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x x x x x x x x x x x

x x x x x x
' l' l1c cc11rral cc>11cern <)f chis l><><>I' is
r11c critici. 111 of l)llt r1c>t
\ \ ' cstc.:r11 t<J11al 111usic of tile
cighrcc11rl1 a11J 1uncrccnrl1 cc11tt1rics .
J\lr. argues, eel'"
re> dist'<>\er rhc secret <>f rhc singt1lar-t<>
c\plai11 11<)\\ t!1c J>:ttter11s 1>ccnli.1r t<> a
c<>1111J<>sitio11 arc c<>11111rcl1c11Jeti I>)' , a11tl
atfett, the listener. ldic>))ncraric rel.1-

ri<>11sl1ips ca11 l1c cxpl.1i11cd in t crn1s
c>f gc11cral J>ri11ci11lc .. l3ecat1sc SLtch pri11-
ci1>lcs, as f<>r111t1larccl in existing 111usic
rhc<>r), often arc ina<let1uarc for ,\ lr.
\ f C) cr's pur1)()!iC. , he pr<>t>O. CS llC\\' CX-
J>lanat<>f_\ 11) J><>thcsc. fr<>n1 rit11c t<> ri111c.
Con\jc<1uc11tl)' . tl1c is tl1ccJrcrical as
\\ell as critical.
I 11 cx1>lai1li11g tile f<>r111al a11(l r1rc1grc. -
si,e rclctcit>11slups <>f a 1)assagc.
criticis111 i11Llicaccs he>\\" J>l1rases sl111lild be
. haJ)Cll a11t1 srrt1crurc artict1lat cd- in
sl1orr l1c>\\' rhc passage or sl1ould be
l)erf <>r111cd. alrl1ougl1 tl1c criteria
f<>r 11crfor111a11cc are i1111)licit tl1rc,ughoL1t
the pcrfurn1a11cc iii rl1e special suu-
ject of Ll1c scconcl cl1a11rcr. 1
hc rhir<l
. ,
I - 1 I
""'* ' - ~ j - ; _ 2 2 j.....
_;_'_ . ------ ____ ,,...., __ _
I ' " ~ j I ' -...

. . x 01,.ations
. -- - -
-....... ii i , - -............-- J j ----- -I - ---
........... - 1 ---1 ; -- - ......._. - --....
by Leonard B. Meyer
Material corn direitos autorais
U1dversity of Calif or1zit1 Press
Berkeley and Los Angeles, Califor1zia
U1z:iversity of Califor11ia Press, Ltd.
London, E1i,gla,1z,d
Copyright 1973, by
The Regents of t 1':1e Uriwersity of Calif orma
ISBN: 0-120-02216- 5
Libra-r;1 of Congress Catalog Card N1it1-1ber: 73- 187749
Prir1ted i11 t!Je U11ited States of A111erica
Designed by .Dave .C0111stock
Material corn d1re1tos autorais
The Ernest Bloch Professorship of 1\1usic and the Ernest Bloch Lectures
were established at the University of California in 1962 in order to bring
distinguished figures in music to the Berkeley campus from time to time.
Made possible by tl1e Jacob and Rosa Stern Musical Fund, the professorship
was founded in memory Er.nest Bloch (s 880-1959), Professor of Music
at Berkeley from 1940 to 1959.
1965- 66 \VINTON DEAN
1968-69 GERALD ABRAHAl\11
5f9T- 8HF-4HS5
Mat rial com dtr 1tos autora1s
To 11zy r o t l ~ e r Dan
Material corn d1roitos autorais
re .ace
-- - ...--: - - ...........-- -- ... . - ---
This book is cou-cer11ed wit.h tl1e criticis1n of n1usic. As I intend the
tern1, criticism seeks to explain how the structure and process of a particular
composition are related to the competent listener
s comp1ehension o.f it. In
other words, tl1e role of t he music critic is similar to tl1at of t.he literary
critic. A11d jt1st as the literary critic need t1ot explicitly consider questions
of ,ralne-exhibit the greamess of xmg Lear, or demonstrate the brilliance of
Middle111.t1;rch but is content for these to remain iu1plidt in his anal)rsis of
the ways in wl1ich plot and. character, setting and diction shape our under-
sta11dit1g of and response to literature, so tl1e n1usic critic 11eed not eA11ressly
inquire about the excellence o.f the comp.ositions he cl1ooses to discuss.
Values are, of cotuse, al''' ays latent in "'' ltat the critic does in ]us account
of the \.vays musical relationships affect the listenerjs u11derstanding of ~ 1 t 1 d
response to particular n1usical worl{s, and also i11 iris choice of "
0.rks to
analyze. But the critic does not, I think,, begin "vith aesthetic principles and
arrive at critical judgments. Quite the 01)posite. He t)egins with l1is own
responses-his cognicive-affecti,,e sense of ''' herher a composition is con-
vincing and exciting, i11triguit1g ar1d e11tertaiitlng. TI1e11 11e atternpts to find
rational grot1nds for his j u.dg-ment.
Ai!oreover, since l\e dea!s for the most part with worlcs by acknowledged
niasters, it seems a bit precentious for the critic to talce as bis 1nain rasl\: a11
examination of the virtues of compositions by Bach or Beethove11, Haydr1 or
I-IandeI. To do so is probably also <..-ircular, arid perl1aps some\J\rhat disit1-
genuous. For the works of such master-s are in some se11se the initial basis
for his stylistic stan<iards ~ 1 n d his criteria of value. In sh.ort, the critic does
Material corn d1roitos autorais
.nor come to f)taise 111ascerpieces, bt1t to explicate and illuminate t hem: to
ur1tlerstand and explain, that is, how the various sores of tonal .relationships
in a particular con1position are underst:ood and enjoyed b)T experienced
sensitive liste11ers.
Every ex:planation 1nusr be it1 terms of some ge11eral principle. And to
a co11siderahle extent, the reasons and arguments t1sed by the critic come
from the t heory of mt1sic. Becat1se ge11uine rr1usic rheorisrs, such as Heinrich
Schenker, few ai1d far between-moSt so-called tl1eorists are teacl1ers
of the grarnmar and syntax of mlisic-music theory is ar present rather rudi-
rr1enrary. Consequently, the critic n1ust at cin1es assurne the role of theorist.
I..Je must engage in the fort11ula.tion of general hypotheses and. principles
'-Vhich relate eve11t.s \\rithi11 co1npositions to 011e another. It1 the course of
this bool{, I lia,,e not infrequently had to assun1e su,ch a role, and
as a result,
tl1e book is theoretical as 'vell as critical.
The relationshi,ps arnong eve11ts musical con1posicions-e\re11
seemingly si111ple 011es--are freqltently surprisil1gly co1nplex 1nd st1btle. The
analyses explaining them. are,, accordingly, often con1pl.icated an.d. 1nvoived.
I have not sougl1t to sir11plify the difficult, or to gloss over intricate inter-
actions \vith plal1sibie generalities and vague poetic appeals. Ratl1er I ha\r,e
tried co n1al<e m.y a.nalyses as precise specific as n1y abilities ax1d t he
jeer allo\v. And while I rake no particular pleasure in long and son1etimes
diffict1l r discussion, I l<:nO\>v of 110 other "\.Va}r of doing justice to c:he \:\ro11der
of n1t1Sic and the miracle of hun1ai1 intellige11ce '\.:vl1ich 111al<:es and con1pre-
Tl1is brings me to a quescion traditio11all)r in prefaces: namely,
ro wl1om is tl1is book addressed? Franl{Jy, l ' ln not sure. Sornetirnes in those
mo1ne11ts of doubt and that co1ne Vl hen one is. near to finishing, I
have felt that it is addressed n1ostly to its at1tl1or-thougl1 I t1ope riot. I wort1d
lik:e to believe that a wide range of readers seriou.s1)7 interested in n1usic, in
aestl1etics, and in cricicis1n v.rill .find tl'ie proble1ns I ha\re grappled ' vith i1ot
01tly in1portant a.nd challe11gjng, but even an1using.
the preface to a boo1{ is al\\rays both a sad occasion a11d a.
ha.ppy 011e. Sad, because rl1e ft1n is i11 the search, 11ot tl1e solution; in the
pro'ble1n, not: tl1e propositio11; it1 tl1e forn1t1lation, r1ot tlte fi11ishJng. Sad, too,
th.e at1tl1or li:11ows better thar1 a:nyo11e else tl1at his boolc is goi11g to
press witl1 all its imperfe,ccions on its l1ead. Specific--ally, I an1 acutel)' a\\rare
of all tl1at be,et1 left ' Undo11e: of tl1eoretical problems not sol,red st1ccess-
Material corn d1roitos autorais

fully. of particular not adequately explain.edt and of examples not
used wnose analysis would have illustrated yet another fascinatin.g aspect
of r11usical strl1ct11re. I can only console myself t he thot1ght that the
only perfect bool{ is a book. i'l1iag-ined- not 011e actually \vritte1L For to
\Vrite is to .fur \Vhat is in flux and to pigeo11hole the parti{..-ular. BL1t, as I argue
in Chapter I, there is no alternati\1e. To e,"<plahl. and explore is necessarily
to compromise and misrepresent the rich indi\ridualiry of the specific musical
pattern ..
The occasion is a l1appy one because, for all its joys and re"vards, writing
is some\vhat frighte11u1g and, in the final stagest \\then disco,reri11g l1as reached
a temporary end, the task tends to be onertlus. But,. above all, the occasion
is a 11appy one be<Ca:use it is an opportunity to acknowledge the help and
encourageme11t of friends, colleagues, and students.
This book gr:e\v out of a set of five public lectures give11 at the
versiry of California at Berl{eley. I a.m grateful to tl1e fac\.1lty of t11e D-epart-
1nent of Mu.sic at Berkele)' for inviting i11e to ser,re as Err1est Bloch Professor
during the \vlllter and spring o:f r 97 I, and for rhe cordial lcindness chey
showed n1e while I \Vas their colleagtie. 111 particular, I extend m.y affec-
tionate t.hanks to Professor Daniel I-Ieartz, "'' ho encouraged me \Vl1en I '\Vas
depressed and caln1ed r11e when I was uptight about deli,rering 11\1blic lec1:llres.
I am also indebted to Helen FarnS'\vorth. who nc>t only inade snre that I got
the nlate,cials and eqtupment I needed, bt1t a.t1d corrected. of
this manuscript. Jane Willrinson prepared tl1e musical examples for publica-

Tl1e first part of this bool{ the Essays-are b,asically the same as fot1r
of tl1e lectures given at Berl{eley. second l}art- Ex.ploration&-which
began as the fifth lecture has obviously been much expand.ed. But eve11 thus
expanded" it is a kll1d of co111pro1nise.
Some two ago my colleague. Profess-Or Ed\\ard E. Lowinsky,
trrged 1ne to write a book abo\1t melody. I thought about it and began \vo,rk on
such. a book, hue found tha,t the rask was beyond my capability. The seco11d
part of this book, which to explore some aspects of tonal melody,
however, is the result of Professor Lo,,rinsky's suggestion. It inay be misraken
in part: or in. parcel. But whatever its v'alue-ar1d, r1eedless to say, I be.lieve
it to 'be interesting and inventive- it is offered to him as a sort of separate
Festschrift, .a token of respect and affection.
Parts of this book have been read an.d cr.iticiz.ed by a number of scholars.
All ha\;'e my heartfelt thanks. Professors J\
Ionroe Beardsley and F ore!>'t
Material corn d1roitos autorais

:t\11 PREF1\ CE
Hansent \Vho an early draft of Chapter I togettier \vith pa,rt of t l1e
chapter ,,. ... 11ich closes the boolc, made several important suggesrio11s. Professor
\iVillia111 Thon1S(>t1's cricicisn1s of Chapter III were specially careful and
cogent. Professor Barbara H. Smith read the first part of the boo1c. In addi-
tion to her specific con1rnents and corrections, I h:r\1e benefited e11ort11ously
'botl1 fron1 her writings <. l11d f1-01n rhe general disct1ssions vve 11ave had abtJut
'vor.Irs of art and related matters. Professor Janet Lev}' rea,d mosr of this book,
and, again, it is not 1nerel)r l1er percepti,re and specific criricis1ns t hat merit
gra:tefitl aclcno,vledgn1ent, bt1t tl1e seriot1s and sympathetic talks \Ve h.ave
had abor1t parcic11lar cornpositions, and abot1t the tbeor)' a.nd history" of

Like n1ost teachers, I am specially i11debted to rn)r srode11ts, '\vhose prob-
ing qt1escions and ent.httsiastic skepticism have been a source of concint1u1g
dcligl1t a11d constant learni11g. Thougl1 I ca1mot name the111 all, or1e in par-
ticular 1n t1st he n1encioned .. Eugene Narm.ottr, ''' ho t".IO\ V teaches at the Uni-
versity of has been \Vorking on the analysis of to11al 111elody,
coo. The last pare of bo-ol( O\Ves a \rer)r co11siderable debt to our man;r

V\tl1ile I was worlcing on rhis book-and particttlarly in the difficult
beginning stages-Zita Cogan asst11neci 1nan)
admittistrativc chores which
were properly rnir1e. Her devotio11 arid co11cern n1erit rnucl1 n1orc than
perfunctory aclcno'-vledgment.
F'inally, what can I say ( rl1at has 11ot been said tiine and rune a.gain by
otl1er authors in si111ilar circt1mstances) ahouc Lee's help? Tl1at she was
patient, untierstanding a11d forebearing? vvas all of That sl1e saw
relativel)r little of California becatise I vvanted to "''Orl{ that, on our
ren1rn to Cl1icago, we neglected ol1r friends beca11se I \\
as tr)rit1g to finish
this bool<? Tl1att too, is the case . .. t\.r1d '>vhat is her r e\vard? '011ly the ci1sto1n-
ar}r connubial t l1anks-and the prospect of proofreading!
L.B .. Nl ..
Material corn dirc1tos autorais
....... on tents
I On the N atlJre and Limits of Critical Analysis
JI Critical Analysis and Perfor111ance: The T heme
of Mozart's A-Major Piano Sonata
Ill Confor1nmt Relationships
l V Hierarchic Structures
in T onaJ lvlelody
v Introduction
VI Definitions and Methodology
Vil 1Welodic .Structures
Conjunct Patterns
Disjunct P tlttenzs
Syrmnetrical Patterns
Contextual Discrepancy
Archetypal Schemata
VIII A Su111111ary_ Exam'/!_le
Index of Subjects and N a111es
Index of Music



Mat rial com dtr 1tos autorats
Material corn <i1ro1tos autora1s
c---. .
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On the and Li1nits o
Critical Analysis
I .
Experienced naively- wit hout any ps)rchological predispositions or cul-
tural preco:nceptions '\Vhatsoe,1er- tl1e world, as James ob.served, is a
buzzi11g, boonling confusio11 of discrete, ur1related ser1Se in1pressio1is. It is
' 'full of sound and fury .... " One may, of course, tr}r to experience
existence i11 this way: unr11ediated by concepts
classes, or relationships. And
a nu.mber of artists and vl1'iters for example, Joh11 Cage, Norman 0. Brown,
and Alain Robbe-Grillet-have urged such mindless innocence upon us. So,
too, have son1e n1en1bers of tt1e h.ippy-drt1g subculture. In tb.e Electric Kool-
Aid Acid T est, Ton1 Wolfe gives us this vie'-'rpoir1t t1nadt1lterated:
TI1at bab}" se-es the \vorld with a complere11ess that you and I \\ril1 never
know again. His doors o.f perception ha,re not )' et been closed. He still
experiences the nmn1ent l1e lives in. T he ir1e\itable b1ulsl1it t1aSt1't consti-
pated lris ce,rebral cortex He still sees the \vorid as ic really is, while
we sit .here, left with only a din1 historical version of it inanu.facrured for

us by '\Vords and o-ffi.cial bullshit, a11d so f <)rtl1 and so on .

