which the Upper voice does nat delineate the ton iad, and thus doesnot exhibit Auskomponerung as described by Schenker. Thave not found this procedure carried toan extreme in Beahme's musi his melodie frameworks do describe ‘andamental lines that ultimately descond. 9 Thave considered another interpretation of the Ct najor region and the largecalexswcnre ofthe A secon. Simply Put, consider thatthe chords beginning each part of the A section are structurally ‘elated, snd thatthe bass arpesgiation ofthe Fundamental structure unfolds only in the inal eight bars 16 | it | 16Vel Inthe inal and mile sections, de harmonic Progressions move to bick-reating dominants (dividing dominan'), meaning that only tonic chords that ius the progressions reduce fut ata deeper level In other Words, inthis reading the A major sxcthree is prolonged scron the ferial boundaries by 8 65-5 transformation. although this is extainly a plausible analysis, | hear the (Ch major region 1 Tinslory and quas-developmental, working within the ronicied dominant, not 36 an autonomous eae stop (in FAV D. VOLUME 13 (1988) n CADWALLADER sinor seventh chord, the local dominant of C}. This is an unconventional realization of a Classical technique (the expansion of dominant harmony before an interruption), which enables Brahms to lead deceptively into the beginning of the reprise (=C#:V7- ‘Vi. Because the A major tonic occurs in six-three position, however, the bass descends from Gf to Ct, outlining the falling fifth (of an authentic cadence) that typically occurs at the point of interruption in many tonal structures. In this way Brahms integrates a general tonal procedure with a unique design feature: he returns to A major and introduces the reprise with a conventional bass progression, but one derived from C¥ ‘major, a tonal environment that allows a version of C8 and its motivic elaboration to unfold in the bass atthe beginning of the middle section. He achieves this integration in the domain of the dominant, which by itself, without the benefit of expansion and prolongation, could not support this altered recomposition. Finally, Example 4 compares passages from each piece, ilustrating more precise similarities between the surface and foreground levels ofthe A sections. The first part ff the example (a) is an abbreviated sketch of the descent of the fundamental line in the closing bars of Op. 76. The second and third parts, both from Op. 118, show (b) the approach to 2 at the end of the second phrase (part of a lower-level interruption), and (c) the structural 2-1 ofthe section. Note in all instances the motion 10 Y from {IV {nthe bass and the approach to 2 from d®, the beginning of an unsupported stretch in (Op. 76and an incomplete upper neighbor in Op. 118. The B sections The recollections we have examined thus far are stiking enough, involving unstable manifestations of tonic harmony, similar cadential formulae, and a common fandamental motive—the elaboration of Ct by its upper neighbor D. The reworking of these features inthe submediant context ofthe respective B sections, however, is what gives one cause fo wonder whether Brahins, when composing Op. 118, might have been recalling his earlier work, [would also point out that now we will begin {0 see 191 am not suggesting tht “resolution” (V2) occurs at points of interuption sui speaking, hat contradiction in tems. At he Sutfacs level, however, thece a chord progression that Is syactlly cohulstent with the conventions of onal grammar. 11 This abbreviated sketch Itrally dep the vole leading ofthe fina prt ofthe A section. Yetit ‘must alo serve fo fepresent the srt ofthe ene secon, forthe fundamental ine and bass $peggiation begin agin and finally achieve clonure n bars 162 his feature ofthe graphics of terary formats in whch the fist pati harmonically open the a section must “stand” forthe Use). The deep srtue of the A secon therefore is based on an auxiliary cadence 16-HV CV of V) VL Incidental, Schenker shows an allay cadence ax the strcte ofthe Inermezza in A minot, Op. 118,No, 00 Free Composition Fig, 110, THEORY AND PRACTICE ‘BRAHMS OP. 76NO. 6 a Example 4 '8) Op. 76, No.6 ® ® ® ® ue I ') Op. 118, No.2 ” (CADWALLADER the internal relationships that unify the formal sections of Op. 76, as well as the parallels to the A major Intermezzo of Op. 118. Example Sa is @ voice-leading graph of the first part of the B section from Op. 76 (bars 34-42 are essentially the same as bars 25-33). Note that C¥ is now the local primary tone $ in the tonal environment of F¥ minor; furthermore, note that Cf never really relinquishes its role as the main tone of the upper voice. The retention of the primary tone over longer spans, as mentioned above, is one of the stylistic traits of Brahars's iate piano pieces Inthe first phrase, bars 25-28, c#2 does descend through b! 10, which recalls one of the intertwined third-progressions that unfold in the opening. ‘bars of the A section (see Example 2. Here, this line might appesr to be an incomplete structural descent from $, but Example 5b shows that itis simply motion into an inner voice: C# is immediately reestablished at the end of the phrase and remaing structurally in force to the end of the B section. ‘The most remarkable point is how the local primary tone C¥ and its upper neighbor D, the fundamental motive in both Intermezzi, is now worked out as the structural framework of the upper voice. In each case the CH-D-C¥ basic motive is ‘elaborated by surface lines that participate in a kind of canonic interplay in the -motivic fabric. The imitation in Op. 7 results initially from an exchange of unfolded {ntervals. Inthe second phrase, bars 29-33, the technique is more precisely described as a transference, from one measure to the next, of the top line af a succession of unfolded intervals from the upper to an inner voice; this procedure involves, furthermore, the inflection of é to #5 chat prepares the mode mixture (F¥ major) of the second part of the B section (Example 5a)? Tn Op. 118 the canon is more conventional: Brahms weaves three motivic strands into the contrapuntal web of the first phrase, two in the compound melody of the right hand, and one in the inner voice of the left hand (Example 6). ‘Note also that even the surface lines (the “new” theines) of the B sections are comparable, Examples 5 and 6 reveal that in both pieces C} reaches over to a superimposed tone of the local tonic triad 80 that the embedded upper neighbor -note €? is approached from above. And bear in mind that the recomposition of the upper neighbot-note figure unifies the internal formal sections of the Intermnezzi. In each case the CED-C# upper-voice framework derives from the A section as a product of uuntransposed, expanded repetition; this means that the “contrast” of the B section is produced and embraced by repetition of a higher order. Repetition and contrast are not opposite qualities, but are complementary aspects of design that simultaneously characterize the same passage. 12 The shift to Ff major andthe inflected upper neighbor note 6 are also features ofthe B action in Op, 8 THEORY AND PRACTICE % (CADWALLADER Example 6: Op. 118, No.2 Finally, Example 7 illustrates the concluding passage of the B section from Op. 76 (ending just before the coda). Once again CH-D-Ct is the structural tone succession that governs the physiognomy of the upper voice; the bass progression, furthermore, leads toa VI that furtctions as an upper-neighbor chord to the dominant of the phrase. Here, at the climax of the B section, the motion from D to C8, part of the largest version ofthe basic motive, is thrown into sharp relief as it articulates both the upper and lower voices and signals the arrival of the structural dominant. At this point, however, Brahms extends the phrase in a way that produces the final ecollections and leads us fall circle back to the A section. ‘The final phrase of the B section is extended through a prolongation of the six-four that prepares dominant harmony. The c¥? of the upper voice is decorated at the surface with upper and lower neighbor notes before it leads through b? to at in the tenor register, recalling (1) the elaboration of C¢ in the bass at the beginning of the piece and (2) the “incomplete” line in the first phrase ofthe B section, But a more vivid recollection occurs in the inner voices of the prolonged six-four. The lower staff of Example 7 shows that the alto and tenor voices—at a foreground level—echo the soprano and bass at the beginning of the A section (compare to the second part of THEORY AND PRACTICE n (CADWALLADER Example 2).13 The repeated upper and lower neighbor-note configuration, the characteristic surface motive of the tonal fabric, unfolds in the inner voices, framed by the voice exchange that prolongs the cadential six-four of F¥ minor. Thus, at the very time the B section is drawing to a close, motivic recollections at different structural levels recall the beginning of the A section and prepare for its return five bars later. These recollections integrate different voices, contrasting formal sections, and various structural levels of the A major Intermezzo of Op. 76. And they echo 15 years ate, in the A major Intermezzo of Op. 118, 13 The second part of Example isan abstract representation that simplifies register and voice leading, ‘ustrating more clearly the relationship of bars 49-52 tothe beginning ofthe Isermeazo, It shows that ‘A and Ff exchange positions inthe cadendialsb-four, and that they are in a sense twice decorated by the complete lower-and upper-neighbor figure, the characteristic surface motive of the A section. THEORY AND PRACTICE Chromaticism and the Mediant in Four Late Haydn Works Channan Willner In an admirable recent study, David Beach has pointed to a pattern of tonal structure that has been largely negiected by both theorists and musicologist: the use, in majot, of the major mediant as a central tonal goal in the development section of sonata-form movements, especially in works of Mozart! As it happens, this pattern appears with no less frequency in works by Haydn. In the present paper I shail {nvwestigate the complex network of relationships and associations between exposition and development that hinges ox the use of the mediant in four late Haydn compositions: the opening Allegro of the Piano Sonata in C major, Hob. XVI: 50 (No. 60 in Christa Landon’s Wiener Urtext edition); the Finale of Symphony No. 98 in Bh; the first movement of Symphony No. 101 in D; and the Finale of Symphony No. 104 in D2 Before embarking on an analytical study of the four pieces, let us summarize and. look more closely at some ofthe circumstances under Which the mediant may become the volce-leading anchor ofthe development. “Although the appearance of the mediant, as a rue, is subordinate both to the larger ‘motion that links the dominant at the end of the exposition with the tonic at the beginning of the recapitulation and to the motion within the dominant in the development, it most often acts as the developments focal point, the last such goal 1 David Beach, “A Recuring Patter in Mozart’s Musi,” Journal of Music Theory, 27/1 Spring 1983) 230. The mechant usualy, i not always, appears with it third raise it does so in al four of the ‘compositions discussed Here. For convenience, I shal refer tat sknpy a8 “the median” througout, 2 Atleast two studies have in recent Years addressed Haydn's use of the mediantis his developments: Heino Schoraring, “Ungewalnliche Reprisenesntte in Faydas spitererInstrumentalmusik” Akio (fir Muslevisseneiat, 1023 (1960), 168-52, and Harold L. Andrews, "The Subsmediant in Haydn's Development Sections,” Haydn Studies, ed. by jen Petr Uren, Howard Serwer, and James Webster (New York: W. W. Norton, 1980, 4557 VOLUME 13 (1988) 80 ‘WINER before the retransition and the onset of the reprise (Example 1a)’ It is precisely here that one of the major problems in examining the developments under consideration lies: To what extent does the mediant represent their principal goal? ‘The retransition’s dominant can vary greatly in length and in the extent to which it is worked out. It can be extremely brief or be altogether bypassed (Example 1b); it can simply reassert the prolongation of the dominant and conclude the linear descent to the tonic through the reintroduction of the dominant in $ or even (somewhat seceptively) in root position (Example 10); or it can more elaborately, if rather pparenthetically, be extended in the manner of the dominant at the end of mere regularly designed developments (Example 1d, which also shows an expansion of the motion from the mediant to the dominant). Only when the dominant is a very brief passing chord (as in Example 1b) can the mediant proceed directly to the tonic of the reprise and outline a large-scale [III motion. In almost all other cases, the retransition’s dominant takes structural precedence over the mediant, because ir generally represents a linear extension, an offshoot essentially in $ position, of the exposition’s structural dominant (see Example 1e). Even when the retransition’s dominant appears in root position or undergoes some extension, it continues to represent the earlier structural dominant in second inversion: its root is an added root, rot a genuine continuation of the root presented inthe exposition + From a linear standpoint, then, the mediant may help subdivide and fill in the space between V and if the retransition’s dominant is very brief or altogether absent, ‘but more often it will help work out the space between V and V$ . The subdivided bass descent from V to I, accordingly, may comprise two thirds (V-II¢ ING-L, see Example 1b), but more frequently it will encompass a large-scale fourth progression ‘within the dominant consisting of a third and a second (V-IU# and IN8-V'), and an additional second leading into the recapitulation (V¥-1, see Examples 1a, 1c, and 14)5 Owing perhaps ts the necessarily flowing nature of the development section in general, the mediant is rarely tonicized; it is usually only cadentially established, and 3 From a larger perspective, the motion from the dominant to the tonic takes place at intermediate levels of structure; atthe deepest levels the tonic atthe opening ofthe reprise does not continue the dominant but rather anticipates the conic atthe close of the recapitulation, before the coda. See Examples 1a, fe and id in the present study, and the schematic sketches in Heinrich Schenker, Free Composition (Der rei Sa) tans. and ed. by Ernst Oster (New York: Longman, 1979), Figures 2426. Concerning the use of interruption in these Figures and in the present Example 1, seo Oster's ‘essential explanation in Free Composition, 37, fn. 7. The manifestation of interruption in the four ‘compositions understudy heres nt germane tothe topic ofthe present paper, however. 4 See Scherke’s discussion of add roots in Free Composition 90-91, 247, 5 gan, from alarger perspective, despite the stepwise progession from V to [atthe foreground, the Intecruption that follows the demitant at the deepest level of structure stil oblains (ef. 3, above, and Example 10, THEORY AND PRACTICE (CHROMATICISM AND THE MEDIANT IN HAYDN 8 roves au wt VoLume 13 (1988) 2 WRLINER its establishment is followed in short order by the onset of the retransition’ The absence of tonicization, underscored by the mediant’s chromatic alteration to @ major chord, by its frequent introduction through an augmented sixth chord, and by its continuation to a semi-cadential caesura, often causes the mediant to sound deceptively like the dominant ofthe submediant. The submediant often does play an important role in leading to the mediant (and in the many sonata-form movements in which the mediant only plays a secondary role the submediant is the foca! point of the development), but in compositions such as those under consideration here it does not represent the developments essential goal or underlying harmony, and ought not to be regarded as such? ‘When the bass descent from the dominant at the end of the exposition to the ‘mediantis part of the larger fourth progression between V and V4, its subservience to the fourth progression is clearly reflected in the larger design of the upper voice: as the examples below demonstrate, the mediant helps render a large-scale 3, passing. between 2 and é within the dominant, consonant, and may thus ultimately be regarded as a large-scale passing chord. ‘As Beach has so persuasively shown, the large-scale bass arpeggiation—more often, seeming arpeggiation—resulting from the motion through the mediant tends to dovetail and work oat in the large the motivic design of the composition’s foreground. Although this holds true for arpeggiatfons in Haydn no less than it does for those in Mozart, the appearance of the mediant in Haydn (especially) also tends to bring, in a ‘more general and freely associative way, other aspects of the composition into play. The special color of the mediant, both as a diatonic chord and as a chromatically altered major chord; the ease with which itis introduced and let go contrapuntally; and the opportunity it affords to bring in the Key of the submediant without commitment to either tonicization or cadentia! establishment—all these combine to enable Haydn to link the mediant with other features of the design, and to do so in almost ad hoe fashion. Like Mozart, Haydn often takes advantage of the opportunity presented by the contrapuntal circumstances under Which the mediant appears to 6 pec n devon tnd tothe med, na gous nt undergo edad toniczation. Indes, a chord need not be tonlczed to be stricta see Cal Schachter, “The Fist Movement of Brahms’ Second Symphony: The Opening Theme and its Consequences" Mas Anais, 2/1 Olarch 1983), 3. There are, ofcourse casesin which the median i ledczed-—for example inthe developrent of test moverent from Hayan’s Symphony No. 34in G he “Surprise” Symphony. 