Bnt Wolfe's world of scatological remindi11g us of 'i\lo.rds-
worth's Ode, cannot be: understood. lt has 11eitl1er process nor form, xnean-
ing nor value. Like the "'' orld of Benji in Faulkner's The Sozind and the
Fi1:ry, ''It is a tale told by an ic.liot . .. signifying nothing.'' It merely exists.
To understand the we must abstract fro.m the ineffable unique-
11ess of stimuli by selecting and grouping, classifying and a:i1alyzing. ' e mt1st
Material corn dirc1tos autorais
attend to some features of an ol,ject, f)erson.t or l)rocess rather tl1an
discingtJislu11g (from so111e particular point of vie\v) the essential fro1n the
accidental, the intrii1sic f ro111 tl1e i11cide11tal. The intelligible present is nor
an isolated instant in rin1e, bttt, as "\/\'hitehe-a:d p11r it: ''Wllat we perceive as
rhe present is the vivid fringe of 111em01J' ti11ged witl1 anticipation." A mean-
ingful, a hl11nanly' viable \:Vorld n1tlst be ordered and patter11ed into relatior1-
ships of some sort. Tlus is the case not ortly in everyday existence, but in
the arts and scie1lces as well,
Ti1e order tl1us discerned-whether i11 natl1re, culture, or art- is not,
hovvever, arbitrary or .fi.cticiotis. The processes a.i1d forms., pattert1S and
principles disco\rered by scie11tists, sot,"ial scientists, at1d .h.u111a1'lists are de-, directly or indirectly, fro1n exiStent events that are really there in the
world. TJiey are not arlJitrary fig111e11ts of stll)jecti e Tl1e
similarities bet\veen events, th.e of 1.,rocesses, and the hierarchic
structtrring of relationships just as r:eal as the differences bet\veen e\re11ts,
the features \\' hich are disord.ered, tl1e a'bse11ce of relario11Ship. Tl1e
critic does not, like God, bring order oi1t of cl1aos. !lather, lil<e the scientist,
thou:gh in11)ortant, tl1e critic seelcs to reveaJ and
an order alread.y present in some 1;\rork of art-an perhaps not pre-
viousl)1 obser\red
or obser\red onl}' j)artially or itL'lccurately.
Because it absrrncts, classifies, and conceprualizes, cricicistn is often dis-
paraged .on the ground chat it distorts the cor11p1ex richt1ess of the i11div:idt1al
aesthetic ex_pe.rience its special savor and i11describable affective quality. In
a strict sense, this charge ca.nnot, I rhinlc, be refuted. A specific inusical
"'' hich combines the percepti-0n o.f n1usical e\rents tbe sub-
jective peculiarities of an individual hurnan psyche at a specific 1no111e11t in
its hisrory, is unique. Criticism cannot fully k11ow or explain that experience.
Nor is it co11cerned to do so. f"or criticisrn endea\ to understand and
explain tl1e relationships among and between mt1sical events, not tl1e re-
sponses of individual listeners. '"fh<>se "\\' C must lea,re to the shamans of the
r11iddJe-class t:he psychoa11aiysts ..
However, though the individual's J)nrticular e,;li.rperience is uniqtie a11d
perl1aps unla1owable, th.e perceptions '"' t1ich shape that ex:perience .are not
so. Wl1enever it goes be7ro11d the J11ere se11sing of i11corning stimtili
is necessarily analycical-abstracting, classif}ring, ar1d organiz;ing musical
stimuli into patterns, and relatio,nships. ru soo11 as one perceives
tll.e ro11e of, say, an oboe, is a"vare of octave identit)r, or gror1ps to11es into
motives and motiv,es into phrases, one has .abstracted- has ignored a myriad
Material corn d1re1tos autorais
of attribt1res present i11 tile series of srin1uli. A\\rareness virtually compels
conceptualization. 011r perception of the splendor of a sunset or of the subtle
nu.ances of a lovely theme are inseparable f ro1n our l<:nowledge of the event
as being a sunset or a theme.
In his novel, End of the Road, John Barth l1as put this n1uc.b better than
I can. His hero, Jacob Horner, a writer, e."{claims: ' 'Articulation! There, by
'vas my absolure, if I co11ld be said. to ha"re one . . . . To n1rn experience
into speecl1-that is, to classif)r to conceptualize, to grammarize, to syntac-
tify it-is always a b,etrayal of experiei1ce, a falsification of it; but only so
berxayed can it be deatt with at allt and 011ly in so dealing with it did I ever
feel a man alive and kicking." And just as the at' in presenting a reality
in words, visual materials, or musical tones in this sense dist.ores l1is and our
experience of existence, so criticism in its turn 11ecessarily falsifies tl1e ex-
perience of t he art work. But on1)
so 'betra.yed, to paraphrase Bartl1, C<ltl
works of an be understood or discussed at all. Only a totally mystical ex-
perience is. entirely nonanalytic, and it cannot be conceptualized or even
adequately described-since the act of descriptior1 is itself a distortion. Those
who seek to savor the singularity of their O'\'\"'n psyches must, therefore,,
abandon all hope of rational discourse or u1telligibJe The
only valid response to t1nmediated experience is silence. As Tom has
said: ''If you can't communica.te, the least you can do is shut up! ''
Conceptual analysis, then, is not just somecl1i11g done b)r stuffy, arid
academics. It takes place \vhenever anyone attend.s intellige11rly to the
world. It is the 0:1tly way in wltlcl1 \Ve can ' vith the buzzing, booming
confusion which everywhere surrounds us. On the other hand, particularly in
an academic context s11cl1 as this, it is \vell to remember that we tend to
teacl1 and study those aspecrs of e:A.-perience that n1ost easily lend t hemselves
to abstraction and syntactification. There are, other, r11ore elusive
forces sh.aping a11y rich human e,,perience. For insw1ce, pace and timing
(how lon.g a particular sort of e\1er1t sl1ould contint1e, and how different
sorts of events should f ollo\.v one another) are,, I thinlc, of central importa11ce
i;n both music and litera:tute. But I kno"v' of no adequate study of tl1ese as-pects
of temporal experience. Thust even thougl1 \Ve reject Macbeth's picture
of tl1e world, we sr1ould tal{e f-Ian1let's caution ''There more
things it1 heave11 and earth, Horatio,/ Than are dreamt of in your philosophy.' '
It is also ofte11 objected that criticism or analysis is coldly intellectual
and. itlhunl3.llly detacl1ed, fragmenting what is really one and conceptualizing
what should be felt. With regard to the first, oo.e ca:n 0111}' ans,ver that good
Material corn d1re1tos autorais
criticism separates "' ' here separation is \-VUrat1ted b)' the musical structure
and unires \\rherever the musical organizatio11 pern1its. Because mtisic is
combining to for111 motives, lnori\*es phrases, a11d so on-
what is separated on one level beco.r11es u11ifiecl on tl1e t1ext. Only u1 cl1e 1nusic
of transcendentalism- th:e music of Cage, Earl Bro"vr1., Pousset1r, etc.-is
there complete homogeneity an.d nondiff erentiation. And such: mt1sic C<a:nnor
be .analyzed, onl.Y d.escribe-d.
it.b regard to tl1e assertion t11at criticism should
be felt and is, therefore, son1el10"'' i11ht1n1an, t \Vo observations seem perru1e11t.
First, t11e restS upon a doubtful dichotont)' : namely, that which sepa-
rates mind and body, and inc:ellect fro1n affect. Ottr emocional respon.scs to
the world are invariably Linked to cognitive f>atterr1ings. Conce11rualizacion
precedes and qt1alifies affective exrperience. Tlitning to V\Tillia1n Jar11es
again: he reminds us tl1at a grizzly bear securely co:nfined behind bars elicitS
on.e response perl1aps 0 11e of amused ernpatl1y.; tl1e sa1n.e 'bear escaped a1.1d
running toward us, ,q-uite another anxiocis a11tipathy, And the diff erer1ce
lies in our conceptual u11derstanding of t l1e s.iruacio11. Second, there are
r easonable grounds for believing that the musical processes and strtlctures
explicitly conceptualized i11 criticism (Lfe those \Vhich e\
oke affective: re-
sponses in sensiti,,e and. listeners.
To concli1de tl-1e first part of this cl1apter, I dispute vel'ten1ently the
.r1orio11 tl1at an response to '\.VO'rks of art, ai1d to rl1e "vorld in gert-
eraJ. is inhl1n1an or t111desirable. Quite the opposite. Tl1e artsf philosopl1y,
and history, as \vell as the scie11ces and social sciences, are \raluable and rele-
\'ant be.cause they are entertaining. Not in tl1e sense of rl1e Ed Sl11Ji,ra11 sl1ow
-it diverts,. But in tl1e sense tl1at T. S. Eliot l1ad .ir1 mind when he said
tltat poetry is si1perior arnusetnent. For to e11tertain ideas-to see pattern
a.nd strllcture in rh.e world ar1d to be entertai11ed by ide(tS is both tile n1ost
11wn,an and the rnost COt1dit'io11 t<1 which rr1an can aspir,e.

Criticism (or critical analysis) rnust l)e distinguished from style analysis.
For these disciplines, thot1gh co1nplementary, involve .different vievvpaints,
mecl1ods, and goals.
Critical ru12'.lyrsis seeks to understax1d and explain what is idiosyncratic about
a particular c<>mposition: ho' v is this piece diff erent fr.on1 all other pieces--
even those in tl1e sa1ne sryle and of the same genre? It is concerned with the
implications of this specific motive or process, rhe function and structure of
Material corn d1re1tos autorais
this specific hannonic progressioll,; tl1e relatio11ship between this particular
slow introduction and the Allegro whicl1 follows it, the reaso,n why t!1ere
is a sforzando on this note or why this is interrupted at this particular
point. In short, criticism tries to disco.ver tbe secret of th.e singular-to
explain in ' wys the patterns and processes peculiar to a particular
work are related to one anotl1er a11d. to tl1e hierarcl1ic strticttrre of whic'h they
for1n a part.
Style analysis, on the other hand, is normative. It is co11cerned
CO\rering and describing those attributes of a compositio11 \Vl1ich are common
to a group of worlcs-USll<-illy ones '\Vhich are similar in style, form, o:r genre.
It aslcs, for instance, about the characteristic features of late BarG"C}Ue 1.11usic
--its typical textures, l1armonic procedures, and formal organization; or it
inquires into the features common to diverse 1novements u1 sonata form or
diff er,ent types of operas. Style analysis:, in its pure form
ignores tl1e idio-
syncraci.c in favor of generalization a.n.d. typology. Consequently statistical
methods are as a ntle :m.ore appropriate in St)rle analysis tlian in. criticism. For
style analysis, a 11articulax con1position js an it1stan.ce of a technique, a form,
or a genre.
ln describing and classifying typical :processes and schen1ata
analysis: discloses and defines those rhyt l1mict rnelodic,
harmonic, and textural relationships-which are chara.eterisric. of the music of
a pa.rricuJar period, a form, or a genre.
Here style analysis shades i11to what is
commonly called music theory. For l1armony and counterpoint too, are
normative and probabilistic. To cake an obvious example, a progression from
the dominant to the tonic .is normative ax1d probable in the harmonic practice
of the eighteenth century, as is indicated by the fact that it is called an
authentic cadence. A motion from the dominant to the submediant is less
probable, and is said to be deceptive. lnd.eed, what has traditionally been
called music theory is by and large the translation of tl1e normative pra.crice
of some style 'period into a set of syntactical rules for exercises in
that style .
. But a significant disrinccion rnust, I believe, be made bet'\vee11 the essen-
tially inductive norms of scyrie anal)rsis and an authentic theory of music.
Briefly, a real theory of music endea\"Ors, where possible.. to discover the
' iVe nee-0 not consciously classify it1 o.rder ro understand wha.t is \ Ve
c:a:n and do lear.n tl1e nom1s of a stylec-get to k11ow its t)rpical procedures and schem-a
- through listening a.nd performing, jnst as t\.'e do we learrt a l3nguage or any
other kind of culroru behavior.
Material corn direitos autorais

s .?.-!USJC
principles governing t he forn1acio11 of the t)rpical procedures and s<::hemata,
described in st}rle ana1)rsis. Let rr1e give a sir11ple e,xa.rnple of \Vhat I ha,re in
mind. In books on counterpoint there is g'enerall)' a rt1le '\Vluch srates that
after a skip, a r11elody sl1ouJd r101mally 111ove by step it1 tlte opposite direc-
tion. This rule is a generalization fr.on1 sixteenth-century practice. It describes
a practice, 'but it does 11ot explain \\.
hy the practice 111akes setlse or v;,rhy it was
de,reloped in the first place. Suppose a student \veie to ask; does cllis
melody of Palestrina descend u1 steplvise fashion after an u1:>ward skip of a
sixth?,> we migl1t a11swer: <''Veil, that was the rule," or <'That's what com-
posers writing at the time usually did.,' But this is clearly circular reasoning,
si11ce Palestrina
s 111usic \Vas pa.rr of the data usec.i ir1 deriving t:l1e rule. So
the student- probably he is ru1 z1,1uiergradi1,ite-presses us further, asking:
''VVhy did Palestrina follo\V this practice?,' rlere we V\rould l1ave to anS\';\
him \vith a general law of some sort. \ e for instance, cite the
Gestalt la\.V of cornpleteness, wh.ich asserts that tl1e ht11nan mii1d, searcl1ing
for stable shapes
wants patterns t o! be as complete as possible. A slcip is a
lcind of incompleteness; the liste11er is av;rare Qf the gap bet\\:een the first
pitch and the seco11d, a11d tl1e gap to be filled \\
ltlcl1 step\\rise
motio.n in the opposite direction does. This

of r11elody is presut11ably
11ot but applies to the n1usic of Beetl1over1 or that of south
India, as as the music of the sixteenth cenrury- though. \vhat represe11ts
n sati.r;;fa.ctory fillin.g of a gap '"'rill depe11d upon tl1e repe.rtor-y of tones prev-
alent in cl1e rnodes of a stvle.
Oi1e might, of course, arce111pc to ge:r1eralize still furtl1er, aski11g wh}I
che mind searcl1es for stable sl1apes. And or1e rnight explain t: l\at becat1se l1u-
IliL'Ul behavior is not for t he m.ost part geneticall'r deter.nlinecl, men n1t1s t en-
vis-age tl1e co11seqt1ences of cl1oices ir1: order to

110 , ;v to act it1 the
present; and they can envisage a11d choose only in. tern1s of f)atterns and
pr<C: Jcesses "vhich arc regr1lar and. relatively complete. But I doubt tl1at the
explanation of musical pntctice needs to be pusJ1ed back rhis far. As a rule
-vve are, I tlunk, satisfied i,,vith the ii1clusive law '-vhich '-Vill account for
the e\rentS describe(i.
To put ti1e nla.tter in another \Va.y : \Ve endea\ior to
e The tnelodic .st;rle of contemporary poit1tiil ists is not an exception to ct1is ' ' la\v
because the relatior1:ships among intervallic events in, say, a piece by \;\l ebern are not
processi\re but f.or n1al.
3 As lvtario Bttn,ge has pointe(i our: "Every !'J' Sterr1 tmd ever')' .evl!'nt ca71 be ac-
co1mted for (described, explained or predicted, as the case TPMY be ) prima-ril:t in t eN1ts
of its own levels and tl;e adj:oi1Jing levels . .. , Fo.r exeJnf)le, r11ost historical events
Material corn direitos autorais
go beyond or statistical t1orms to the explanation "-'hich
takes the form of a generaJ principle. The goal of music theory is to discover
soch principles.
Ir is not, however, the goal of cricic'll analysis to do so .. Critical a.nal}rsis
uses the laws foro1ulated b) n1usic theory-and, as \\re shall see, the norn1a-
tive categories o:f style analysis-i11 order to explair1 ho'v a11d why tlie par-
ticular events within a specific composition are related to one another.
Theoryr us the general pru1ciples governing, say, tl1e processes of
melodic implication and cl0St1re, wlille criticism is concerned witli the ways
in which those principles are a.ctt1alized-or perhaps e,raded-in the case
o:f a specific motive, tl1e111e, or section ir1 a particultrr worlt.
A descriptionot no matter detailed and elaborate, is n.ot an explana-
tion. A catalogue of successive pitches (e.g., observing that "the melody
begins on D, skips up to Bb,. and the11 n1oves do\.vn to A '-Vhich is
trilled ... . '').,the labeling of chords (as C n1a)or, F niajor, etc.), or a listing
of dominant instrumental timbres of these constitute a critical analysis
of a composition.
I do not intend to st1ggesr descripti,re discourse is noc relevant-
even necessary-in t.'ritical a:r1a1ysis. To be so, 11owever, it musr be used in
conjunction. with a viable theory about how the variotlS pa.ra111eters of n1usic
- melody, rhythm, cin1bre, harn1ony, and the like-function; that is, how
they give rise to pattern_s and rel.ations}ups. For instance, given an hypothesis
abou.t the psychological f unctioni1ig of structural melodic gaps, it is mean-
ingful to observe tl1at "the melody begins on D, skips up to Bb ... ') llltd
so on. Sin1ilarly given an l1)rpothesis about tl1e role and function of ornaments
in melodic-rl1ythmic processes, it becomes significant to describe a note as
bearing a trill-um1ally gi\ring son1e reason wl1y it does so. But in the absence
of a background of theory \.Vhich relates events ro or1e another, description,
even when disguised in a cloak of obscure tecl1tucal jargon, ex-plains t1othing.
Elren wl1en nor explicitly stated,. ger1eral l1ypotheses are invariably
i111plicit in critical ailalysis. Of'tert l1}rpotl1eses are of a co1nrnor1-setl:Se
can be accoumed for without resortir1g to physics and chemistry, btlt chejr cannot be
properly understood without so111e behavioral
The Episte-
mology and fviethodology of L.evelsl
in Wh:yte, \ilson, and. Wilson, eds., Hierarchic
Struct1:1res (New York: Else.rie.r, 1969)
p. 2+
Material corn d1ro1tos autorais
variety. For example, near tl1e er1d of the second the1ne of tl1e Finale of
I\l.iozart's S)'mphony No. 39 a11 interru.ption, follo'"'e<l lJy a digress.ion, takes







Material corn dirc1tos autorais
Had the consequent })hrase hee11 regt1lar it \\'Oltld have bee11 as f.ol]o\vs:

... .,,
,- -
Exan1plc 2
Tl1at is, the major n1ode \VOt11d ha,re ren1ained a11d the melody and harmo.ny
of t he cadence ':\'Ot1ld been:
Exa111ple 3
And t his cade11ce exactly is presented at t l1e end of t l1e clig:ressit)Il (Ex.an1plc 4).
Now tl1js i11terruption migl1t bc explained by poi11ting out that the
second theme employs the sa1ne n1orivic material as tl1e first, and both are
antecedent-consequent phrase structure . . iVloreover, tl1e form and process of
t he second theme are particularly .Pate11t and predictable. Tt1erefore, had the
conseque11t ,phrase closed in the expected tl1e \.i;rhoic theme 'vou1d l1ave
seemed obvioL1s and a11ticlim.actic. Or1e couldi of course, for111ulate a general
law covering the case: v.that is coo }Jredjce,able is a11d is
as a
rule, avoid.ed. But tl1is is scarcel)r i1ecessary. I11deed, because con11non sense
lets us take the proposition for granted, as a kind of cultural do1ine, the
explicit state1nent sce1ns artificial and pretentious.
This is nor to Sl1ggest that one sl1ould not try to build a n1ore refu1ed
and con1prel1ensi,,c tl1e<)ry of n1ttsic. Bt1t because specific n1usic-al e ents
are the result of nonrecurring co11cate11atiot1s of co.nditions and variables, 110
set of general laws can adeq.t1ately explain tl1e particular relationships c111-
bodied ii1 an actual con1position. l n other \\rords, 110 matter ho\v refined and
inclusive the laws of music theory bcco1nc, their use in the CA1Jlanarion of
Mater al corr d1yc tos autora s
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particular music:al e'\re11ts \:\"ilJ lta\
e to depen<l in part upon the ad /Joe l1y-
p-0theses of common sense.
Here an analog}r nught be helpful. Let llS liken mus1c theory to a \Vrit ten
score; the cricic to tl1e ince.rpreter-perf,ormer of that score, and the tradition
of performance to common-sense h:)rpothcses. Just as any syn1bolic 11otatio11,
Material corn dirc1tos autorais
if it is to be can specify only a pan of v.rhat is to be presettted in a
performance, so mnsic theory,. can formulate}r some of tl1e l1ypotheses
needed i11 the analysis of a particular composition. To put the niatter tlle other
way around; n score whicl1 contained all of the inforrm.rion communicated
by a particular perfo.rmance e\
ery 11uance of duration, pitcl"4 dynan1ics,
timbre, etc. would not only be unreadable. but 1
ould take years to
down and months to decipher. SimilarlyT a theory which c.overed everjr pos-
sible interaction of all possible variables \voul d be useless bec-ause it wonld
lack precisely wha.t a11y theory mt1St have- namely, generaliry. For the per-
former, the 001nposer's score constitutes a n1-0re or less definite set of direc-
tions. '"rhich suggests a parricula.r interpretation; and in parallel fashion,, the
explicit f or1nulation.s of music theory suggest p-ossibf e ,expla:oa.tions of par-
ticular musical events to the critic. as t l1e perforn1er's acrualization of a
sco1e is controlled in part by the srylistic tradition. of performance practice,
so the critic's use of music theory depends i11 part upon. the con1rn,011 ... sense
tradition. of bjs ct1lni:rc. If perform.ance traditions may {')e considered as a
kind of unwritte11 nota.tion, then common sense may be regarded as un-
formulated the.ory.
Because this point is of crucial irr1portance for criticis1n. I should like
to emphasize it by stating it in another 'vay. In. the Gl;ort i1z the i\IJ..acbine,
Arthur Ko-estler points out that e\rery skill- for ou.r purposes: coinposit.ion,
perf onnance, and listening as well- has a fixed aspect and a variable one:
Tf1e former .is detennined by its the 'rules of the which
lend it its charaeteristic pattern-whether th.e gn1r1e Le; n1nking a spider's
\Veb., constructing a bird's nest, ice-skating, or play'ing ch.ess. But the
rules permit a. certain va.riet)r b)' al.ter11ati,re cl1oices: the v.reb cru1 be
suspei1ded fr-0n1 three or f oux points of atttachment, the nest can be ad-
justed to the angle -o.f the fork i11 the branch,, the has a
cboice among pexn1issible rnoves. These cl1oices, havi11g bee11 left open
by the rules depe11d upon tl1e lie of the land. the local environment in
\Vhich the holon operares---.;they are a matter of st:rnteg}.r, guided by feed-
backs. Put in a different -,.vay t the fixed code of rules deter1nines the
permissible moves. :flexible dctertn.itles tl1e c'hoice of the actual
moves among the pernlissible ones. The larger the num'ber of alternative
choices, the more :complex arscl flexible tl1e skill.
4 TJ'e Ghost in tl>e Aifacbhw ( Ne\V York: M.acmillnn, 1968)., p. 105 . A '
holon." is
a n1ore or less siepar-able entity o.r even-c t l1at forins pa.rt of l:l hierarchic structure. For
instance, a rno.cive Vi'Ould be a holon on a low level; a tl1cme "'' ould be one on a
Material corn d1ro1tos autorais
.In mus.ic, constants sucl1 as the pri11cifJles of })attern
organization, the syntax of pa.rricular styles, a[ld typical scl1en1ata such as
triadic holons constitJJte tl1e ritles of t/Je ga111e. actualization as specific
n1,usic.-al e\renrs is the realization of what I{oestler calls fiexible strateg;
any given n1usical repertory t:l1e 'tr1Jles" determine t l'1.e lcir1ds of patterns that
can be e11.lploy"ed in a cor1'.lposition. They are the province of style criticisrn.
Strategies> are variable and nonrecurri11.g, give rise ro particl1Iar in-
sr.111ces of some general type or class. The cask of critic(]:l ru.l31ysis is to
explain \-Vb.y a general rl1le \;vas in t l1e Vla)r it \as. For instance, in
the exa111ple fror11 Mozart's S}rmphony No. 39, rules of tl1e ga111e re]l
us t11at cl1e theme belor1gs to the characieristic })1. ltter11 called
consequent pllrase.
' 'The strategy to he explained is rf1e partict11ar realiz_atio11
of this nom1acive patter11. Becal1se rules do nc>t deter.mine srrategies, co111mo.n-
sense reasons are necessary to explain specific mtl.sical events. Tl1ey bridge
the gap between. rule and snaregy. And common-sense reasons are
necessarily ad /,oc, criticism is, a11d vvill al vva)' S be, ai1 art- 11ot a science,
The reasons used. to explain a particular n1t1sical event \'rill, tl1en, he of
two di:tferent sorts: rule reaso11s, derived from. style ana1)
sis 1tnd n1usic
theory, vvluch will te11d to be consta11t, and strategy reasc>11S vlf1icl1 \vill be
of the ad !:Joe, con1mon-sense variety. Because they deper1d upon partict1lar
circu11:istances, strategy reasons are ge11erally e:clecric. Sor11eti1nes they 'viU
be dni\vn from estal>lislied disciplines such as acotistics or psycholog;r; at other
tin1es t he)' \Vill be upo11 con1mon ser1se. Rule reasons, too, at least for
tl1e present, from ti1ne to cin1e he eclecric. This, because music theory
is still rt1dime11tary and style anaJ ysis 0111}' son1e\vl1at le:>-s so.
Not onl}r \vill criricisrn rend to be eclectic, but so1ne aspects of 111t1Sic
may for a time simply be inexplicable. Fortt1na:tely, howe\rer, explanation
need t1ot be exl1aust:ive at1d absolutely certain in order to be illu1nit1:1ting.
\Vere complete information a.nd tl1eo0r a i1rereqt1i.<tlte for
understandi11gi scier1ce, for example, wo11ld r1e\1er have even 'begun.
Even rhough critical ai1al.)'Ses are seldorn comprehe11sive, all coo often
tl1ey v\rill seem t1ndt1l)' arduot1s and protracted. Tl1is is because rl1ere is
in.variabl}T a disparity bet'\\
ee11 th.e s1>eed and ease "'' itl1 \vhich 'tnusic is ex-
perienced .and t1nclerstood, a.J1d the length and co1111Jlexity of tJ1e discussion
bigl1er level. Esse11tlally tl1e san1e poi11c is n1ade by I--! erllert A. Sit11011 it1 Tl:1e Sciencer
of tl1e Artificial (Can1bridge: 1\.l.I.T. Press, 1969)t Chapter parti'-'tlla.rly pp. l3- 31.
Material corn d1ro1tos autorais
needed t:o expla1n wl1y and t1ovv it is experienced and understood'" A simple
melody of., say, sineen measures, \.hich ral<es less than a mit1u.te to perform,
may require se\reral pages-five or SL"< tninutes '\Vorth of exp.lana.tion. Ma:ny
stod.ents and discerning Iiste11ers 611d disparit)r ii1congruous and discon-
cercing. And t}te critic frequently feels th.e same \'' a)' But this
Eff ect' ' is by n.o meatis co.nfined to criticism.; it l1olds, true fo.r ever)' explana-
tio11 in every discipline: in ti1e sciences arid social sciences, as '-"rell as in the
humanities. A eclipse may last little more than an hot1:r; a student dis-
rorbar1ce less tl"lan a day. Br1t explaining these events nJay require exte11ded
and intricate discussior1.
Take riding a b.icycle, for i11stance. 'i\' liy a bic}rcle is relatively stable and.
hence ridable has bee11 considered by a number of scientists-n1ost .recently
by David E. H. J.ones. Jones begins his as f ''Alm-0st every-
one can ride a bicycle, )' et apparentl)r no one kno\!VS l1o"r they do it. 1 be-
lieve that tl1e triclc contains much unrecognized subtlety . . . ,,
Why a
bicycle is stable proves to be a su.btle problem involving questions of gra,rit)r,
geometry, centrifugal force, g)rroscopic action, and so on. But Jones,s
seven-page article, detailed and complex though it is, is an account only Of
the theory of bilce-riding-of the rule reasons for stability.
Suppose, howe\rer, that the series of e\tentS in an actt1aJ bicycle ride was
to be explained. Taking into consideration 11ot only .Jo11ests theory of stabil-
ity, but specific fe-atures Of the te.rrain {l1ills
.cl1n1es, road surface, etc.) and
in.forn"tation about the rider (his u,eight, mt.tscular strength .. experience, and
so on), analysis '\VOttld. seek to exi:>lain precisely v\rl1at llappe11ed on th:e ride-
how and ;vl1y t11e rider sltlfted his weigl1t, turned the wl1eel, changed gears,
and modified his speed in or,der to follow 'the specific course It is this
sort of particular inosical event-series \vhich the critic attetnpts to explain.
Considering that even a si111ple n1elody is at least as con1plex an event as a
sl1ort bike ride it is scarcely surprising tl1at explru1arions in criticisr11 are
usually loriger and :more involved tl1an one mjght v\rish.
Jones)s statement calls attenti()O to another consideration ..
Just as one can ride a bicycle tvithot1c knowing ho\v a hic;rcle really works, so
experienced listeners can respond setisiri\rely to music \Vithot1t knowing any-
thing about what mal\:es music wor l<: \VithOll.t kno""ring aboltt the theory or
history O'f n1t1si.c. Beca11se it involves attencling ro ar1d comprehe11ding tonal
relationships, t1ndersrandir1g 111usic is, I have argued, necessarily cognitive
and analytical. Bur it does not fol]ow fron1 this that t1ndersra11diI1g depends
5 The Stabilit'y of the P/;;i;ysics Today, XXIJI, 4 ( April, 1970), 34
Material corn dirc1tos autorais
upo11 of theory or it1forn1atioc1 about n1eans and techniques. \!Ve
can perceive and comprel1e11d action.s and as well as
o.onmusical-" the explicit conceptualization ne.cessary for explnna ..