7 Both Schwarting and (even more so) Andrews view the mediant—owing no doubt tothe chromatic Alteration oft thtd asthe dominant ofthe submediant rather than a an autonomous chord, even ‘when te submediant play only a minor rle inthe design ofthe development (Sein, above) For dscussons ofthe ole ofthe sedan see Gregory Proctor, Tec! Bass of Ninetenth Century Civomatie Toa A Stuly i Chromatiom (Ph.D. Ban: Prince University, 197), 71-77; Charles Rosen, Sonate Forms (Int ed, New Yorks W. W. Norton, 1980), 255; and in responce to Rose, Cart Schachter, “Anaya by Key: Another Look at Modulation,” Misie Analysis, 5/3 (October 1987) 23698 THEORY AND PRACTICE Gene aed (CHROMATICISM AND THE MEDIANTIN HAYDN feign a momentary loss of tonal orientation in the retransition, concealing the impending arrival of the reprise by means of dramatic pauses, hesitations, and seemingly uncertain improvisatory progressions under the pretense of reaching the tonic area by accident And Haydn makes special us ofthe large-scale chromaticsm engendered by the progression to the mediant in that he often relates the ‘progression—freely but concretely—to chromaticism already introduced earlier in the exposition. Its the purpose of the present paper, then, not only to examine the circumstances under which the mediant becomes the center of attention in Haydn’s developments but also to convey a sense of how Haydn approached the task of composing some of 1is best known bat least often analyzed works. Plano Sonata in C Major ‘Throughout the exposition and development of the opening Allegro from Haydn’s Piano Sonata in C major, itis hidden repetitions and enlargements that hold the motivically angular and metrically iregular improvisatory foreground together. The descending-step motive, for example, which facilitates the opening theme's rising ‘octave arpeggiation through the technique of reaching over (Example 2a), undergoes several short but pivotal transformations in the course of the dominant group (Example 2b and 2c). The opening theme’s unfolded thirds, neighbor-note motion, and rising arpeggiation are freely expanded over almost the entire tonic group, Jeading to the delayed entrance of the primary melodic tone, E, in the three-line octave (bars 7-16, see Example 2a), and the arpeggiation is expanded again, over a wide range of registers, in the first part of the dominant group (bars 20-30, Example 2b). The dominant group thus divides into two large thematic areas (bars 20.33 and 34-53; bars 47-53 constitate x codetta): The frst incorporates the expanded rising arpeggiation; the second interrupts and then completes the wpper-voice third-descent B-A-G begun in the first by interpolating a transposed enlargement of the broken-sixth mative with 58 Two examples by Haydn willbe given below a highly representative example by Mozart can be found tn the fat ovement from the Plano Concert in F, K 459.1 wish to thank Carl Schachter for drawing my attention fo theee marlfsatons of seeming improvisation in Mozart’ developmen. 9 Because two of our four examples are characterstically monothemate wil be easier and more appropriate to refer to “tonic group” and “dominant group” cther than to “Brst-theme group” and "Seeond-theme group.” VOLUME 13 (1988) Example 2: Piano Sonata nC, Hob. XVI: 50,1 1) Bag 119 (ane Boop) Q ®Q @ srasuimie 2) THEORY AND PRACTICE (CHROMATICISM AND THE MEDIANT 2S HAYDN VOLUME 13 (1988) 86 Wainer ‘which the sonata opens (bars 34-42, Example 2b; note how the subdivision ofthe sixth is affected by its transposition) 10 The order in which these expansions and enlargements take place is of particular importance here: itis as if one thematic statement and expansion Jed to another. The opening arpeggiation in bars 1-6, through the need to repeat it at the higher octave, triggers the larger arpeggiation in bars 7-16, and the larger arpeggiation provokes its hidden repetition in the first part of the dominant group (Examples 2a and 2b), nat unlike an improvisation in the large, as it were."! Owing to the arpeggiation’s hidden repetition, which is begun in the bass and is only gradual led to the upper voice, the dominant group is at first denied the opportunity to introduce a truly thematic statement in the upper voice, one that would serve to mark and confirm the arrival of the dominant: this necessitates, or at least calls for, the interpolation of bars 34-42, ‘which are appropriately thematic and lyrical (especially bars 37f). [t's in the course of this interpolation that a striking high Ab, conspicuously borrowed from the minor {bars 37-38), introduces the chromaticism that is later to underlie the development. Haydn's characteristic tendency to improvise and expand becomes still more pronounced in the development: the broken-sixth motive, again in the bass and again adjusted to support the prevailing tonal circumstances, is expanded at the focal point of the developarent (Example 32)? Both the expansion and the long progression leading to it hinge on the mediant for their fruition. Just like the expanded sixth in the exposition, the development’s enlarged sixth can only approximately suggest the actual pitches ofthe original motive: B-G-D over the dominant in the large, as opposed to the original C-G-E over the tonic. The 10 See the discussion of progressive motivie enlargement in Roger Kamven, “Aspects of Motivic Elaboration in the Opening Movestent of Haydr’s Pano Sonata in C# Minar,” Aspects of Sctentrian Theory, ed by David Beach (New Haven: Yale Univesity Pres, 1983), 733. T would also like to draw attention to two further hidden features ofthis dominant group: the repetition ofthe covering-tone succession ed3, and c in bars 27, 31-33, 34.36, and 42-46 (partially Shown in Example 20), andthe transformed reappearance of the broken-sivth motive aga decorated fifth, -b2 in bare 3437. 1 Similarly (if ess directly retated fo our discussion, the omamental tum around b? in bars 41-42 becomes the Kernel of bars 42-6, 22 although the opening theme i essentially conceived as an uppe-voice melody, its expansion inthe evelopment lakes place in the bass. Ast happens, the theme appears thoughout the Agro in the ‘bass as much att does in the upper voice, and itis arsculated by powerful left-hand octaves both at the opening of the dominant group tars 2021) and shortly after the beginning of the development (Gars 60-62) The ensuing enlargement in the bass is thus Something of logical outcome of those tevtrally reinforced statements in heeft hand. 19 To complete the free pitch parallelism between the development and the second part of the exposition, Haya brings back the most Iria! part of the earlier uppet-voice expansion (bats 37-42) ‘ear the eorrespending spt inthe pitch parlleia Gurs 83-8), tha is, owards the condlsion of the -D ‘undergoes repeated rharmonlzation throughout the movement 19 tis probably no coinddnce that, in tighly organized work whic eign improvisation, the order in which moti elements are worked nd then reworked Becomes an eset feature ofthe design. THEORY AND PRACTICE (CHROMATICISM AND THE MEDIANTIN HAYDN 2 Example 6: Symphony No. 98 in Bb, Finale a) Bars 16 9 OOO © by The development (bars 148-231) © 686 88 8 8 =e (CHROMATICISM AND THE MEDIANT IN HAYDN 38-38). Instead of giving way to a direct restatement of the tonic, the dominant is unexpectedly continued (bars 40-59), only to be ultisately absorbed in the tonic’s chromaticized voice exchange, whose tonal space it helps work out. Itis the hesitancy ‘with which the dominant’s continuation takes shape that contributes so much to the atmosphere of improvisation: the half-hearted quotation from: the first theme, the abundance of rests and pauses, the initial absence of bass support, the piano markings, and the contrast presented by the sudden juxtaposition of new material. marked forte, in bar 45. It is as if Haydn were trying his material out as he went along, skipping forward and backtracking at will29 And in the subsequent expanded dominant preparation, the alternation of the dominant area's preliminary V and I, each with its own distinct motivic material (bars 62-75, 76-79, 80-86, really part of an auxiliary cadence anticipating the dominant, as shown in Example Sa), leaves the tonal outcome of events uncertain for quite a while. Even the dominant group proper (bars 87.) is ‘marked by thematic and tonal interruptions, pauses, and hesitations (in the second theme itself, if one can call it that, and especially in its working-out in bars 111-24) that intensify the pervading emphasis on the surprising and the unexpected. It isa telling reflection on the relation of the tonal structure to improvisatory design that the upper voice of the dominant group and thus the group's entire outline is based on a tightly Jaxit twofold enlargement of the opening theme's principal arpeggio motive (Example n. Example 7: Symphony No. 98, Finale, bars 86-124 Dominant aa ow 20 There is much in the rst movement of the Symphony that i stmlarly composed. In general, compositions showing full-fledged mock-improvisatoxy atyle are more commonly found simong Haydn's solo and chamber works (especially the plano sonatas) than among the symphonies; the Bt Symphony i thus something ofa specal ase. VOLUME 13 (1988) 95 96 Wner Example 8: Symphony No. 98 in Bb, Finale, bars 146-60 ~ win uty 8 ° ee prepared by THEORY AND PRACTICE quotes yom we mms (CHROMATICISM AND THE MEDIANTIN HAYDN Ea ‘These instances of sintulated improvisation play an essential role in setting the stage for the realization of feigned improvisation in the development: The thematic ‘material of the dominant group, with is conspicuous pauses and choppy phrasing, reappears at the beginning of the development and combines with the thinned-out texture and hesitations of the dominant passage in bars 39-44—here further reduced to 1 violin solo in the upper Voior—and with a seemingly unprepared entrance on Ab to produce an effect of tonal dislocation (Example 8). ‘Despite the near tonicization of Ab, these opening measures actually outline the Db triad, this by means of a broad arpeggiation, Ab-F-Db (bars 148-56-60, see Example 6b). Dh is subsequently transformed into C¥ (bars 161-70; note the tentative, questioning ascending thirds in the violin solo in bars 161-64, before the enharmonic change