t i Oll.
Zealous listeners are sornetimes }1eard to protest tl1at tl1ey <' love>' 1nt1sic,
but don.'t understand it. is, of course, absurd People seldom lilce '\that
they do not understand .. Quite the Of)pos:ite. Because it tl1reate11s a deep need
for psychic sect1rity, men generally detest and reject what seems inco111pre-
hensible. '\ the hostility whicl1 conterr1porary n1usic so often excites
in audiences a.ccu.stomed to the synrax an.d Structure of tonal music.
Wl1at listeners n1e:an "'1hen tl1ey say tliat the)' d.011' r understand mtlSic is
that tliey can
t read it, nan1e proce.sses, classify procedt1res,
or othenvise explain how music \vorks. Lilce many theatergoers in ancient
Greece or Elizabethan England, tt1ey are illiterate; but they are by no n1eans
Luckily, does not depend upo11 literacy or upon
th.eorerical }{t1owledge. If it did, the al1diences for the plays of Aescl1yTlus and
Shakespeare, or for the n1usic of Bach and Bra11n1s, would t1.t1ve been very
small i11deed.
Understanding a_nd enjoying a Bacl1 f\1gl1e or a Brahms sonata does not
it1volve knowing about-conceptualizing cadences
contrapuntal devices,
bridge and the like, any more tha11 being ei1tertain.ed by H anilet
involves about syntactic ft1nccions, prosodic .devices, or dra:tnacic
.means. Understanding m11sic, to paraphrase wl1at Bertrand Rt1ssell has said of
is not a n1att:er of kno\vi11g the tecl1nical terms of n1usic t heory,
but of habits co:rrectly acq11ired in oneself anti. riglitl y in others.
Listening to 111t1sic ir1telligendy is more like kt10\;\1ing ho\v to r1de a bicycle
than knowing wh)r ,a bicycle is ridable.
e Al1d may be crue of creative arcistS as \VeU. aq o f QUdierlces. For iru.'t:ance,
Albert B. Lo.rd>s account of the singing of epics in Yugosla:via indlca.ces that con-,ization and classificatory knowledge ar e not necessal!)' for t'he composirion of
oral poetry: "lvlan \vithout \. vritin.g thinks in terms of sound groups anrl not in words,
and tb.e t'4vo d.o not necessat"ily coincide. When asked urhat a word is, he will reply
that he does riot kno\111, or be give a sot1nd group which n1ay var) in lengtf1 from
what \Ve call a word to an entire line .o.f poetry, or even an entire song .. . . Wlien
a singer is pr:essed then to 53y \Vhat a line is, he, \.Vllose chlef claim to fa1ne is that l1e
traffics in lines of poett}' , will he e11cirely baffled b),.. the <.\\lestion; or l\e will say that
since h.e l1as been dicntiug ru1d has seen his Utte.ran,ces being writte11 do,vn, he has
disoo\fered what a line ist although he did not kno\.v it as st1ch before,. because he h,ad
never gone 'to schoo.J!; T he Singer of Tales ( Can1bridge: Press,
1900) , p. 15.
Material corn d1roitos autorais
This is not to contend that edt1caci.on cannot en!1ance u.nderstanding ani;i
hence appreciation ai1d enjoyn1ent. B}r calling attention to patterns and rela-
tionships which migl1t have bee11 missed, it refines the a.u.ral imagi-
nation and increases the sensiti\riry of the cog1uri\
e ear. And to this enter-
prise, critical analysis can certainly make an i1npor,ta11t contribution. But
education is not its primary goal. The primary goal of criticism. is explMiation
for its own salce. &cause music fascir1ates, e.xcites, ar1d moves us, 've '\.\'ant
to explain, if only in1perfectly
in '\Vt1at \:vays the eve11ts wicliin a particular
composition are related to one another and ho\\" relationsl1ips shape
musical experienc-e. Though kno\vledge abou.t rhe theory ai1d ltlstory of
music are n<>t a prerequisite for sensiti\<e understanding, they are a n.ecessary
basis for explanatio11.
Critic.ism depends not o,nly upon kno\vledge, n-0nmusical as "vell as
musical, but upon such elusive qual.icies as ge1leral int:ellige11ce-tl1e ability
to perceive the propriety of some reasons a11d the irrelevru1ce of others-and,
n1ost important of all, 111usical experier1ce arid se11sitivity. For the critic begins
by sensing or guessing ho"'r a eve11t - hOv\' it fits together
.a:nd ftin.ctions. Michael Polanyi's obser\ratior1 that ''tt1e study of an orga11
u1ust begin with an attempt to guess what it is for a,nd it \Vorks'' t
applies to the study of a n1usical co111position as ''' ell. Once a work or Jh'l.SS.age
is understood in tbis almost intuitive way, the critic "\oVill begin to analyze itS
strucrure. He will attempt to discover wna.t kind of patterning underlies it,
and hence which rule are appropriate for its analysis; what sorts
of implications are suggested by its n1elod.ic, ihyth1nict and 11armonic organi-
zation, an.d "vhether an,d ho"v these are actualized; ho'v the event is struc-
rured hierarchically, and in 'vays the several levels of the hierarchy are
related to one another.
The answers to questions such as these are not al,vays obvious at first.
Repeated playing and listening may be reqtiired. Becat1se tl1e several param-
eters do not 11ecessarily move in congrue11t fas,hion (with the r:est1lt
harmony, melody, rhythn1, and so on may each yield a different pattern of
organization), it will at rirnes be helpful to analyze ch.e parameters separately
in order to study tl1eir interrelationships. Often it iJluJninating to
''nor.nialize, a passage- re\\'rite it in a simpler t archetypal forn1-in order to
understand how t he composer has modified a traditional schema. Always
it is important to discover which tones or l1armonies are strucn1rally essen-
tial and w:hich are ornamet1tal. \Nhen employing sttcl1 t:ecl111iques..._wluch
P:ersonal K'r1owkdge (Chicago: Universit;1 of Chicago Press, 1958); p. 360.
Material corn d1roitos autorais
not modes of explanation, b11t metho<ls t<>r disclosing l10'\Pv a n1usical event
functions-the critic's ''ear,'
llis inusicaliry, n1ust guide analysis. ' [t
accept or reject a abstraction, ai1 harmonic reducrion
or a rhytl1n1ic
analysis. His ear keeps tl1e critic honest. vVirhout its control, theory or St}rle
anal)rsis rends to become a Procruscea11 bed to v\rhich the praccice of com-
posers is made to conform.
Because its reasons ar e often .ad /'Joe and its explanatio11s eclectic, crit icist11
IllaY tin1es see1n

it11J)f0'' isatory. But this does 11ot inean that it

is: arbitrary or illogical. Different sorts of argurne11ts f rotn a \rariet)r of sources
111ay be e111ployed, but they 111ust be applied ol>jectively: rt1les a11d tecl11uql1es,
argun1enrs and evidence n1t1st be used in the sart1e \vay in each anal)rsis; an(l,,
chougl1 not systematized, n1ust l)e consistent witl1 one an.ott1er . Criti-
cism must be musically bt1t tllis is not enough. For
"' hat finally convinces is aural cogency combined with logical coherence.
:Becat1se it must be scrupulous in reasoningl but flexible in strategy criticisn'l
might ' veil be called t he delicate cliscipli1ie.
L-0okcd at from a11od1er point -0f \ie\v, criticis1n attempts to underStand
and explain the choices n1ade by a con1poser in a particular \\' orl<:. In order
to do so, the critic 111uSt be aware of the options available to the co111poser
at each pc_>int ill the co1ni)ositio11, and l1e must be able to. cscinriare (in a ge11-
eral \Vay) 'vhat rhe probable co..r1sequences of aJt,ernati,1e decisions '\vo11ld be.
The critic inust have not only a. viable theoretical fran1e'\:vork, but equally
important a se11sicive f eelit1g for the s'tyle.
Sryle analysis is tl1erefore necessary to ar1d releva11t for criticis111. A par-
ticular melody, harmonic progression, or formal procedure is almost al\1lays
understood in terms of the normative t)rpe or sch,ema ,of \<\*' hich it is an
exe1npli1icacion. As Nl orris Cohen points out, ''The absolutely uniq11e, rha.t
which has no eleri1ent in cominon \:v.ith anything else, .is indescribable, since
all description .and all anal)
Sis are in r.ern1s of predicates, class or
r epeatable relations.,,
For i11Stance, a listene.r who has IlOt learned. a tllrough
0.11.tural e.1rperience, not 11ecessarily through .cla.c;sroom instructio11-the St}rl-
istic syi1rax of harn1ony "\=vill t1ot be able to appreciate t11e deviant deL1y
of a decepti,re cadence. Sirnilarly, \vritl10.ut a se11s-e of ti1e t1orn1acive pro-
cedures of a classical rondo "1':ith its more or less tegular r eturns of the mair1
T he .J\4ea11i1zg of H i 11r1all .HittOr'J' ( LaSalle, Illinois: Open Court, 1947)1 p. 84.
Material corn d1roitos autorais
theme, n11uch of the delightful play pres,ent iii, say, tl1e Finale of Haydn's
Sy1nphon}r No. wo11ld be nlissed.
Style analysis is necessa,ry for criticisn1 not only because particulars are
invariably und.erstood in the light of classes and 11orms
but because such
typalogies suggest ho"', th.e passage or event being considered v.rill probably
<'work.'' i\ nd,. as noted earlier, an.alysis of a11 eve11t begin with some son:
of hypothesis about irs funcrio.n. Pola11yi's observation is akin to \.Villiam
Dray's co.ntention (n1ade in co1mectiot1 \vitf1 tl1e study of l1istory) that "ex-
plaining what a thing is . . . is just not the same enterprise at all as explain.-
ing why it .. , . happened."
A patt of a composition without p11tent and
closed melodic shapes and charllcterized by rapidly shifting ha._rmonic motion
is more underst:anda.ble vvhen conceived of as a '' developme11t section,'
as an historical period marked b:}r disturba11ce and rurmoil can be better
con1prel1ended as a ''revolution.'
Moreover, to classify an event is to call
attention to the Wa)' it fun.ctions and to pro1note a heuristic attitude with.
respect to events \Vithi11 it.. Tl1e classification of the IV1ozart theme discusse-0
earlier as an. type led us to look for the missing
nornurive cadence and, in this case, to find it.
To underStand a comp-0ser
s choices is to en\risage the psychological-
styliscic alter11arives ope11 to him at a particular point in a composition. 'For reasotl, particularly in tl1e sl1ort run., onr guesses a.bout implicacio11s and
concinuarions n1ay often be partly or wl1olly t1ustake11. Ends are ge11erally
more accurately envisaged tha11 tneans. A11d cl1e predictable rout! which
suggests itself ro the critic will not as a ruJe be tl1e one cl1osen by the co,m-
poser. T11cir inve11tion is botl1 n1ore subtle and more adve11turous tliarl ours
-""rhich is wh.y they, and not \Ve, are creators .. That our guesses may l'>e
mistaken d.oes n"Ot, 110\vever, gainsa}r the it11port a11ce of consideri11g possible
alternari,res. For 011r understanding of what t l1e con1poser actually did is
significantly depende11t upon our understanding of tvhar he tnigbt have done.
(Fron1 an aesthetic IJ-Oir1t of vie''' ' this is crucial . For it n1akes clear that
musical enjoyn1ent Lies as much, if not n.lore, in the act of traveling as in the
fact of arriving. V\'l1a.t d,elighrs aitd n10\res us, as \.\re listen to a compo,sicio11,
are the cl1ru:1ging landscapes, the n1rns in the roacJ reveali11g unexpected vistas,
an.d the surprise of delectable detours encountered en route to goals of rela-
tive repose.)
9 u 'Explairiing Whar i11 {:.C{istory,,, in Pattick Gardiner, ed.,, T heories of History
(Glencoe. Illinois! The Free Press, 1962 },. pp .. 4.03- 408.
Material corn dirc1tos autorais
But eve11 i11 the Iorxg rtin., our n1ost co11fidenr sur1T1ises rot1res and
goals 111ay pro\re \i\rro11g. is because, gi\re11 rhe parcit-ular style witl1in
\:vhic.h he works. the composer is a free agent. He invents and sl1apes l1is
u1itial musical st1'bstan.ce-his th.emes, ha.rrn.oiuc progressior1s, textures,. and
t:l1e like. These implications for st1bseque11t eve11ts. But tl1ey do not
determine t hose events. T his for c'1\ro n1ain .reaso.ns.
First of all, the im11licarions--the possible consequences of a 11111sical
e\rent, of a n1ocive> phrase
or even section-are aJ,vays pltual. A n1usical
e\rent implies a nt1mber of alternative actualizations. tl1e cor11poser
does is to disco,rer j)Ossibilities implicit ir1 his ow11 .n1usic.-al ideas. 111
Stravinsky's '\\'Ords, ''Step by step, lir1k b)r lir1k, it ' "rill be granted [the com-
poser ] to discover the "''ork. ,.
The quality of his compositions depends
botl1 upo11 his ability to discern or, if ,you \vill, to invent sucl1 i1npliDirions,
and t1pon his arristic jt1dgn1ent in seleccir:1g inreresti11g and fruitful ones
for his cor11posicion.
Determinism is rnistake11 n_otion applied to worlts of art not only
be,cnuse implications are but alst) because, \vithin the style he employs,
the composer .may at any parrici1lar poli1r in a piece be absolurely arbitrary.
That is, he ma)!T it1vent and t1se a 111usical idea or relatio1iship \Vhich has
r1otl1ing to do witl1- was in 110 wa)r ii11plied by or de1Je11der1t upo11- preced-
ing events in th,e piece. Though he is free at any point in a to do as l1e
likes,, a .re.spor1sible co1nposer V\' ill SLt bsequent ly take st1ch tl11: arbitrary a.ct
i11to a:ccou11t. TI1at is, the relacio11ship berweer1 at1teceder1t eve11ts at1d the
arbitrary one "i.vill, take11 together, have co11Seq\.1et1ces later in the con1posi-
tio11. F'or instance, the interrltption t)f the conse(1uent phrase in 1ozart
Symphony No. 39 ca1111ot (as f tU" as I car1 see) be inferred from a11ything
that preceded it. It is simply a decisio11- rhough rhe critic cru1 suggest, as
I tried to do, \Vh.y it is not an ur1reasonable one. Tl1e interr11ption is acce:pr-
able for a nl1mber of r,easons. One of these is that it is subsequently seen to
have important in tl1e de,re]oprr1e11t s:cctjon.
All of this suggests tl1at the notion of {'inevitability'' in inr1sic inust not
be tal<e11 literally, but in a Pick'\\rickian sense. Tl1e series of events in a piece
of music is noc actttally it1evitable. If it were, mt1sic would be as u11inceresting
and dull as deterge11t C<>r11me.rcials. Ratl1er a piece of 1nusic n1USt see111 i1z
retrospect to have fitteti togetl1er- to have been "right." A goocl con1posi-
10 Igor Stra.r1vinsky. I)oe:tics of trar1s. b:j' A .. Kn.odel a11d l . Dahl (Cambridge:
Harvard Press
1947) , p. 50.
Material corn d1roitos autorais
tion makes us feel the u11certainty of the ir11probable, C'len. \vlule convincing
us of its propriety. It confro11ts us "''itl1 tl1e capriciotlS .and c.ons us into believ-

mg it was nec.essary.
If the goal of criticism is to u11derstand a11d explain the mt:is:ical decisions
made by composers, then ideas about music expressed by the composer him-
self, or by critics and theorists close to his time, should. be partic:t1larly
vant for tlte present-da}r critic. They are, but \Vith important qualifications.
Such u1formation is as relevant, but IlOt 0.Ile 1nore so, as Statements
made by other protagonists in Icings and pl1ilosopl1ers,
and social reformers, tradesmen and theologian5'-about their beliefs, m.otives.,
and goals. They may be reliable and perti11e11t, or tl1ey may be biased, in.-
c-0m1llete, at1d misleading. Just as 'the policical or social historian evaluates
th,e asserted. beliefs and, vie"\\1S of a11 historical figure in the light of his actual
actions (and vice verse) , so critic n1ust evaluate r_he statements of com-
posers or theorists in the light of tl1e co1nposicional practice ro \Vhich. the}'
Such doct1mentatio11 may pro\ride fruitful avenues for criticism and
analysis. Thus, as Leonard Ratner has sho'\i\rt1
the views of eighteenth-cen-
tury composers and tl1eor.ists about so1tata fo.rm help us to understand the
practic.e of the period. On the otl1er hand
ideas and theories from t he past
must, when contradicted by the practice of tl1e pasc as we see it, be rejected
o.r modified by prese11t-da:y theory and criticism,. In Donald Jay Gr,out's
\vords: ''the correspondertce of theory and practice is no, more exact for
medieval modal 111elodies than for a.ny otl1er rype of acn1al mt1sic in a.ny
Most often, ho\vever;, differences between th.e views of composers
and theorists of the past and critics at1d t heorists of the present are ones of
etnphasis. For example, n1-0st critics toda;r \Vould explain Bach's Brandenburg
Concertos or tl1e \ell-Tempered Clavier largely in rero1s of syntactic pro-
cesses and fonnal organization, rather than in terx.ns of t he doctrine of affec-
11 A History of Mi llie ( ew York:: \iV,, iV. Norton, 10) , ? 53 Lawrence Gusl1ee
makes a similar point '\vhe11, h1 a reviev.
of a cranslacion of Gtlurius' P-ractica 1\t!usicae,
he 'vrite:s: "But what are ,,,.e to make of the facr that most of .foi1.rrh book
described proportions whicl1 ai-e not e11countered in the '-\' titte11 xnusi:c of the time?
Was Gifurius inroxicared by the spirit of systetnacization, mating the arithmetic
thoocyT of proportions inherited from Classical A11tiqwry with t l1e principles of
me1:isw:-al n1usic developed during the 13th and 14th centuries? . . . But a.put fru1n
se:r1sitizing to t:l1e i1nportance of .rhythmic .relationsl1ips and o.f
the original fom1 of notation. of a Vl' Ork-!>11Ch sensiti,Tit)' \vould also arise frnm a
study of the works cl1emse1ves I cannot sec ni.any insights accruing from the study
of Gafurius." Journal of A1'u.sic Theory, XIV, 1 (Spring, 1970), 12?-?30.
Material corn d1re1tos autorais
tio11s, a f(Jrm of explanation '"' hich \\t 011ld probably have b,een ir1
Bach's O'tVn time. Finally a some\vhat general Because tl1eyr
have a veryr speciaJ relationsl1ip t<), and technical li1terest in, tl1eir art, com-
posers are often inaccura.te reporters of tl"iey do and not u.nbiased
jt1dges of the vvorlc of otl1ers.
T he precedi11g discussion calls atte11tio11 to tl1e fat't that there is a
significa11t difference betwee11 the co11cer11 of the critic or theorist who ar-
tempts to t1se present. day lcnowleclge about 1nan to explair1 tl1e art of mt1sic,
and the concern of the hiscoria11 of tl1eory or of criticis1n \1lho seelts to ac-
count for the sequences of ti1eories and critical viewpoints about music. The
distinction, analogot1s to tl1at betvveen a scie11tist an.d a 11istoria11 of science,
l1as 11ot alv\rays been recognized by musicologists. For them theor)r in particu-
lar has n1eant explai1ling "'' l1at: past treatises ha,re said about
n1usic close to che time the treatise \Vas "vritten .. Sucl1 studies undoubtedly
important; bur the;r are essentially historical, not theoretical.
The task of the tl1eorist is differe11t. Using as his prim.ary (iata the rnttsic
itself, together \Vitl1 his O\Vtl st}rlistic e>i.-perience a11d wl1ate\er can be ascer-
cained about perf orn1a11ce tradition
11e atternpts to construct hypotl1eses
abot1t the ways mt1sical e,1ents-n1elodic, rl1ythmic, l1armornc, textural, etc.
-are related to 011e another. In so doing, he nta}' refin.e exisci11g 'hypothesest
devise quite 11ew ones, or borro"v concepts and :methods frOlll other disci-
plines sucl1 as linguiscics, psycholog)' , or s_. stetns analysis. His theory 1na'}t be
corroborated by treatises \11ritten a:t the riine tha.t the mt1sic he is co11cer11ed
\Vith was composed, and this \vill constitt1te sup11orting e\ri.dence. But the
absence of historical corrobo1ario11 \vi11 not prove tl1e newly
formulated t heory mistal<en. For theories are co11firn1ed or disco11firn1ed in
terms of tI1eir i11ter11a1 i11tegrity, their agreemerit witl1 tl1e t)ody of cultural
beliefs and the.ories of \\.rhich t'hey are a part, and ac:cording to \Vhether) when
clis}1'assionately e1nployed
they correspond to and can explai11 t he facts-
'vhich in this case are nt\.1sical, not historical. The validity of tt1e theories of

Sch.e11ker o.r Kurth, for exan1ple, do not depend upon whcthe1T Beethoven
or Wagner, or tf1e tl1eorisrs co11ten1porary with then1, held sir11ilar ' rie\\1s
about the i12mre of mt1sical processes and structu1es.
And i11 it tllUSt be thus. For, at least ttntil otu topsy-rur\1y cenn1ry.,
practice al111ost always prece.ded theory. And wl1etl1e.r rl1eor}
fo1lo\-vs by a
day, a decade, or a century, it is nec.essaril)' a l1ypotl1erical construct- not a11
a.bsollite, eternal truth.
It is i111portanc tl1at ' (understa11ding the choices 111ade by co1nposers''
Material corn d1roitos autorais
does not mean knowing \vhat actuall}:r \Vent on in tl1e mind
wl1en he wrote a p.articular work. Probably neither he,. 11or we, will ever
know his 1nencal p1oc..-esses as tl1ey actually occurred. Rven a. composer
was conscious of n1aking decision- \vl1er1 his l1abit of craft was not im-
mediately to the problem at ha11d cl1oice n1ay been largel).r
intuitive. After considerable thought trial and error experimentation, and
just plain daydreanll:ng, the right sol ucior1 111ay 'ba\re appeared, as it were,
out of the blue often \vhen least expected. The result seerns clear and
''logical," but the ro1Jtc follo
ed it1 reaclill1g it n1ay \Vell have beer1 veiled ru1d
circuitous. In orher just as there is a difference between tl1e logical
steps throt1gh ivhich a sc.ienrific argument is presented and tl1e act of scientific
n1a}r have been the res11lt of u.ncol1scious pr.ocesses,, owing
somethitlg to trai11ing, to dis1)ositiot1, to tl1e cu.rrent state of tl1e discipline,
and frequentl)" quite a bit to chance; so t:l1ere is a difference benveen the
coherence ai1d of a completed composition and the composer's
creati\te p:roeesses \vhich depe11d upo11 a, combii1atior1 of tra.illirig, traditio11,.
perso11ality., and, again, plain

In s11ort, tl1e critic attempts to under-

stand not the history of the decisions \vhich resulted in a coinposition, but
tl1e '<logical' ' alternatives presented to the composer gi\
en t he strucn1re of
a particular set of mtisical circurrlStances. He is, to paraphrase Aristotle,
cor1cerned wl1at migl1t be called rl1e poetry of creative cl1oice, not itS
This point is especiall)r rele,,,rant there has of late been a salutary
interest on the part of historians as \;\t ell as theorists ir1 the skercl1es, dr:afts,
and autographs of co111p-0sers-tl1at: is, i11 l1ow they \Vent a'bout writir1g
1nus,ic. An.d \vhile sketches and r1otebooks may rJe rei.
ealing, they should.
not be confrased \Yith. the finished \VOrk.
a Eqt1ally imr>ortant is the fact t.hat
the cl1anges n1ade by con1posers from sl<etches to to finisl1ed '\Vork cru.1
be understood and explair1ed only iii. tl1e ligl1t of some theoretical-c.ritical
"' iewpoint. To and classify the composirio-nal sttlges follo\\red at1d
changes n1ade by Bach or Beerhoven is t:,o describe cl1eir compositional pro-
12 For an acco'trnt of tl1ese aspects of tl1e creative process,, see Arthur Koestler,
T he Creative A ct Dellt 196/ }, P3Xt II ru1d pa-iriculatl )r Grulpt:ers 5-ro.
I thir1k, mistake11 'vhen he disparages the posicivists
accou.nt of scientific
rcasoniI1g a.n.d explatlatlon. He argues cl.1at it misrepresents the nature of tl1e crenti\?e
act. True. Bur the PoSiti\rTh'tS are concerned to understand rl1e sttu.ctur:e of scientific
argtimencs, not the genesis of tl1e insigilts ""'hicl1 led to them.
1a Se:e th.e <liscussior1 at the end of Chapter 3 of the theme of 'the Trio fron"l
Beetho,1en)s i
Material corn dirc1tos autorais
cedures, not to explai11 their compositional tlunking. v\' e can expla:i11 ' vhy
a composer cllanged a passage as he did put sforzando on tl1is note, modi-
fied a n1elody in this way, <.>r altered a. rnodulatory schen1e in a. particular
fashion only if we have a cheory about the nature of niusical relationships.
I should like to close b)r briefly considering the limits .and 11azards of
critical analjrsis. Clearly just as rl1e pu11ish111e11t n1ust according to a famous
Oriental potenrater fit tl1e crime, so an analytic method or theory n1ust be
appropriat e to the style of tl1e co1nposition being studied. It is pointless to
analyze, say, a \Vork by Nlacl1aut or one by Bot1lez it1 te:rn1s of techniqt1es
developed by Heirrrich Scl1e11l{er for tll.e analysis of tonal m11sic. In rl1is
respect critical r11ec:hods .n1tlst be exclusi,,e.
Given t.his important li1nitarion, hovvever, critical analysis should in gen-
eral be as inclt1sive as possible. That is, nil the n1ethods, tl1eories., and t ech-
niques are relevant to a11d illt1minate the co11rposition being
consid.ered sl1ot1Jd be brougi1t to bear. In anal)rzing a Beetl1oven sonata, for
instru1ce, a nt1m.ber of tecl1niques and tl1e-0recical ar e app101Jriate:
conventional harmonic analysis, morivic derivation (judiciol1sly er11ployed),
tl1e 1nethods developed by Scl1er1lcer, tl1eories ha\?ir1g to do witl1 the etl1os
and cha.racter of inusic, and. so 011. lfl hich analytic n1eans are used "'rill de-
pend 11ot o nl)r t1pon wl1at lcii1d .of relaci.011.ship is beir1.g co11sidered, but a.lso
upon the ll:ierarchic le\
el being a11a1yrzed. F'or n1star1c.e, con:\' e11tional har-
monic analysis is ar}propriate to the sn1dy of the lowest le\rel of harn1onic
progression, \\rhile the techniques of Schet1ker are rele,rant to the 1Jnder-
sta:nding of higher levels-the middlegrot111d a1'1d backgrot1 nd.
But no matter ho'\' i11clusi\
e and derailed a c.rirical ar1:al)tSis is, it is

seldon1 exhaW>"tive, and it is 11ever definitive. It is seldo1n exhaustive because
n1ost pieces of serious mt1sic are complex. Conseql1ently it .is aln1ost
p-0ssible to discover relationsl1ips not previously The c,ritical
analysis o.f a particular '\Vorlr is .never defi11itive because the tl1eor}
of rnusic
and tl1ose of related disciplines st1ch as ps1rchology are likely to cha11ge. i\nd
heca,use it is partly depen.dent upon sucl1 t'l1eories, a11al}1tic criticism '\Vill
probably cl1ange too.
Tl1is should not, however, be cause for despair. For thot1gh criticis1n
is x1either exhaustive nor de.fi11itive, it does not folio"'' (an}' more it
does il1 the fields of chemistry or biology t 1)sycl1ology or philosophy) tl1at
\ralid and valuable insights are in1possible-that criticism can explain nothing
Material corn d1roitos autorais
about music our experience of it. On the l1and, the inchoate state
of theory St}rle analysjs, together with t11e need for specially
judgme.nrs it1 the explanation of particular instances (strategies),
make criticisn111ot merely a delicate, 'but a hazardous discipline.
The desire for certitude a11d per111anence is both :deep and a,biding.
Conseqt1ently style an,alysis, chronological studies, and paleography tend to
be 1r1ore attractive to rnost me111bers of the aC'ademic establishment r:l1an
theory, criticism, a.c1d history. For, h1sofar as style a11alysis n1erely d.escribes
and classifies, and l1istory 111erely authenticates or arra11ges data in chrono-
logical order, their observario11s 1nd res:ttlrs ap1Jear to be certain and secure.
They \\rill stan,d. the test of time, except, of course, when ne,vly discovered
info.rrnation n1akes it necessary to revise nor111s or cltronologies-a
possibility which diminishes as the accumulation of data grows. Theories and
criric.-al analysis, on tl1e other hand, are fallible; c. iebatable at1d pro""'.isional;
a,11d so those histories \vl1ich attempt to explain "'
l1y a sel'ies of events
happened as it did. Theories are rejected or revised, are rewritten,
and criticisms are not
Disheartened and perhaps disr11ayed by the speculati,re uncertainties of
tl1eory, criticis111 and
one shoulci ad.d,, history as disrinct frorn chronicle, too
many humanists, 1>articularly those in music, have te11ded to follow t he
well-worn 1)atl1 of safe scl1olaxship. But to choose prospective certainty over
present insight is bol:h 1nistalcen and misguided. It js nristaken be.cause the
search for fuial, definitive a,!Th"\Vers is ar1 lJna:ttaina.ble goal for chose disci1}1:ines
concerned wit,h understanding and explanation. For, since the furure is
open and influential, it can change our understandi11g botl1 of past cotnposi-
tio115 and of past historical eventS. It is misguid.ed-:paradoxically so because
the enduring mo11t11nenrs of scholarship, '\Vhich have shaped inen's 11unds
and beliefs, far from being cautious a11d circun1spect, have been those wl1ich
illuminated a relatio11ship, a work of art, or a past epoch thro.ugh a bold, en-
compassing hypothesis. Thou,gh in all probabiliryt tl1ey will subsequently be
revised, or even rejected, such. \vorks and theories e11dure because they are
exciting and semi11al: they lead to ne'v discoveries and further formulations.,
and thereby continu.e to affect language, rhought, a.11d behavior.
Material corn d1ro1tos autorais
- - I I .
! .
Critical Analysis and Pe ormance:
The Theme o J\1ozart's
A-Major Piano Sonata
Thougl1 tl1e patterning of tonal mtisic '\.vill be the specific concern of
this book, one or general observarioiis need to be made a.t tl1e outset.
The .first is the existence of borl1 sirnilarit)' a11d difference betwee.n