of Dh is confirmed); Ct, it turns out, represents a large-scale chromatic passing tone that links the exposition’s upper-voice C with the developments climactic D (bars 198-208) and, together with D, outlines 4 large-scale 5-5'-6 motion linking the ‘exposition’s dominant and the development’s mediant (see Example 6b; the A major and minor chords in bars 170f. serve to support the upper-voice C# and other passing tones) Itis through this motion that CED and B-D are so Widely expanded. Once D has been established as a point of arrival, the return to the tonic gets underway (bars 209-31) and the earlier improvisatory writing—the thematic design, texture, and ambivalent violin solos encountered at the beginning of the development--reappears. Again the music is marked by fits and starts, and long ‘pauses, as ifthe solo violin (originally played no doubt by Salomon, Haydn's patron) were trying out the melodic and harmonic direction of the retransition (bars 222-32, Example 9). The underlying progression itself is very similar to the corresponding progression in the C-major Sonata, and leads to the supertonic (bars 217), which soon Decotnes absorbed in the dominant (bars 219-31, see Example 60). Example 9: Symphony No, 98 in Bb, Final, bars 222-33 @ veins wn =o : es Se C= 121 As Example 8 shows, the Din which Abs soon absorbed (ot 160) is prepared by a chromatic unison pasgenading to. rtsino Ob jst ore the doublet, burs 3b VOLUME 13 (1988) 98 WILNER, ‘The mediant’s principal role in this development, then, is to furnish a voice- feading anchor for the two extended improvisatory passages whose working out represents the raison dire of the development. And by allowing its leading tone, Cb, to enter enharmonically as Db, the mediant fosters the introduction of large-scale ‘chromaticism which joins forces with the chromaticism in the exposition and lends the entire movement both an essential cohesion and a degtee.of tension and dramatic weight that one might not immediately associate with its thematic design. Like its counterpart in the C-major Sonata, the mediant here also possesses large-scale motivic significance: it facilitates the expansion of the opening themse’s motivic arpeggio configurations over the span of the entire development, and it helps prepare for their return in the recapitulation (Exazple 10). Example 10: Symphony No. 98 in Bb, Finale becomes Symphony No. 101 in D In the first movement of Haydn's Symphony No, 101 in D, the “Clock” Symphony, the undercurrents of tension and drama flow somewhat loser to the surface than they do in the C-major Sonata or in the Bb Symphony. The foreboding, almost ominous quality of the introduction, witich outlines the Presto’s characteristic rising scale ‘motive in abstract, stretched-out (yet germinal) form, combines with the partial repetition of the Presto's opening theme over an incomplete harmonic progression in E minor (bars 49-53), with the repeated appearance of chromatic passages based on mixture and on chains of diminished seventh chords (bars 64-70, 90-98, and 110-16), and—most important for the discussion at hand--with a startling unison passage leading to an expanded ff resolution, marked fortissimo, over Ff at the climax of the THEORY AND PRACTICE (CHROMATICM AND THE MEDIANTN KAXDN development (bars 184-96, Example 11) to undermine the sense of well-being that otherwise pervades the Presto asa whole. As it happens, the chromatic passages inthe exposition are in fact related: each helps repeat and expand the underlying bass motion D-E or D-DEE (Example 12). And although subsequent events in the development are largely independent of these hidden repetitions as such, they do show a {vee upward transposition, toa much-enlarged E-ELFE, of D-DEE. In terms of tonal structure and large-scale voice leading, the development is one of Haydn's most complex (Example 13). After an intial continuation ofthe dominant, A, at the double bar (bars 122-26), the bass moves in large steps towards Fb and 8 (bars 127-44): the extended alternation of F¥ and B in bars 127-14 leads sto expect that one of the two chords will eventually be tonicized or established as a Voice-leading goal, yet already a this early stage it becomes evident that there exists something of a tug of war between them, one that will ultimately require resolution, (As the development continues, the conflict between Ft and B unfolds even as these pitches assume voice leading roles unrelated to those of their first appearance.) At this point F# and B are temporarily put aside, ther alternation giving way toa motion from B to Ct (bars 146- 50) and to a subsequent sequential ascent leading from Ch to a cadential dominant seventh on FY (bars 174-81). With the arrival at this new FR--an F¥ that strictly in terms of voice leading is unrelated to the earlier Fkone becomes justified in expecting a resolution t0 B, especially in view of the Beminor f sonorities that repeatedly appear over F¥. The preceding Ci, though, is stil inplictly held under Ft (note the continuously rising register of the bassin the ascent from C¥ to F# in bars 150-83, which consistently follows the rise of the bassline itselN, and the large-scale augmented fourth CtF¥ necessarily resalves to an implicit sixth, B-G, accounting for the G-major chord in bar 184, (At the surface, through the addition of a root, the G- major sixth chord appears in root position; on a deeper level, the bass tone B isin fact superseded by G, because of the root position’s larger passing function: it serves to link the A at the beginning of the development with a stil ater and again different Ft in bars 191-96. The root-position G chord thus ultimately takes precedence over the implicit first inversion. 32 Neither FE nor B, then, can matertalize as a key area at this stage. Feigning desperation, Haydn now retzaces the steps of almost the entire development, moving chromatically over the implicitly sustained G in staring repeated unisons from B (bar 184) through an implicit augmented-sixth chord over G (bar 190, see Example 12) to the cimectic fortssimo {chord over FF (bar 191), which is outlined and worked out by its insistently repeated tonesin the two- and three-line ociaves and by the enlarged ff 2 The resulting progretson in bars 174 thus resembles a deceptive cadence, bur has a much deeper ‘meaning: the ner attempted resolution of Ff also shows the earmarks of an expanded deceptive ‘dence (bars 191-203, se the braces Example 13) VOLUME 13 (1988) 10 WmLNeR, Example 11: Symphony No. 101 in D, 1, bars 184-96 THEORY AND PRACTICE (CHROMATICISM AND THE MEDIANTIN HAYDN 101 Example 12: Symphony .No. 101 in D, 1, bars 35-116 ®©®SOO 6 © © 8 a4 ® mA Oe 5 tue SS Se SEs —— tt v ae re Ch —pI-e ©®®® @6e@e88B @ vig G@ 42 » $4 $201 i VOLUME 13 (1988) 12 WILNER Example 13: Symphony No. 101 in D, 1, bars 122-217 (Development), ‘wo reductions >» @ ® @@ © @® 8 @ ® 2 1 e = = Recapiniaion THEORY AND PRACTICE (CHROMATICISM AND THE MEDIANT IN HAYDN progression whose tonally expanded resolution spans six measuces (bars 191-96) and threatens to resolve to Bat the close of the progression (se the braces in Example 13) Although its establishment asa key afea seems virtually inevitable, iis precisely the tonicization of B that is thwarted: the large-scale progression leading to the confirmation of B has proven so tortured—and so lengthy—that B can no longer serve as the true tonal goal of the development without disturbing its larger proportions and upsetting its balanced temporal framework, To put it another way, in the course of Haydn’s attempt to reach B, Fits dominant—has perforce taken over ard ‘established itsl! as the rue goal ofthe voice leading. When B finaly does enter (oars 197-200, see Example 13a), it takes the form of an interpolated octave arpeggiation in slow measure-long notes marked piano that emerge in unison from the small and one- line octaves below as f expressing a lament. The interpolated B can do no moze than intervene between F# and its continuation to G and A, the root position dominant standing for V$ (tars 203-17), and serve as a resting Point that allows the design to change in preparation for the onset ofthe recapitulation 2 ‘The development here, then, embodies a conflict between competing tones and potential key areas that is played out by tonal progressions and their long-range ‘plications. At the center of the conflict is the mediant, Ft indispensable to the tonicization of the submediant, B, but powerful enough an agent of voice leading to take over and claim tonal supremacy for itself. Although the conflicts specific relation to events in the exposition is somewhat indirect—it will be dealt with presently —we can understand in retrospect wy it was necessary for the exposition to temper its manifestations of high spirits with repeated displays of disquieting chromaticism: ‘without some rather extensive preparation in the exposition, the drama that unfolds in the development would appear unprovaked and uncalled for. By introducing and consistently underscoring elements of tension strategically throughout the exposition, Haydn makes it possible for the development to start out with material substantially similar to the exposition’s but proceed with increasing freedom without disturbing the coherence of the movement as a whole. The Voice-leading association between the exposition and the development is again expressed at the