n1usical events is a necessary con<.tition for ptltterning of any sort. Si11ce t}1e
concept of partern ir1cludes rl1e 11otion of regt1larity and ord.e.rliness; pattern-
ing is incon1patible with complete l1eterogeneit)' . \!\That is less obviotis; but
equafly important, is that t<>tal uniformity also tends co patterning.
A note or a harmo11)r repeated without a.n.y change in tiy11amics; dura-
rion, or timbre is not a pattern. Like the ticlcing of a clock it is 11ot dis-
ordered, rather it is unordered. E\ren a motive (\vltlcl1 is its.elf a pattern) 'vill
not, if repeated exactly, creare irnplic-ati\re patterning on the next hierarchic
le,reL What ordering there is will be formal, not processive. Sirnilarly, the
pattern.s produced by con1pletely t111if orn1 changes '\eviJl be tlnstl:tisfactor}r.
For UlSta11ce, cl1rorr1atic and \vf)ole-tone scales or exa.ctly uniform rnelodic
and har moi:tic sequences, thougl1 tl1e)' give rise to \rer}r regular
relationships. es.tablisl1 no points of relative stability and clost1re. The series
of events is so undifferentiated tl1at it is potentia11y e11dless and, in this sense, and aborti,
e. If a repeated e\r.ent is et1tirely formal, tl1e11 a ttni-
f ortn series of changes is exclusi,1ely processi,e (see Chapter IV) . Viable
patterns fall some,vhere benveer1 tl1ese ex:rren1es. They involve t)oth form
and process.
Material corn d1ro1tos autorais
2. 7
In general, the more clearly and co.mpletely stiaped a patter11 is -'the
more patent its order on a. 11umber of hierarchic levels--tl1e more specific
and compellir1g irs irnplicatio11s \;\1i]l be. l \ si11gle tone, for inSta11ce, is not a
patterr1. Eve11 within a particular musical style, it might be followed by
an indefinitely large nu111ber of a]remati\re contit111ations t11a11y of \vl1ich
would to all intents and purposes be equally probable. As, tones are added, relationships established, and other parameters specified, tl1e re-
lational ordering- the pattern-
becor1-ies ap1>arenti a.nd unplicarions are de-
fined. In other wc>r{is, as an event t111folds in time, the prolJal>ility of' some
modes of continuation and closure it1creases relative to others. Delaj1S-di-
gressio11s, extensiorlS, ar1d tl1e like-occur toward tl1e end of patter11s botl1
beca,use they are most effective "'' hen specific goals are in ,rie'\v
an.d be-
cause the clearer and more probable the mode of continua:tio.n, the gre.ater
the need for tl1e heightened it1terest provided by delay .o.r deviation.
arise \vithin a11d are governed by the gramn1ar of a
specific style. In ti1e case of t11e t11t1sic co11sidereci in tl1is b.oolc, the style is
t hat of Western tonal music from about 1650 to, rot1ghly, i910. Jt1st as
literary criticis1n broadl}r spcal<i11g takes the syi1tax of a panieular l.axiguage
for gra11ted, so an understanding of t'he gra.m111ar and sy.t1tax of tonal musjc
is aSSl1med in \Vl1at follows. To do otl1erwise \i\rottld be to attempt an entirely
different task-that of explaining not I)artictllar mu.s:ica] relationships., hut
ho"'r and \vhy tonality For iostai1ce, tl1e relative melodic stabilities of
th.e tonic, fiftb, and third of the scale, as ,:i;,ell as the tendenc}r of ocher tones
to 1nove toward .these in. rnore or less specific \Vays, are 11ot explained.
Familiariry with the syntax of tonal harmony is also talce11 for gr anted-
presun1ing that there is agreement about '\Vluch progressions are stro11gly
implicative and. "\>Vhicl1 are less so, '"'' l1icl1 triads are relatlvelyr stable a11d '\vhicl1
tend to be mobile and on-going, and so on.
I must also assume that the concepts of rhyth111ic strt1cture and S)Tllt'<lX
\vltich Grosvenor \;v. Cooper and I developed are eitl1er u11derstood or can
be grasped, as particular examples are a1ialyz.ed.
In otu book, rhythmic r e-
lationships '\Vere analyzed as patter17ls i11 vvhich a stable a,ccenr and one or more
weak beats \ <
.rere groupe(l together in d.iffere11t '\\rays. Thougl1 the terr11i-
nology of p,rosody \Vas er11ployed
ou.r fL1ntlan1e11tal co11cern v,;as 'V\ricl1 the
nature and basis of t
ernporal patter1ungs seen as the rei\Ult Of the interaction
1 Indeed
entails tlle notion of goa!s-i11-vie:\\>'.
2 See The RJ;1ytl:nnic S tr1.tti1re of 1'\tl1JSic ( Universit)1 of Chicago
Material corn direitos autorais
of all paran1eters of 1nusic- rnelodic, d)rnamic-as '\Vell as dura-
tional relatio11sltips.
Nlore specifically. End-accented groups ia111bs ("' -) and anapests
( v w ._, -are ge11erally spealru1g n1ore stable and closed than eitl1er rni<ld!.e-
accer1ted amphibracl1s (\I - w) or begin11ing-accented ( - ") and
dacrlyls ( - "' .... ) . Like other aspects of tonal 111usic. rhythm is hierarclucally
structured: lo"\rer-Ievel, foregrou11<I patterris combine with one ru1other in
various ways to form more ex:tendec_i rhyti1n1ic groupings. The groltpings
on cl1e several levels are indic:ited by brackets ( ' '1 beneatl1 the accent
and weak beat signs. Overlapping bracl(ets ('
' : ') mean that group
is joined by a pivot. Fi11ally
a rl1yrh1nic e\rent at first understood to be
accented ma)' , in retro.eiipe,ct, tle ti.nder-stood to be mobile .and wealt. 1ne con-
verse of this occttrs, but 011ly infreqt1ently. In the analyses, such changes are
sno\\rn by putting the retrospective function underneath the initial 011e. F'or
instance, tl1e symbol, o - , 1neans that a11 event fuSt considered to l1e ac-
cented is subsequently tl1ought of as being 111obile and 011-goi11g.
Throughout this book n1usical r elationships are characterized as 'bei11g
more or less ' ' probable. '
Since t he terr11 probabilit)r is used i11 a number of
differeut "vays, its mear1ing here sl1ot1Jd be made as clea.i as possible. First
of all, th.e term is not used to refer to mather11atical i1robability, which is
n11n1erically measurable a11d m'\rolves the Of the probability calculus.
N!athe1r1atical probability, as Bert1ar1d R:i.1ssell o bserves, ''l1as to do always
with classes., 11ot l-vith single cases except where t hey can be considered n1erely
as .instances.,,
Nor, 011 t.b.e ocher l1a11d, is implicative subjecti,re.
For there clearly cor1siderable agreement amcng con1petent listeners about
S:t)rliscic Rrobabilit)' = for instance, that in tonal n1elod}' a n'lotion fron1 C to
E '\vill n1ore prabably be foilo,ved by G or D than b)r Ab or B. Ratl1er im-
plicative probability is more lilre \\rhat Rt1ssell calls ''credibility'' ,,. ,,hich '(is
objective in the sense tl1at it is t he degree of crede.11ce t11at a ratio11al mru.1
will give.
' "

in my tern1s, it is t he stren.gtf1 of in1plicatior1 as t1nderstood
by a con11)etent listener.
There is, hov;re,1er, a fortunately it is essentially
theoretical ratf1er tl'ta11 pra,c,tical. lt is that .of tl1e ir1fluet1ce of freql1e11cy
3 Hu111an J(norwledge.: Its Scope <frzd Li111its ( NC\.\' York: Clarion Books, 1948).
p. 343. For tltis .reason, as occ:ed in Chapter l ( p. 7)t sratistical methods appro1>riate
for style ana.l}
sis, bat only indirectly (t hrong+1. che relevance of tyle analysis) for

l bid., p. 343.
Material corn d1ro1tos autorais
upo11 probability esrin1ates. 011 the one hand, the history of music seen1S to
show that a change in the freque11cy \\11th \vhicl1, say, .a partict1lar chord
progression occurs in the literarure of mt1sic does affect the listener's sense of
harn1onic probability. On tl1e other l1ar1c.i> \Ve are not simply products of
Pavlovian conditioning, as an esse11tially statistical th.eory of pattern compre-
hension \vould irnply. Since I have considered this point

let n1e
only restate n1y judgme11t tl1at n11plicative probabilities, thougl1 it1fluenced
by frequency at rin1es, arise out of and are sigr1ificar1tly tl1e result of funda-
n1ental modes of human perception. a11d cognition- dispositions and pro-
clivities having to do "vitl1 the vvays i11 \vl1ich the l111ma11 nervous system
process and patterns 9ense-experien.ce.
In Chapter I, I a.rgued that anal}
s:is is something \Vhicl1 11appe11s when-
ever one attends intelligently to th.e '';r.orld. W11ene'\rer srin1ttli are grot1ped,
ordered, and related into coherent pattertlS a11d processes, analysis has tak ei:1
place. The performance of a piece of music is, therefore, the actualization
of an analytic act-even though st1cl1 analysis ma)r l1a\re been inttticive and
unsjrstematic. For '\\
l1ac a performer does is to make the relationships and
patterns potential in the composer's score clear to the mind and ear of tl1e
expei-ienced listener. C-0n,rersely, as Edward Cone l1as pointed out ''Active
listening is, after a of ,rjcariotIS performance . . . ''
Just as analysis is i111plic:it in what tl1e performer does, so every critical
is a x11ore or less precise indicatio11 of how tl1e work being analyzed
sho1lld be performed. Bj" explaining the processive and formal relatio.nships
of a con1position, analysis suggests ho"'' I)hrases, progressio11S rhythms,. and
structures should be sha.ped and articulated by the performer.
At times such relatio11ships n1ay be equivocal either because the patterning
itself is so or because several different grottpings are implied simt1ltaneously.
In such cases alter11ative a11alyses will be possible. But alterna.tive inter-
pretations, and the performances to vvhich they give rise, Virill 'be comple-
mentary ra,ther than contra<iictory.
In tl1is chapter I hope t-0 show how critical analysis and performance ate
related to o:ne another. Beca,t1se there can be a number of viable interpreta-
tions of a particular con1position and because decisions among them may
M1uic, the Arts a'lzd Ideas ( Chicago: Un.iversit;r Of Chicago P
res.s, 1.967), pp. r9-
201 26o.
e Afu.sical Fort1i and Perfo'Y'1flance ( .ew Yorlr: \;\l. W. No:non, 1968}, p. 11.
Material corn direitos autorais
dei>end upo.n th.e taste, ten1peran1ent, ar1d training of the critic or (he per-
former, perhaps tl'1e best tl1e least y to deal with these
111atters is to consider an interpretacion \vh.ich I tl1ink is defi1utely \.vrong,
a11d to sl10\v "'''hy it is so.
Ir1 tl1e Peters edirio11 of iVl.Oztrrt,s l'i.1110 Sonatas, edireci by Louis Kohler
and Adolf Ruchardt, the Theme of the first n1oven1ent of tl1e A-Major
Sonata is phrased as sho'\vn. i11 Exa1nple 5.
E.xarr1ple 5
According co the n1ost recent autl1oritative etiitiot1 of rhe sonatas, done by
Nathan Nloza.rt pl1rased the Then1e as sho\vn in Exru11ple 6.
' .
Exai:nple 6

. '
In n1y judgment the: phrasing ii1 the Peters edicion. is dovvnrigl1t \vrong. The
question is: -i;.vl1at is witl1 it? What reaso11S can one give for pref erring
l\1ozarc's phrasi11g?
011e n1ight content 011eself by argt1ing from at1tl1oriC)r, saying: t' \ Vell,
Material corn d1ro1tos autorais
that's the -uray the ct>mposer wrote it.' Bu.t such an argument \Vould nor.
us in making phrasing decisions in B.ach.
s music-wt1ere such m.arks are
few ru1d far betwee11. Nor does it tell us wl1y tvlozart's 111arking 1nakes t11usical
sense, 'vhile Kohler's and Ruthard.t's phrasing does 11ot.
At fust blr1sh th,e difference bet\Veen the. t\\
0 versions seems slight. After
a11, che notes,, durations, a11d barmo11ies remain tl1e same. Bt1t tl1e rhythms of

the nvo are .different. Corisider the low-level rl1ytl1n1ic analysis of i\>lourt's
phrasing (Exan1ple 7 A) a11d ir1 the Peters edition (Lxa111ple 7B) .:
Example 7
In N!ozart's version, tl1e lowest level ( i) consists o:f a serie-s of trochees, e..xcept
for the fin;al groi1p "'' hich is pivoted and forms tl con1pound event. The groups
stay v.rithin t:l1e 111easure, as indicated, e\
en on the second rhytl1mic level (2).
The phrasing in t11e Peters Eciition,, 011 the other ha11d .makes the weal{
eighth-notes, pa.rricularly those a.t the end of each measure, function as t1p-
beacs. The unirs are pri111arily jan1bic-tho11gh con1plexJy so. The second
level ( 2) , too, is rather irregular at1d lacl!s S)rrilmetry; particularly, one is in
d.ot1bt abot1t l1ow to g.rc)Lll' tl1e tliree ia.mbs in tl1e rniddle of the phrase.
1-iere a general reservatio11 about Kohler's and Rurhardt,s abet'rant
phrasi11g should be voiced. Its asyrnl'r1etric irregularity seems at odds v\ritl1
the basic simplicity of th.e u1ne :and the har mony. M.oreo,rer, variations are
to be ba.i;ed upon this rl1eme, and sinc.e complexity ''till probably con1e later
in the movement, its propriety is at least doubtft1l i1ere. too, t he
rather strong upbeats of the aberrant version lack refinement and nuance.
Next to the Sl1br]e cool of Moza.rr:'s phrasi11g, they seem blatan.r and gratU-
itoosly emphatic.
Tl1e aherra..nt versio11 '<sounds' ' ob1riot1s becatise in a: sense it is t11ore
Let me explai11. vVhen short and long notes one another,
Material corn d1re1tos autorais
the short notes te11d to be l1eard as upbeats to the longer ones ''' hich f
rather tl1an as "''ea.k afterbeats. For instance, a series of notes of equal dura-
tion in duple meter tend to he heard as trochees:
This effect \Vill be t)articu1arJ.y clea! if a slight stress is placed upon eacl1
main beat. If evenr beat is no"'r shorteneti .relative to its accent, th.e
\\'eak: beats '\\
ill begin to group \i\rith the 11otes \\rhicll ratl1er rl1an \vith
those which precede;
And if these triplets are n11ade into dotted eighths and sixteenths1 the, effect
is e\ren in.ore striking:
For tl1is reason, cl1e eigl1t:h-nores .follo\ving qt1arter-notes in a % meter tend
to ftmctic)n as upbeats (a1u1cruses) .
'"f11is is also the case in T heJ11e. The E at tlle e11d of the firsr
measure a11d the D at tl1e e11d of the second ha\re a te11det1C)' to act as llp-
beats. Th.e same is trt1e of rl1e be.ats on A and B in tl'le third n1easure.
The a111biguity of the E-the i1ossibility of he:aru1g it either as the 'veal<
beat Of a trocliee { J 1' ) or as the tip. beat of a11 .ianlb ( j ,!J ,J:, )-is
, .. ;*I ,. - ...
easily tested. For instance, if rhe E at the e11cl of n1easure .1 is follo\.\
ed b''
conjt1nct n1otio11, as it1 Example 8, then the final eigl1tb-11ote of the 1neasure
is perceived as an unequivo-cal an9crus:is. Pitch proxi n1ity allows tl1e potential
mobility of the final eightl1-nore ro be acrt1a1ized. Notice that
' . _ ,,
,,-:-- "' f w " ...
25 [ ""9.'1.
l"c 1 11___ - Wi _ L
Example 8
relationships ac1d harmony a,re tl1e san1e as it1 Mozart's Theme. Tl1e eigl1th-
aote E in .i\tlozarr's Tl1eme acrs as che 'veak part of a trochee .rather than as an
Material corn d1re1tos autorais

upbear because pitch disjunction (the skip of a fourth) tends to prevent
r hythmic grouping across t:he barline and because the seq\1ential repetition of
tl1e inelodic patter11 in measiu:e 2 1nakes it clear tl1at t11e first measure is a
separat:e, integral musical event.
The poceuria1 mobility of tl1e last eighth.-11ote of 1neasure 1 is also
sl1-0\vn in the fact that its function is easily i11flucnced by ptior org11nization.
Thus if the theme is made to begin with an upbeat, E, as in Example 9, tl1en
the Eat the end of measure 1 and the D at the e11d of measure 1 '\.Vill tend
to group witl1 the notes ''' hicl1 f t hen1, as ao.acrt1ses.. This ic; the case
because 011ce a particular 01ode of organization., such as a rhythmic grouping,
is esr;ablished, it tends to be continued 11s a of patter1ung until c-0unce.r-
vailing e,1ents take place. A11d for this reason, the V\
eak beats in measure 3
(of Example 9) \vere also probably felt to be anacruses.
\ \a?::: ,--:-t V :r-'1"' . ._, W"'"'- -- : t
.,._v , .. .__ f
Ji _g __ J S
Exa:r11ple 9
But an e'\ren more modest change '\vill show that the E at the end. of
measure .1 is a. potential upbeat. For if the D in the first
measure, and t.l1e C# in the second, deleted"' as in Example 1 o, the groups
tend to be heard as e11d-accented-as ia111bic. Obsen
e th.a.t thot1gh these
sixteenth-notes seen1 to be me.rely decorative, they perform an important

Material corn d1re1tos autorais
n1osical function. Conseque11tly conscie11tiot1s a11alysis vvill consider each
noce and duration as well as every 11uanc.e of d.y11an1ics and phrasing to be
syntactically significant l111less shown to be ocl1erwise.
The D is crucial becatise it ma1<es the first group it1to
.a. closed trocl1e:ev- t11at is, it pre ents the weak eigl1tl1-nore Ci frotn acting as
an upbeat to the E. t\1..ore speci.ficall}r: tl1e sixtee11rl1-11ote not onl.Y linlcs tl1e
t\-VO C#'s as changing note, but because of its brevit)r, it functions as a
'kind of low-level upbeat; as a resr:ut, the follo"'ritig eighth-11ote is perceived
as th.e end, rather than as rt1e beginning, of a g1oup. Let me jJJumare this
poi11t a sin11)le-nut1lied exanlple.
Because it is qt1ire uniforrn ari.d 1egular, the rt1ne in E.xa:tnple. 11 ca:n
be grou11ed in different \.vays. Ir can be perforrned as a d:iccyrl, as in 11A, as
- illf""
- .
- .... - .. . - "- - .. -. - w. . _..,, " -
1 .... 21 Iii ----' 1 , , ,
C. R""""'h--.&,
.it, .... , t, 7 ... ..,-, - -
D. -,;.."'d..u..
Exa111ple 1 i
an anapest ( i 1B), or as a.11 a111pl1ibracl1 ( 1 i C). V\' hat cha1iges in case is
the way in vvhich ihe '\rea:k beats are grouped '\vit:h the. acce11t. But if the
first note is dotted the secotlti is ma.(le into a si.-xteentl1 (as in Exarr1ple
r 1 D) i then tl1e final '\>veal{ beat is tied to the preceding accent and can11ot
function as an anacrusis.
Now tl1is is ,pre.cisely \Vl'l.}lt the sixteenth-note, D, in i\ilozart's Theme
do-es: it prevents the follovving weak bear, tl1e C# f1'\om f as an
anacrusis to the E. Once this trocl'iaic grotlping is established- and reinforced
in the second meast1re- it acts as 111odel for subseque11t grot1ps u11til
,meast1re 4. As indicated in Example 7A, tlle \Veale third beat (the tvlO si"ii-
ree11tl1s) i11 n1easure 4 acrs as a pivot li11l{it1g tl1e t\\' O C#,s. Tl1e sixteenths heard \\-
ith tl1c preceding quarter-note Cl because of the previotlSl}'
established trochaic, an.d the)' act as t1pbeat to tl'ie follovvin.g
both because rl1ey are frorrt the prece,ding by a skip and be-
tt1ey n-1ove to the second C$ by more rapid, conjunct n1ocion. vVere tl1e
phrasing of the Peters edition, sho\vn i11 Exarnp.le 7B follo\ved, no pivoting
Material corn d1roitos autorais
""'ould take place because the pre\riousiy established iambic pattertt, far from
li111ring the and E of n1east1re. 4, \VOuld separate them. The result, as \Ve
will see, \VOuld be an asymn1etrical, plU11Se strucrt1re.
Like the a11teced:e11t phrase, the consequent begins 'vith crocl1aic groups.
Bur, as indicate,d in Example I 2, the organization is modified in 01easure 7.
TI1e eighth-note B serves as a pivot linking A an.d C#, so that it is al1n0.St an
upbeat- thougl1 an internal or1e. T he finru eigl1t-note, D,, is a
2 2
1t ._
' .
- . -
- .,,,.
,- ; I
v rl
a z

,_, _,
_.. t :"
- -1CJ- """ -- --

strong, una1nbiguous anacrtISis. anacrustic ft1nctio11 is einphasized by the
skip i 11 the base f rotil A do,vn to the D \Vhicl1 pre,ce,des the conjunct motion
across t:he barline, by the t11icl{ening of t,he chord sonority, and, above
all, by tl1e sforzando '\cvhicl1 the weak bear bears. l11deed,, the sf orza.ndo
marking makes sense because it 111al{es clear that tlle fi11al eightl1-r1ote of the
% tneasure has at last b:ecome an upbe:at.
T his perhaps needs some clarification. It is often thot1ght that d:ynamic
111aikings-sforzttndo', forte-pimzo, crescetzdo, and the act
to define the character and mood of a composition. S1rrely they do so. But
they have an even more important syt1tactic f11nctio11;. they serve to articu-
late and sl1ape patter11s a.r1d formal st1-uctures. Whe;n it comes 011 a weak
beat, as it does u1 n1easw:e 7 of l\iiozart's The1ne a sf arzando serves as a role
to malce it clear that the "irea.k beat is an anacrusis.
For le, in the
In mcetered ro.nal music,. a sforzando does 11ot as a rr1le make a. weal{ beat into
au accent'ed one. The added stress serves ro :lrticulsce a grouping, t)ut does not change
the 1'l'letric functions of the bears. W'l'len a: sforzemdo co1lles on an accent, :it ofter1 malces
the accent funcrior1 as th: e begirutir\g of a r l1)rtl1111ic pnttern at1d ties sub-sequent weak
beats t0 the accent. This is ' vhat the sfo1':Uflzdi in meastlres r :r and 12 of l\11ozan's
T hct11e do {see Exan:iple 17). These a.tld r11atters l1aving to do with the articu-
Jn.cion. of rhyth11uc patterns are (iisc11ssed in Grosvenor vV. Cooper and Leonard
B. \1'.eyci-, T he Rliytl:J-mic Str1J.ctzire of iW11sic ( Cl1.icago: Urliversity of Cl1icago P:ress
Chapters I-111.
Material corn d1re1tos autorais
D Afl&yo

. r;r
. . .
"' .
. .. r
' .
'' r-=tt= ' ' - . . .
' If If - I

- a.

:t f
.,, : ' 'f
1 I .- .., ""
i'.l : ' ,-. .

. , ....


, r
Material corn dirc1tos autorais
f0:urth tnovemenr of Beedlo,ren's Fifth Sympho11y, the a11acrustic grou,pings
are to a considerable degree depe11dent t1pon the series of sforzandi (Example
1 3). Observing, incidencl.y, t hat orchestration too. helps to make the syntactic
patt:errung clear.
Recurnin,g to i\tlozart's The1ne: the decisive upbeat at tl1e end of measure
7 is the realization of a potential ' vhich "''as latent, but not actualized, in the
preceding \veak beats, When it finally arrives, tl1e clear 311acrt1sis is experi-
enced as a kind of achieveme11t-a psychic satisfaction. Were the groupings
unambiguously anacrustic fr<>n1 the out.Set, as c.-alled for by the p.hrasing in
the Peters edition, the emphatic upbeat at the end of ineasure 7 '\vould be
anticlimactic, a11d tl1e sf orza1zdo \c\hich enforces it would be red\111da11t- \vith-
out syn.tactic significance. T l1ese rer11arks suggest that the perfortner n:1ust.
take considera.ble care not to the \\' eak beats i11 the first six n1easures-. -
either by d)rnamic or by sligbtl}r lengthe11ing then-1. For if he does
so, t h.ey will tend t o he perceived as actual, rather than potential, upbeats.
If the E. at tl1e e11d o.f the first measure is understood as a potential up-
beat, then the interval fro111 E ro B across tlie barline mt1st l>e an tinrealized
perfect fourth. That is,, if the structure of t h.e first two rhytl11nic le\rels is
trochaic,. then (as sho'\.vn in the analysis in E.xan1ple 14) the melodic motion
witltl11 each "'rill be heard as a rising third, and t he. r11ocion between
measures ,vifl be a conjunct d.esce11c fro1n C# to A,. Co11sequently the
Exn.111ple 14
fourths .. from E to B and from D to A-are 'llOt perceived as active syntactic
connections. The relationship is potential. l e rernains to be actualrred.
I-Iowever, not u11til the first variation are che fo1ml1s hear,d as synta.ccically
explicit events. T!:Jere they bec-0me aural a<..'tualicies. A.nd wl1en they do so,
the upbeats latent in the first ro.east1res of the theme are also actuali1..ed. Once
again the phrasing in the Peters edition tnisconstr11es and distorts the musical
tnea.ning of the tl1erne. The fourtl1 relationslup 1nust be kept potential in the
Theme if its a.cmaliza,tion in the first \rariation is to be interesting and signifi-
cant (Example 15) .
Material corn d1roitos autorais
EXPl.1\INlNG i\-1.USIC
------ If, lllli
These observations call to i11ore ge11eral at1d perliaps n1ore seri-
ous shortco111ing of the aberra11t f)hrasi11g. Namely) to e111pha:size the connec-
tion betvveen \veak eighth-ot)tes an.d the aocenterl qt1arrer-notes, \vhicl1 folio\"',
is to direct perception to low-level, foreground events at tl1e expense of
h1gher-1e,,el sm1c.'tural relacior1ships. Thus. if the E is heard as directl)r
coni1ected to the B, the importance of the laiger lllotions fro.n1 Ctt to B to A,
011 accents and from E to D to C# on weak beats tends to be obscured. This
differen.ce is indicated, perhaps ir1 a sotne\vl1at exaggerated way, i11 the
a11al)"Ses u1 Ex11n1ple 16 .. Note
incidentally, tl1at the structural irnpor'ta11ce of
... 16
the C# and tl1e B i11 111ea.sure 4 is the result not 011ly of their harrnonizatior1
as a ! : ; semicade11ce, but also llf the fact that the primary melodic line
(Cl-B-A) and the secondary rr1el(>dic line (E-D) co11\r,erge on these pitches.
T l1e structure of Nlozart's T her11e, tl1ot1g.l1 h.ierarcluc..-ally c-0n1plex, is at
the same time exceptionally clear, at least when ,perf orrr1ed as Nloza:rt pl1rased
it. This scrucrure is sho,,rn i11 E.x3n1ple 17, I 11 rneasures r and 2 rhe rhythmic
groups ire as "ve i1ave trochaic on rl1e first t-vvo le,
els. On the third
Material corn d1re1tos autorais
f r 0
a , -
1 I 5

,_....,...., . M
J... ..J! __.,..._ _ -

J j ..
J l Jlf,
_. I I - .-
t . . , ,. , . *''' Mr ,pM,; . P'", ... _k+ , . ac, ,.,,,,-y, ..,.,.,)', - t
:-- V r' *- "< f' \,Jr' >fr ; I \ u- '111 rt , _,.... "c'
' + '91' -1
:a,11:S7 & ''
z I
FF 7 I
..L_ ll -_ ..... . _-.. <"-_-__________________ _, ,
TJt ._ .;:ill LY a 3 kl a 5il&F
I 1P I
# ...
-------':.-------, - - ; _ '
m" m
#i I ' J
& m' ,,,, , .. .. .. . ,_.. - ..... .. ... - .
_r, .._ __ """' 1 2 \ ;i J ---- ._ .... _
. f

't tr'' ,,, cVY, ,'ft 13 v, t!! t.'"' __ ,, Mfr t
.t\m, ('; ..... I' ;er v -. s1's 1 '" )( 1' >' - T....... , -\;,\,_;:i)m11( ... _ ......
j. l"" __ .:._, _____ .....:==-=7 5_ =- :.,_--Ji '
2 ' -
zj _' '
{J y
I 2
, -. .. , rt
I \ ) "- - l
- -

2 I _
level, measure 1 is ir1itially heard as accented, bur is u11d-erstood as being
weak "vhen grouped in retrospect '"'ith t he seco11d .measure. T'hac is, botl1
measures function as anacn1stic events leading to measures 3 and + 1nus
the organrt.ation of the 'vhole antecedent phrase as indicated over E.'i:am-
ple 17,

or, i11 eightl\-11ote values, 6+6+ xz . Such patterns, wl1ose pro-

portioos are 1 + I +z,. are ca.lied bar-for111s. Notice that measures 3 and 4 are
Material corn d1ro1tos autorais
a mi1tlarure version of this lru1d o.f structure. The first crocl'\ee of rneasure
3 whi.cl1 is on. A, is inlti:ally hearcl as accer1recl; ic con1bi11es the follo,v-
ing trochee on B, and bot1h .ft1nction as a11acn1ses to 4 is a
single pivoted grot1p. In other words, the t\\10 halves <)f measl1re 3 (p ancl p')
are to ineasure 4 (q) , as tl1e first t\''70 meast1res (m a11d m') ar e ro tl1e third
and fourth measures (n) . Nleasures 3 and 4 are a bar-form with tl1e propor-
tio1is 3+3 + 6.
If this elegant parallelism of strl1cture is to be projected in perforn1ance,
the prevailing rhychn1 n1ust be trochaic. If it is iambic, ineasure 4 \:vill fail to
f.orm a single pivoted grot1p, and the bar-f or111 it1 1ne:asl1res 3 and 4 vviJt be
obsc11red. Tl1is is what happens \vhen the Tl1en1e is played as Kohler and
Ruthardt phrased it. Tl1e l1ierarcl1ic organization of tl1e phrase, as \.\tell
as its formal pai1111elis1n, is destroyed-as eiU1 be seen by cor111Jaring a dia-
gram of Mozart's groupings
m(6) - m'(6) n(12)
p( 3 }-p' ( 3) -q ( 6)
with the aberrant one (Exarnple 1 8}:
f &EU ;d
+ 3 +3+3 +
E.x.nmple 18
Like the antecedent pl'rrase,. the coriseque11t is also a bar-forn1, 111-n1' -n', on
level 3 .. But no miniature ba:r-forrn arises in measures 7 and 8,. \Vas th:e case
i11 1neasures J ai1d 4, because at tl1is point tl1e pre,vale11t oocllaic rl1ytlun is
decisively broken, and the upbeat grouping, potential in the preceding
m.easures., is acruali:z.:ed.
TI1e influence of tempo and d.y11amics must be considered in any dis-
ctissio11 of perforrnance. T err1po is ge11erally tl1ougl1c to be i1111Jortat1t be-
cause it alf ecrs tl1e cl1aracter a11d nlood of the music. A fas"t tempo is gay
or energetic, a slow one i.c; sad or cor1te111plativc. Tl'1e perforn1er prest1ma.bly
ser1ses the ethos of a co:t11posirioo a11d then decides upon an appropriat e
tempo. Though this seems circt1lar-for cl1aractet is n1ade depe11den,t upo11
tempo and choice of ten11)0 u.pon i111agined cl1aracter-there is no: do11bt
Material corn d1ro1tos autorais
someching to it. But tempo and dyna.rnics (including foregrot1nd accentua-
tion) are e\<e11 n1ore important .of tl1e subtle influe11ce tl1ey may have
on phrasing On cl1e syntactic sense and f orn1aJ Structure of the composi-
tion projected in performance. Mozart's Theme provides an almost ideal
illustration of this .interaction bet\.\reen ten1po and dynamics, on tl1e one
and phrasi11g on tl1e otJ1er.
I 11ave argued that l\t1ozart's Then1e should be performed in. such a way
that the groups are basically trochaic- that is, \vith patter:ns beginning on
the accent and ending or1 tl1e \veak. beat. Yet tl1ey .must be equivocally so.
The tendency for \veak bears to i)ecome upbeats must be a felt potential-
tmtil the D in measure 7, an t1nequivocal anacrusis marking the end. of the
antecedent-consequent phrase.
If tl1e rempo is too fast, the \\
eak bears 'vill be strongly tied to the ac-
cents which preciede them, an.d vtrill, as a result, not be felt as potential up-
beats. This is the case becat1se, speaking, tl1e faster tl1e tempo; the
er the tende11cy to emphasize metric accencs-rl1at is, to play downbea.ts
lol1der tl1an \>Veak beats. And stress on ac.cents tends to create unambiguously rh,ytl1111ic groups. On the other hand, if the tempo is too
the \veak cigJ1tl1-notes Vlill alt11ost certairtly be perc.eived as upbeats.
This is so because, thougl1 is mostly ... a matter of relative durari.on,
absolute dtiracio11 ca11 aJs-0 be influential. As the absolute amot1r1t of t1me
bet,veen the sou11ding .of an accented quan:er-11ote and unaccented
note t he tenden(.., 7 of the eighth-note to function as an anacrusis
It is possible, 110,,rever, to play tl-1e theme quite slo\\rl)' , yet still phrase
it correctly. To do so, great care nrust he talceI1 in the articulation of dy-
namics. Tl1e weak beats n1ust recei,re 110 stress. For just as the sf orza1zdo on
the D in measure 7 emphasized its upbeat cltaracter, so even a slight stress
011 an equivocal weak beat will ten.d to n1al<e it fu11ction as an anacrusis.
Nor should tl1e duration of tl1e firutl eigl1th-11ote be lengtl1ened. !l ather its
duration should, if' anything, be cut slightly, creating a tin;r break between
meast1res. These modes of projecting crochaic groups are somewhat crudely
indic."ated in Exan1ple 19.