surface and at the deep middleground level through the development’ rising transposition of the exposition’s chromatic progression, D-D4-E, to E-EEEE (see the square bracke's in Examples 12 and 13), and again hinges on the mediant. In the development’s underlying upper-voice motion, the transposed © Pariculaly here, in reading F¥ as an important point of arfval, one must keeps mind that not all structural chords need be tonicized. Incidentally, the dffculy of interpreting the complex voice Jwading and design in bars 190-200 is compounded by the metronomic rigidity. with which these smessures are often led in performance. This is nota recent problem; see Guido Adler’s remarks concerning breathless performances ip “Haydn and the Viennese Classical School,” The Musical (Quarry, 18/2 Apt 193), 207, fr. 9 VOLUME 13 (1988) 103 108 WILNER progression helps link the opening E with the G that appears just before the reprise (oars 211-17) via the mediant’s passing F¥ (bars 191-96, Example 13). The introduction of FF by EF (bar 190, notated as F¥ in the bass) is underscored by the augmented sixth between Ef and ‘he implicitly held G underneath; as in the Bk Symphony, the transposition and its augmented sixth represent a means of dramatic intensification that is at once tangible and, from a larger perspective, also symbolic in quality, a procedure that helps put the movement's conflicting forces into sharp focus Symphony No. 104 in D A special, in some ways unique example of Haydn's resourcefulness in putting the mediant to novel use is found in the Finale from the Symphony No. 104 in D, the “London” Symphony. It is well known, and of some importance to one’s understanding of the movement, that Haydn based the opening theme, with its characteristic three-note J J motive, on a folk tune? In and of itself, mere awareness of the theme's origins will not iake us very far: it will be necessary to examine the way ‘in which its folklike tums of phrase and tonal implications become artistic issues in the composition to derive analytical insight from the search for its provenance. As it happens, itis the mediant here that facilitates a series of enlargements which allow the tune to dominate the movement on several levels, but the role the mediant plays ‘within the development’s larger tonal framework is somewhat different from its role {nthe three compositions we have already examined. ‘Two aspects of the opening theme, both deriving in a general way from the idioms of folk music, concern us here: the dissonance ofthe inital statement of the three-note motive (see the square bracket in Example 14a), and the support the theme as a whole receives from its drone bass accompaniment, which, in the manner of an extended 24-Ths in turn makes it necessary forthe recapitulation to show a corresponding intensification, in recognition at were ofthe evens tha ranspired in he eurse ofthe development Te second pert of the seund theme's opening phrase is thus expanded md recompose, in stating fashion, a existed and motivic cimax (bars 25048), and a striking chain of parale sixth chords, presented atthe highest register, fllown shorly thereafter (Bars 302-6) Its most unfortunate that conductors rarely bring out the spetl qualty ofthese two passages 15 Many competing lms have been made on behald ofthe provenance of this tune. Se, for instance, H.C. Robbins Landon, The Symphonies of Jouph Heyin (London: Universal Eaton and Rocklf Publishing Corporation, 1958), 5678. THEORY AND PRACTICE re MMe pe (CHROMATICISM AND THE MEDIANT IN HAYDN 18. Example 14: Symphony No. 104 in D, Finale ayes 6 (xing) bare 19-29, ) tas 83-102 VOLUME 13 (1988) 105 WILLNER upbeat (if rather deceptively so), is sounded for two full measures before the theme proper enters (see the brace in Example 14a)26 Throughout the Finale, the continual reiteration and recomposition of the three- note motive serves as a constant reminder of its dissonance atthe head of the opening. theme. The motive, to be sure, frequently also appears in consonant settings (its second statement in the theme, for example), and is often supported by the inner-voice counterpoints; it {s furthermore consonant when its outline and the outline of the theme's first four measures undergo expansion within a series of hidden repetitions (Gor instance in bars 19-29 and 83-102, as shown in Examples 14b and 14c). Yet the ‘motive's virtual monopoly aver the thematic design and its successive enlargements (to be outlined below, coupled with the frequent repetition of the theme, of necessity evoke its essential dissonance at every turn. It is evident that, for all the Finale’s ‘supposed autumnal glow, it expressly displays elements of considerable tonal friction one reason perhaps why its mercurial changes of design and mood take place so effortlessly throughout). Despite the great importance of the three-note motive, the drone bass of the opening theme has still greater bearing on the design of the Finale. The very entrance of the drone, with its support in octaves by the hors, it rather mysterious in quality, but its mystery is unequivocally dispelled by the entrance of the theme Proper. Coming as it does out of nowhere, the bare drone, despite its brevity, immediately generates a dual effect of uncertainty and expectancy, an effect that cannot be fully recaptured at any later point, after one has found out what will follow the repetition of two introductory measures. That is one reason why itis necessary for Haydn to vary and intensify the drone with each reappearance. The drone can thus be viewed as a tension-generating element.” A special problem thus arises in the recapitulation. If the opening two measures are to be repeated more or less literally, with the addition only of embellishing chord tones and new orchestration (as opposed to more substantial alteration), something rather drastic must be done to regenerate the special effect of the two measures. Haydn's solution is a miracle of voice leading and orchestration, and is heavily dependent on the use he makes of the development’s mediant, even though the mediant here does serve only as the dominant of the submediant (a passing, strictly 28 Schenker pots to the importance of these introductory measures and to the significance of thelr “subsequent recompositon in Beethovens Neunte Sinfone Vienna: Universal Edition, 1912 pt 1969), 95 56, Figures 110-14. According to Edward T, Cone, such opening gestures should be regarded as neither ‘upbeats nor dowbeats, bul ather as “metrical introductions” cesigned to establish the basic pulse and metrical background of what a to follow: see Cone, “Musical Form and Musical Performance Reconsidered" Music Theory Spectrum, 7 (1985), 157-58, 7 in this dlsagree with Charl Rosen, sho maintains thatthe drone represents the “stabilizing effec” ofthe fol style (The Classical Style, 357). THEORY AND PRACTICE ae |e eentotapote me pee ge pee vont (CHROMATICISM AND THE MEDIANTIN HAYDN or Example 15: Symphony No. 104 in D, Finale 2) Bars 118-93 @® ® ® ©® 6 e®@ VOLUME 13 (1988) 103 Wniner contrapuntal submediant—see Example 15a, 2 middleground graph of the entire development). Following the descent from the dominant at the double bar and the arrival at the ‘median, F# (bars 155-65), Haydn approaches the key of the submediant, B (bars 167- 84), and “hooks on” to a large-scale, underlying stepwise ascent that leads from the dominant, A, at the beginning of the development, to the tonic, D, at the beginning of the recapitulation. This is especially clear in Schenker’ sketch of the development, reproduced in Example 15578 15b) Schenker’s reading of the development mu 185 HIB? Hyg 2) ces Oo = o = vo (Dev. ————— Recap) Reproduced by permission from Heinrich Schenker Free Composition, Copyright 1979, by Schirmer Books, 2 Divison of Maclay Ine Upon reaching B, Haydn changes the direction of the apparently descending bass and continues the deeper, underlying ascent to C¥ that has just become manifest; C8, in turn, supports a dominant seventh chord (bars 187-92) that, without functioning directly as such, simulates the dominant of the earlier F¥ (itis sufficiently close to F# to suggest the function of a back-relating dominant). In reality, the C# chord is only an 78 The present interpretation ofthe development cifers somewhat from Schenkar’sin the importance it attaches to the role ofthe mediant within the larger scheme ofthe development, and in its articulation (Of the outer voices. ‘An interpretation still different in emphasis —one focusing primarily on the mediant’ ole asthe 6 of a 5-6-5 motion linking the dominant, A, withthe passing B that folows—is quite plausible (see the second part of Examples 152) and in keeping with Haydn's Lelong tendency to expand such motions in his developments (cf. the early Sonata in Ab, Hob. XVI: 46, bars 39-62-71). Nevertheless the ‘rominent role that other voice leading elements play here, coupled with the passing quality of 8, seem, to ndleate that more complex forces are at work inthis instance. THEORY AND PRACTICE (CHROMATICISM AND THE MEDIANT IN HAYDN offshoot, namely the chordally supported upper third, ofthe domtinant, A; the chord’s altered Inner-vaice tone, Ef, nonetheless quite independently serves an important purpose, namely that of taking up and helping conclude the earlier bass descent from ‘Ato Ft, which it turns around and leads to the tonic’s FB in the recapitulation (see Example 14a), The bass as a whole is thus organized somewhat along the lines of an abstract compound melody: the descending motion A-G-F¥, governing the measures up to the arival of F8, coupled with the ascent (A)-B-CED, governing the measures after the arzival of FE Itis from the C¥ chord that Haydn approaches the recapitulation (Example (Sc) the chord leads directly to the two-measure drone bass (bars 193-94), now marked ianisimo, redistributed among all three tones of the D-major chord, and spread out among both winds and strings. Underscored by a gradual halt of activity in all instruments—a halt made all the more provocative by the ‘Tute’s eerie entrance, ‘marked sforzato, in bar 187—the drone assumes an ethereal, other-worldly quality whose mysteriousness transforms the uncertainty of the opening measures into a quiet apotheatis, a it were, one that is perhaps unique in the symphonic literature (note Beethoven's radically different solution to a similar problem in the opening movement of the Ninth Symphony). Se) Bars 167-194 VoLUME 13 (1988) 10 z 7 a — Haydn -SYMPHONY.NO. 104, FNALE, Ele by H.C. Robbins Landon [Copyright 967 by Haydn Mosar Presses, Salburg All RightsReserved Used by permission of Europen American Music Dislbutors Corporation, agent Jor ifaydm Mozart Presse, Salut THRORY AND PRACTICE (CHIROMATICISM AND THE MEDIANT IN HAYDN The most important element in this transformation is the chordal progression CED. ‘Approached as it is,on the surface, from the area of Ff, its juxtaposition of C# and D is rot particularly unusual, despite its iridescence: after all, ascending seconds frequently follow descending fourths in the bass (the sharpened E makes for an extraordinary effect, but it is by no means unusual either). Rather, it is the gradual iwritten-out ritardando of the approach to Ct, the slow pace at which C# moves to D, and the absence of any overt harmonic or thematic premonition of the entrance of the ‘recapitulation, that momentarily removes the two chords from their larger voice- leading and thematic framework, suspending them in space and time and bringing cout the colorful, nonharmonic quality of their association. As at the opening of the ‘movement, the now-transformed drone bass seems to come—almostliterally—out of nowhere ‘The mediant’s importance here lie in that it enables Haydn to approach the Ct chord, indeed converge an it, from two opposite directions and anchor it firmly in the larger Voice leading and in the long-span Slaw of events. Although Cf ultimately extends the dominant (to which it belongs), it is the mediant—much mare so than the dominant—that lends ita measure of contrapuntal definition and provide a context in Which itis convincingly introduced. Indeed, although the iridescence of C#-D and the special color of Ct itself in fact depend (among other things) on the absence of an immediate dominant in the home key of D for the realization of their effect, some ‘other, larger point of reference inthe vicinity of C#—namely, Ph—ie still necessary for the chard to operate coherently within the volce-leading framework. Now although the recapitulation enters so stealthily, without the benefit of an introductory dominant, its arival is nevertheless signaled by the larger outlines of the developments concluding segments, during the approach to B in the bass (bars 167- 78, Example 16). This approach, which begins with an introductory tonicized C? (bars 167-70), helps Haydn bring in, almost incidentally, the three-note motive of the opening theme--the pitch successions A-G(4)-E and G+-F#-D-—tone for tone, in the large (bars 167-74); note the registral connection between the theme's preparation and the theme itself, which reappears directly in the two-line octave and forgoes its reintroduction inthe one-line octave. Rising stepwise transposition of chromaticism as a means of developmental Intensification plays a secondary, f important, role in this movement. The dramatic group of measures leading co the establishment of the dominant in the exposition (bars 44-52, Example 17a) is repeated, one step higher, during the “establishment” of the submediant in the development (bars 155-65, Example 176), as is the progression D-DE-E (see the square brackets in Examples 17a and 17b). Though less cestral to the ‘course of events than itis in the two movements from symphonies Nos. 98 and 101 that we have discussed, the transposed chromaticism nonetheless adds a palpable VOLUME 13 (1988) m i Cometh m4 WILLNER unifying impulse and allows the surface to flower with seemingly uninhibited freedom. In the course of the four analyses presented in this paper, Ihave tried to show how the voice leading and design of sonata and symphony movements in Haydn's music depend on much more than a pre-established succession of Key areas for the realization of their larger meaning, and how, conversely, each tonicization and each goal of the voice leading take part in the embodiment of tonal ideas that govern the inner life of each composition. Within this creative and procedural framework, the mediant occupies a special position: it presents almost limitless opportunities for building and sustaining long-span but flexible structural and dramatic associations between different parts of the form. The frequency with which the mediant serves as a tonal goal in Haydn’s developments is emblematic of its special status among his, compositional tools. Examining the context in which it occurs in these developments thus allows us to gain a deeper understanding of some of the greatest masterworks of the tonal literature, THEORY AND PRACTICE Hauptmann and Schenker: Two Adaptations of Hegelian Dialectics Michael Cherlin If the understanding of musical problems exhibited by philosophers is any indication ofthe understanding of philosophy likely to be shown by musicians, [must begin with humility if not embarrassment, To be sure, the philosopher Georg Wilhelm Friedrich Hegel is a case in point, for if Hegel’s encyclopedic knowledge of Western civilization was missing a Volume, it was that on music. I's not so much his ignorance ‘of the technical aspects of music, which he explicitly admits, nor his strained historiography of the Romantic arts wherein music gives way to the higher art of ‘poetry just as religion gives way to the higher thought of phiosophy, nor even his bad call, misplacing the demise of Western art music somewhere before the generation of Beethoven. Hegel is not even adept at locating his own historical and metaphysical principles within musical art; nor does he seem to be in touch with the impact music ‘was qeaking and would continue to make on his own culture. Yet musicians were influenced by Hegelian ideas, and continue to be 0. ‘Ah, but there is no surer way to lose one’s orientation than to venture into that dense thicket some call the history of ideas. ("So arduous a wilderness! Its very memory gives a shape to fear.”) Yet ideas about music are grounded in a larger context, and if we care about understanding those ideas we need to confront that content, 1 Fogel makes his own ignorance of musical technique explicit in the Aesthetic, ‘Sine musical element of tod andthe fner ifn which content proce osbtrct normal we cat go ono parcalafze without rani i haa eater sucha ‘numeral rations betwean not, dferenom Stee truer, hy, concord, Bat {ellie vernd inthis phere, and mat tetlore excune mjsl i advance for resin, ‘njeall simply vo the more gene pont snd singleremarks ‘Georg Wilhelm Frerich Hegel, Aesth: Lectures on Fine Ar, rane. by TM. Knox, (Oxford: Clarendon Pros, 1975), 692-493. The other points I refer to are alo made, past, in the Aesthetic, se especially _. 896 for bio remarks on the "superulty” of motvi wansformation P90] for an hilarious assesement Sith German peso fon rapper mi nd for Hep ean ofthe eine of recent muse (ca. 162 VOLUME 13 (1988) 16 CHERLN Even the notion that ideas have a history, in the sense that they endure and are transformed over time, should be, and has been called into question? And the problems of interpretation proliferate exponentially when the history of philosophy confronts the history of music theory. To begin with, the amount of agreement among ‘philosophers as to the import and significance of other philosophers is commensurate ‘ith the emount of agreement among music theorists in assessing the import and significance of othe: theorists, and that is precious little. Add to that the idea that influence 1s as complicated as itis devious, and the project of linking anyone's ideas with those of anyone else requires more connections and disconnections than footnotes can bear. And when there is common ground, we've come to suspect ulterior motives. World views among the thoughtful have become as personal as ‘undergarments among the hygienic. Yet there are some broad bases of assumption that seem to inform if not an entire epoch of thought then at least a large enough population so that the idea of “community” is not entirely misplaced. (I would define a community of ideas as ideas that are in conflict with one another. When ideas do not share a community, they cannot even communicate.) ‘There are many ways in which a powerful thinker or artist can define or epitomize the issues for his or her time: by seeming to “get it right,” so that many will wish to follow along, follow through, or follow up; or by seeming to “get it wrong,” but, emphatically $0, so that many will wish to set it straight, get it right, or fx it up. Or she can inform those who inform us, so that even though we are unaware, itis she, at least in part, who attracts or repulses us as we confront them. Iam thinking of Harold Bloom's comment: ‘These days I cannot read Stevens without also reading Whitman.-but when I was young, [didnot understand that one was reaing Whitman, whether one kre itor Po when one read fully in Stevens, ois Bot, oF in Cane’ Influence need not be direct, and it need not be noticed. Yet from his appointment to the University of Berlin in 1818 until his death in in 1831, by all accounts, Hegel’s influence was direct and very much noticed. His lectures were cultural events, and the known and knowing attended, including leaned musicians. He was hailed as the 2 Nietzsche is usually considered central in challenging the notion that ideas endure through history. ‘Michel Foucault adlreses this ss (among other places) in his The Archaeology of Knowledge (New York: Pantheon Bocks, 1972. The Emersonian side of the same question is confronted in Richard Pie's recent book The Renews! of Literature (New York: Random House, 1987. 3 Harald Bloom, The Breaking ofthe Vesas (Chicago: The University of Chicago Press, 198), 8. THEORY AND PRACTICE HAUPTMANN AND SCHENKER 7 culmination of Western philosophy by his admirers, and his importance was equally noticed by those who disagreed + ‘This is not the place fo rehearse the diversity and profundity of Hegel’ impact on his century and into our own. Those interested will find no shortage of reference material. Let it suffice to say that Hegel's ideas have proved to be resilient, and confrostations with Hegel's thought continues to stimulate our contemporasies ‘Anyont who doubts that this is so might read some contemporary European philosophy, where scholars are very much aware of Hegel’s continuing relevance— Marcuse, Gadamer, Habermas, or Ricoeur will do—or, as L will suggest, the American music theorist need look no farther than Schenkerian analysis. The philosapher ‘Richard Rorty has said ofthe early work of American pragmatst John Dewey that he tried “to construct a naturalized version of Hegel’s vision of philosophy.” Dewey later repudiated that work when he “broke free ofthe Kantisn conception of philosophy as foundational.”5 Though no one in her right mind is likely to be aful-ledged Hegelian fundamentalist, younger generation of American philosophers, much to their own, surprise, once again have found Hegel relevant The founding fathers of American Schenkerian studies set about to make Schenker’s ideas pragmatic. And they have done so with stunning success. Part ofthat success has been in making Schenker's ‘works available to a wider audience and to a new generation, and that younger 4 For example, Arthur Schopenhauer, eighteen years Hegel's junior, was fly consistent in his appreciation of Hegel: ‘The greta dlsvactge of Kans cexaioaly obscateepoon ithe aed 8 exemplar tabi as an example nd cng ora inate ta defect. le waste St oa {nd mae vigorous ue ofthis evga Schling leant mero hi inti and ues [Rongry scribbles without ntl of honaaty Seon surpassed ther both, Bet oe greatest stirntery is serving up sheer nonaene, in 2rbblingrogeherseaelne and madeaing ‘wards atch a0 had previously bon heard aly ix madhowue, Sally appeared in Hegel Id Bacome the trent ofthe mom popderous and genre myaifcatin that ha wet ‘xntd, with 2 result that wl sam meee to porte, and be a lasting monuest to German mui. Anthur Schopenhauer, The World as Wil and Representation, tans by EF. Payne Grd. ed, 1859; New ‘York: Dover, 969), Vo. 1: 429, S Richard Rorty, Philosophy and te Méror of Nature (Princeton: Princeton University Press, 1979), 5 6 an excellent inoduction tothe contemporansity of Hegelian ssue is found in Richard |. erstin’s uray “Why Hegel Now?” in Phlosphical Proies Essays ix Pragmatic Mode, Pnincelphia: University of Pennsylvania Press, 1986). To my knowledge RG Callingwood's The de of History (Landon: Oxford University Press, 1956), i ell the best introduction to Hegel's impact on thinking about story. would alao recommend Richasd |. Bernstein’ Prazis and Actin (Philadelphia: University of Pennsylvania Press, 1971) for is discussion of the Vegelan £00! of Marist thought. A recent and lnsportant work that understand the ramifcaions of Hegaian thoughr io remain central even through philosophies that consider thems “post modern.” Is Jrgen Habermas, Der Phiosophische Diane {47 Moderne (Cambridge: MIT Press, 1987). The Habermas book is reviewed by Richard Rorty in the {andon Review o Boots Wo. 9,n0.5 (3 September 1987) Vouume 13 (1988) 118 CHER ‘generation, of which I present myself as evidence, has become interested in aspects of that work that seemed largely irelevant not so lang ago, In contrast to Schenkerian thought, the work of an earlier, and much more explicitly avowed Hegelian, Moritz Hauptmann, remains for most theorists more a historic curiosity than a model for current analysis. (Iam indebted to David Lewin for convincing me to take Hauptmann seriously.) In addition to the interest intrinsic 10 Hauptmann’s work, his ideas influenced those of Hugo Riemann, another theorist ‘whose Hegelian world view is not hard to discover. Some of David Lewin’s recent ‘work has shown that Riemann’s thought can be suggestively adapted to current problems in music theory. As I will suggest later, more than one strand of ‘Hauptmannian influence might also be found in Lewin's work? Thave chosen to contrast Hauptmann and Schenker because each strikes me as having used what can be characterized as “Hegelian dialectical organicism” as the foundation for a theory of music, and because each has his own generalizable conception of a dialectical model 8 ‘There is no one all-defining formulation for Hegel’s dialectical organicism, and therein lies part of the difficulty in characterizing it. Nonetheless, the spit of is 7 David Lewin makes briliant use of Rlensnoian Klangs and functions in generating his own theory of txansfornation grapho and networks in Generalized Musa needs end Transtrmatons (New Have: Yale University Pres, 1987, Chapter 8 and following. Earlier articles by Lewin that integrate Riemannian dep include “A Formal Theory of Generalized Tonal Functions” urna f Music Theory, 26/1, 982, 23-0, and“ Aanfortass Prayer (0 Tital andthe Role of Din Parl,” 190 Century Mase, ‘i596, 36348 8 Asis well know, Hegel himself adopted the dialectical model most rectly fom Fee, frm whom the terme thesis, andthe and symthesisare derived. Neither the tera, nor the mechanistic approach toward dialectics that scholars deacbe a9 Flchican survive in Hegel Other precursors in German Romantic philosophy also suggest ideas basi to Hegel's mare thought (All of this is summarized in Collingwod, The dso History, one especially. 11) But perhaps the mast stiking aspect of Hegel's ‘world Wiew derives es uch from Aristo ait dow frm is Geman anteoudens Ut me te Herbert Marcuce Avisole deine [movement in terms of potently and actuality. The various types of ‘ovement denote various WaYe of realizing the potemtlites iaherent inthe esence ‘oving thing. Hegel wos the is to rediscover the extremely dynamic character ofthe ‘Antoteian maphysc which reat all being a proces and movement —a yaamicthat had tot entirely lst inthe formalist tedon of Arotelaiem. Herbert Marcuse, Reason and Revolution (London: Oxford University Press, 1941; spt. Atlantic “Highlands: Humanites Pest, 1983). Ofcourse teleological organiism is part ofthe larger movement of German Romanticism, and the contibutions of Johann Gottiried Herder and Johann Wolfgang von Goethe in particular should be noted, although Goethe's contribution tothe “organic metaphor” has been perhaps overemphasized inthe Literature of music theory. lerder’s organicsm antecedes and influences Goethe's, and from what {can gather, Herder remains a direct influence on Hegel's ‘generation. THEORY AND PRACTICE HAUPTMANN AND SCHENKER 9 approach is captured in a description he gives in the preface to The Phenomenology of Mind. The bud disappears when the Bloom Breaks trough, and we might say that the formes eft bythe ater in the same way when the rl come, the blossom may ‘be explalne tobe a alt form ofthe plan’ existence, or the fru appear it rue nature in pace of the blossim. These stages are not merely diterentiated; they supplant one another as being incompatible with one another. But he eatin activity oftheir ov inherent nature makes them atthe sae tine moments ofan organic nity, where they donot merely eotradct one apotr, but where ones 8 necesay asthe other and this equal ncesty of all moments ena alone and thereby the Le ofthe whole. For the el sobpt mater i not exhausted In ts purpose, but in working the mater ou: no is it the sere el tained he concrete whole tel, bt the result along wath he process of ariving att? Hauptmann and Schenker share the idea that a fundamental, universal pritciple underlies music. For both, music conforms to natural law, even though Schenker limits the fall confirmation of that law to masterworks (lesser works are in this sense “unnatural acts"). For eximple, out of context, it would be difficult to kaow if the following sentence is from Der freie Sata! ox from Die Natur der Harmonik und der Metrik This shaping principle must in every lenent of its operation always be, and remain, the samen sae Both also concetve of an active organic force that manifests itself through musical functions. Hauptmann, referring to the vibrating string and sounding very Hegelian, ‘writes of “not being ix self, or dead persistence in rest, nor yet being out af self in the motion, is sounding; but coming to self” Schenker writes of a “life impulse.” In addition, both, I would say, think in terms af a dialectical model and both understand the basic dialectical process as a three-stage event. In Hauptmann, descriptions of that process dominate the discussion throughout, Schenker’s organics is much more GW. Hoge, Te Phenomena of Mind, ans by LB Ball, (New York: Harper & Row, 1967, 68 39 Hatnich Schenker, Fre Compton (Det fei Sa, wana by Est Oster, (New York: Longman, 1979, 1 Morte Hauptmana Die Nave der Harmon und der Mic Zur Thor der Musik (Lap: Brlkopt snd Harte 1883) 00 VOLUME 13 (1988) 120 cHERLEY subtle, however, and though I believe a three-stage dialectic is basic to his mature ‘thought, and that the simplest model for Ursatz reflects that conception, the interesting aspects of his theory stress organicism more than dialectics Let me begin to characterize the differences between Hauptmann’s and Schenker's models by oversimplifying: then we can consider each model more thoroughly so as to roughen up the smooth surface of our reductive view. Hauptmann names his three stages actave which he equates with unity (Einkeit), fifth which he equates with ‘opposition (Trennung), and third which he equates with union (Verbindung).2 The initial mage of the dialectic in Hauptmann’s Hermonik und Metrikis of the vibrating string: 1. Where sound sf be produ, there ig required (1) an elasi, stretched, tniform material, @) and trembling or vibrating movement thereof. The pars of the body are ‘then alternately in and out of their state of uniform cohesion. The instant of tension Into the state of equality or inner unity ig that, which by the sense of heating is pereived as sound. Its the coming to be of thedeing which subsists absolutely during ‘eat, and which isaltoryatelyabotished and restored inthe elastic movement 2. Not beng isl oF dead persistence i ret, nor yet being out of elf n the motion it soundings but coming sl. 13 | will suggest that the image of the vibrating string is more than a gesture toward securing a physical foundation for theoretical speculations. Hauptmann reasons by analogy, and analogies to this initial image ramify throughout his text. In each case, the “being out of self” suggests a dual image. The vibrating string, represented in Euclidian space, reflects its upward arc with a complementary downward one. Just s0, the “coming to self” of tonic occurs through the dual opposition of dominant/subdominant. And, just so, a common tone intersects an upward generated major trad and a downward generated minot triad. ‘The second stage in Hauptmann’s triad expresses opposition not only in relation to the first stage, but intemal to itself. Is Trennung is located in its present; in a sense it is divided in itself and in seeking out its meaning a third stage, Verbindung, becomes necessary. The third stage subsumes the earlier two to form 2 more embracing union, Itis extremely important to appreciate this last point. The completion of the logical triad allows the union of its members. Union is not embodied in a single element but through a Hegelian Aufhebung. 12 | will use the English terms as in W.EHeathcot's anslation, The Nature of Harmony and Metre (London: Swan Sonnenschein, 1853) Ihave taten the Garman from the fst edition, "3 Hauptmann, 3 THEORY AND PRACTICE HAUPTMANN AND SCHENKER a In Schenker’s theory (and here I refer to Der freie Satz fully aware that there are other Schenkers to be found) explicit dialectical thought is the exception rather than. the rule, The striking exceptions, however, occur near the very beginning of the work. ‘The origin of every le, whether of nation, clan, or Individual, becomes Its destiny Hegel defines destiny as “the marifesation of the inbor, original predisposition of ‘each individual." The inner law of origin accompanies all development and {9 Here Schenker is explicitly Hegelian, and explicitly dialectical in his thought. The middle term of Schenker’s triad moves us from potential to fulfillment; it is the “means” thtough which potential is realized. However, unlike that in Hauptmann’s model, Schenker’s middle term is not rent within itself, even though its function cannot be understood except as a middle term, As in Hauptmann’s model, union is not expressed by one element—here, background, middleground, or foreground, but—through the dialectical subsumption, achieved through all three. The case is similar in Schenker’s description ofthe Ursatz Since iti a melodie succession of definite steps of a second, the fundamental line ‘ignites motion striving toward a goal, and ultimately the completion ofthis course In this sense we perceive our own fe impulse in the motion ofthe fundamental ine, a {ull analogy to our inner lf, Simiary, the erpeggiation of the bas signifies movement toward a specific goal, the upPer fifth and the completion ofthe course withthe return tothe fundamental tne 15 Once again, the middle term is conceived of as a means, “striving toward a sgoal”—not understandable in and of itself, yet not rent within itself. I propose that this distinction between the tivo models has profound ramificaiins in each, and inthe way each might train us to hear specific musical passages. Iwill begin to flesh out this observation by looking more carefuly at Hauptmann’s Harmony and Metre. After presenting his model of the vibrating string, Hauptmann introduces a metaphor that he will use in various guises throughout his text. He writes of the “effect of force fixed in a resistance,” referring to force as active and existance or mass as passice. And he writes that pitch isnot determined by force or mass alone, but only VOLUME 13 (1988) 2 ‘CHERLN through the relation of force to mass. This particular application of force as active and ‘mass as passive is not developed further, but the notion of a dialectical interaction of active and passive functions is developed to comprise a basic aspect of his dialectical thought. In his three-stage dialectical triad, the first stage, denoted as I (in roman numeral) in addition to its names tonic or unity (Einheit), also functions as the active or generative force in dialectical movement. The second stage, denoted as I, as well as, ‘A¥th and opposition (Trennung), is also referred to as that which is generated, or that ‘which is passive, The primary means through which one chord is connected to another chord, oF through which one key modulates to another Key is achieved by a change in dialectical function, most typically when dialectical function I becomes Il oF becomes In generating the major key scheme, Hauptmann conceptualizes the move from tonic chord to dominant chord as brought about through a change in the dialectical function of scale degree 5. This is shown in Figure 1. In C major, the note G changes in dialectical function from Il, the passive “being a dominant,” tol, the active "having a dominant.” Ina similar way, the move from tonic chord to subdominant changes the dialectical function of the note C, from J, “aaving a dominant,” to I “being a dominant.” Hauptmann proposes a variant of this same idea in his explanation of the minor key. There are two ways in which Hauptmann conceptualizes minor chords. First, minor chords can be thought of as “secondary chords.” For example, the chord ‘A minor in the context of @ C major tonality, borrows elements from the tonic chord and from the subdominant. By analogy with the primary chords, the root of A minor can take the meaning of I in a dialectical unfolding. Within the minor key scheme, however, the minor chord is conceptualized differently. Here it is passive, or as ‘Hauptmann also says, negative o its dominant’s positive. 40, ln the system of the major key the thought is that changes into I; in the system ‘ofthe minor key, that 1 changes into 1. Both criginate fom the pesitive unity; but fin _major keys] there isthe notion of change that postive one becomes positive other; here [in minor] itis that postive one becomes negative one, The former contain the opposition ef being and becoming, the ate the opposition of being and not being... #6 +6 Heuptmann, 19. THEORY AND PRACTICE AUT AND SCHENKER 1% Figure 1: Hauptmann’s Model for Major Keys I T= =u c EG i tit aT Tet pw Cc ec G coe Gb D roo ett I--- om ---1 In addition, within the minor key scheme, the determined 1, the tonic root by more traditional reckoning, fakes on a function as negative I itself, and thus determines its subdominant. The triad of triads that comprise the minor tonality is generated through the inherent conflict within the notes between “being negatively generated” and “negatively generating another.” Thus, in the sense that opposition inheres in the conflict between active and passive function, the formulation for the minor key is analogous to that for the major. The third stage in key formation, union, is depicted in Figure 2. VOLUME 13 (1988) 124 cHERLN Figure 2: Lbeion in the Minor Key Scheme Tie Irom Fab C eb G bb OD mom 1 Inhis discussion of meter, the concept of passive and active functions is applied to

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