Example 19
Material corn dirc1tos autorais
There is also a danger, if the te111po is too slo'\\r, cl1at i11 order to project rhe
correct groups \r1Jdt1e stress "\ivill be placed. ot1 tl1e begi11r1i11g of each
witl1 tl1e ,result the rhe111e 'vill see1n too obvious and assertive.
In short, tl1ougl1

Therr1e is synraccically sirnple ar1ci strucrurally

clear, a good 1>erforn1ance reqt1ires great cor1trol a11d i11ter1>retative
finesse. Tempo and dyr1amics 1nust so com1)leme11t one a11other that a deli-
cate ar11bigtJ it)r of rhyrhm is felt by tl1e lister1er. l\11d all tl1is is lost, if the
phrasing in the Peters edition is follo1'ved.
If a slovv 'te1npo te11ds to prodt1ce iarnbic groupings, tl1en performer
pl1rasing as in the Peters edition might play the Theme n)ore slo,vly rha11 one;
follo\,1ing n1arki11gs. Tl1e hypotllesis is difficult to .confirm directly
because is no 'vay of lcnowing \vhich piaJusts, if any., use this edition
i11 performa11ce. Bt1t tl1e 11ypotl1e.sis ca11 be checl<ed i11directly. For this kind
of pfrrasing appears in a work based upon Nioza.rt's Theme. As Enlmpie 20
sh-0\vs, Kohler at1d Rut hardtts phrasli1g is \rery sinillar to that ' ' ' hich Max
R.eger uses in his and Fugue on a, Theme of iozart .
. c: ,c:


. . -
, ...

., . .
' .
. J
,. ' """"
: l -- :: -- ; ,_ ...::::. ...

- -
- . '

I - ,,

' -i .

. .
. .,

' . '

' .

::::::- .0 -
:s -<::::'..

---.. --


!hf' 'f
Example 20
Indeed, tl1e Pe'ters edition i1Luasing may be talcen fror11 Reger a rhought
\vrucl1 suggests the desirability of usitl.g' primary sources. The only record-
u1g of this \vork I 11ave been able to find is by Edt1ard van Beinun1 conduet-
ing the Amsterdam Or.chestra. Despite the 111etronome mark-
ing in the score, rhe perforn1ar1ce tempo i., ;. = 28!
Loolring at Reger's f)hrasir1g, I lvondcred -vvh)'" an excelle11t 111usicia.n-
an.d Ileger was that, \Vhate,1er you n1ay tl1in1{ of his compositions----sl1ould
have made wha.t I considered to be an unn1t1sica.l mistake. Or u
as T perhaps
"'rrong? Then I had one of tl1ose happy ''insp.irations
' for 'vhich one<S
the Goddes.I) Fortut1a. I recalled that tl1e great GertIL'111 11111sicologist, Ht1go
Material corn direitos autorais
Riemarm, had a. t heor y that all music vlas essentially anacrustic--e,ren tholxgh
the upbeats n1ight be suppressed. I checked for a {)l)SSible connection, a11d
there in old, reliable Groive' s Dicrio1za1::;f, I learned '' . . . in 1890 young
Reger 'vent to [Rie1narul] as a pi1pil, following 'him the next year to Wies-
baden and soon becomi11g a teacher in the same conservatoire as his master!, s
But the gifts of Goddesses gen.eraily have tl1eir price-tl1eir onco1nfo.rtable
side-as this did for m'e.. For tl1e m,oral of tlie story of Reger's aberrant
phrasing ' vould seem to be: ''Cultivate a taste for speculative theory, but
season it \V.ith a of saline sl<epcicisn1. ,.
GrO'Ve's Dictioturry of A1z1sic and Mrisicimzs, Filch Edition. Eric Blom ed. (New
York: St. l\
1arcin's Press. r954) , Vol. I\T, p. 34().
Material corn d1re1tos autorais
.... _..---
Con ormant Relationships
1 .
By conf orma11t relationsl'lips I mean simply those in which one (more
or less) identifiable, discrere musical event is relatecl. to anot l1er such ei.renr
by sin:1ilarity. Consider, for instance, tl1e follovving f(>lli; tut1e (Example 2 1).

-*' .. _- *'
JU!J a -

' ' '
't,.. -'f f .,..,, \I I
j -- "JM :'
Exa1np1e 21
The first measure forms a clearly ide11tifia'ble n1otive or e.ve11t (rn), 't\
is t"l1ytl1mically" closed and inter\raJlicaJly coher ent.
The second meaS\1re
(m') repeats this 1noci...,Te at a lovver pitcl1 level. T l1e conforma11t relat:io11-

the e\.re11ts is u11111istal{able becat1se t \VO of rl1e patter11-

f or ming para1neters-pircJ1 and rltytltn1- form a of similar eve11ts
a11cl because fe\V ott1er paran1eters (for instance, timbre, dynat11ics,
register, etc.) are varied. i\iieasure 4 ( tiY') is related to tn easure t, but less
patent])' so. For i11 this case rhythm conforms, bt1t pitch does not- except
for the f iilCt that tl1e first 11ote, G, is the same. The last t\Vo quarter-notes of
1 hst is. both r1ores ca11 be u11dersroo,d as belonging to a single harn1on}'
Material corn dirc1tos autorais
n1easure 7 and the first beats of n1easure 8 are also related to the opening
motive by conformance (m''') .. This time, though pitch relationships are
identical,. rhythm is \raried. For e'\ren though the durational relationships
are the s:nne- JJ J-t.he no'v have an ariacrustic function,. as
indicated in the analysis under tl1e example.
T hat measures 5--8 are a varied repetition of r- 4, and .m:ea-
sures r 3- 16 an repetition of measures 5- 8, is '\vorth 11ocing because
it calls att:ention to two facrs of some importance. First; it indicates. that,
like many other musical relationships, conforn'lant ones are .oftet1 hierarchi-
cally structured. Tl1at is, not 01uy n1ay lo,v-le\rel ever1tS like motives be related
through conformance, b11t the1nes a11d sections may be so too, Indeed,
strophic forms, such as a theme and variations, depe11d for their coherence
primarily upon tf1e per:eeption of Conf om1ant relatiotiships.
Secondly, it should be observed that though measures 13- 16 are an
cxaccio11 repecitio11 of 5-8 frcJ1rl a s.trx,1,ctural point of view, they are quite
different from a functional poi1zt of v-iew. Because they come after a less
stable section (111arked B in ri1e exa111ple), tl1ey 11ow function to pr-01note
closure- they constitute an arrival and at the Sarne time a return. This
change can easily be tested b)' playir1g O\rer tl1e first half of t11e tune. No mat-
ter how often it is played it \vill 11ot end-even 'thoug'h the notes of A' are
literally the same as those of A''- unless the 1niddle part of th.e rune pre-
cedes A''.
Not a.II conforn1anr relationhips are 11s obvious as tl1ose tl1us far 11-ien-
tioned. For instance, measures 10 and. 12 of the folk tut1e 1night be analyzed
as varied retrogrades of measur,es 2 and I respectively, the interval of
a tl1ird filled in. But tl1e .relationsllip, if percei,,ed at all, is subli1ninal: we are
not really a'\V" of it. Tl1eir latent si111ila.ri'ty is tnas1<ed by n.ianifest d.iffer-
ences. Not only is their direction .reversed (risil1g rather than falling), but
t heir identity as separable motives is wealcened because they are parts of
larger events begun by tl1e repeated notes \.\rhich precede them. Even more
important, their function is changed. The opening motives (n1 and m') are
experie11ced as part of a stable Stat e111enti 'vhile their (' retrogrades'' {m' and
mn) are understood as p.arts <Jf less stable grot1ps which lead us back to the
Finally, thi-s co11forma:nt relatio:nship is attenuated because the retro-
grades are separated in time from the motives tl1ey may be said to vary. Had variant follo\\ed its r11odel mocive imn1ediately (as sho,vn in E.u.mple
12A), rl1e relationship wottld ha\
e been apparent.
Material corn d1re1tos autorais
Exa111ple 21
Notice, 110,ve,rer, that r1ot l'1as rhe functio.n of the retrogrades (mr atld
1nll") changed---tl1ey are no"'' part of th.e relatively stable portion of the
tu11e-bu.t so have the morphological lengtl1s out of "vl1ich the rune is con-
str11cted. For though it can be Sl1bclivided, the first cott1plete e\rent is no"'"
nvo measures long-and so, .of course, is tile second eve11t. This change in
1norphological length is sl10,vn by the fact that in compariso11. \vith. rl1e first
four n1easures of Exan1ple 2 r, these four meas tires seem incomplete-not
even a pluase. More music is required: as illustrated ir1 part B of Example
21, ttt least fottr n1easures are needed for the phrase to reach closure.
Our a'\va.re11ess of co1uormance depends tIDt 011ly upon the i)roxmnty
bet\veen tl1e varia1Jt a11d its n1odel, but also, as suggested earlier, upon tl1e
d.egree of sinulacigr between theni. That is, t:he more all the pararnerers arc
dt1plicated in model a:nd varianti the stronger the conforn1a11t relatio11Ship.
This .is specially the case '\Vith the prirnary pattern-forn1i11g f>arameters of
pitcl1, dr1racion, and ha.ikmony. For instance, a motive can be changed in
register, d_ynamics, ten11:>0, and in.)t:ru111entatiot1 a11d still be recognizabl)r th.e
same. But if rirne a.11d. pircl1 relatiOt'I?hips sigr1ificantly altered., eicl1er se1)-
arately or together, conformant relationships tend ro be n1asked. To tal{e an
unco1np1icated exan1ple: tl1ougl1 ti1e final tTto'(rerrient of .1ozart's ,Clarinet
Qt1inret (.Exrunple 2 3B) begin.c;' ith rile same n1elodic {2 3B
) and e\ren rl1yrh-
mic structure as the folk tune \Ve h.ave l)eerJ discussing, the conforn1a11t rela-
cio115hips between measures 1 and 2 of the worlc are less patent than
I '
i . '-' --==:.,_,_, __ --''

Material corn d1roitos autorais
those of the .folk tune simpl}' because the first nvo beats .of the second mea-
sure are varied.
Or perhaps not so ''simply.'' For the morion to the F' not only somewhat
disguises the n1otivic repetition, b1rt it creates implications not present in the
basic descending step-motion com.n1on to both tunes. As indicated in part A
of Example 2 3, the motion from D to F# as part .of a triad implies tl'le pos-
sibility of the .high ;.. A,.. as a goal.
At least parrly for tlus re:ason., the middle
p-m of 1Vlozart's Tben1e (Ex. 19B) ex1)loits tl1e upper pe:rfect founl1 of the
A-octave (en1phasiilng G#)-as '\Vell as the lower perfect fiftl1-and the melo-
dy closes on a high A in n1easure 16, while tl1e folk t11ne is bou11d, so to speak
ro the lower fiftl1. Had tl1e 111ocivic re1)eticion been disguised as sho\vn in
Exarnple 2 3C, we \Vould ha,,e bee11 more aware of t11e confor1nru1t relation-
ship between the first t'\VO measures-not only becat1se 1n.otive and varia11t
are more .alike, but also bec..--ause no alternative implications \VOt1.ld have
drawn our atte11rion a'\vay f ron1 the similarity benvee11 tl1e r11easures. And
had the motive been varied as in 2 3C, tl1e higl1 A \vhicl1 closes rl-1e first part
of the melody would have been less. '
ca!Jed for' ' a11d .migl1t ha:\re come as a
sligl1t surprise.
Often secondary SllCh as dynamics, register, and
help to disguise w.hat might other'vvise ha\
e been a rather obvious
mant relationship. This occms, for u1stance, at the beginning of the exposi-
tion section cJf the :first moven1ent of I-Iayd11
s ''Surpriseti Syinphonjr. The
melodic-temporal pattern Of measure 20 is con.tinued in some'\vbat \raried
form in measures 1 1 and 22. This. can be seen fron1 tl1e anal)' sls over Ex-
ample 24. But this similarity is virtu.all}r masked by the abrupt change in
dynamics, o.rcheStntion, regisrert ar1d low-level ornamental motion (i.e.,
the sixteenth-notes), and, most important of ill, tJ1e ct1a11ge in rhythmic

2 Fo.r a disc-ussion of ee Part II of this book. 111 the a1lal)rses, an arrow
is used as a sign of implication. \ }1e11 the irnpJied event is separated fro111 the generat-
ing pattern. the arrow is brols:en: generating patte.r11 > goal.
Material corn d1roitos autorais
One of the reasons f o.r this c'maskjng effect>' is, l suspect, t hat the similarit)'
between events is not merely one of syntax and fo1m, bt1t one of character-
of ethos .... in this example, the lyrical-playful character of t he first mea-
sures is so different from the assertive cl1aracter of later that \-ve are
only partially a'vare of their n1ori\
ic similarity.
In addition to temporal proximity a.nd si11UJarity of structure and char-
acter, our perception of conformanr relationships depends upo11 t he in.di-
vi.duality of the model event. Other things being equal, the inore striking
its 111elodic, rhythmic, or harmonic profile, the n1.ore it v\ri.ll be recog-
11ized when varied and in diverse ,co11texts. T he phrase ''other clungs being
e.qual,, mustt ho\.vever, be uiker1 seriotlSly. Fl)r we cai1 I}erceive conforn1a11t
rela,tionships only if \Ve ca.n reo1en1ber the model to wluch sttbsequenr e'vents
are t o be relat ed. And to a extent 111e1nory rnt1sical, linguistic,
or other-depends upon the presence of a. constant and co11Sistent syntax
and of 1elacively regular l)atterns vvhicl1 often become the basis for arcl1e-
typal schen1a.ra. The linear descer1ding t11otior1 of falling t hirds tl1e t11otion
which begins both the folk nine and i\1101,.an's theme-is l)oth simple and
regular. But in neither of these is t lle scl1e111a give1'1 a particularly
individual profile.
E.ssencially the same sche111a, though in the nlinor l11ode, is useti as the
motto "'hic}1 opens Beethoven's Fifth Sympho11y. There. howe,rer, tb.e
famot1s upbeat rl1ythn1 gives t he pattern a very strilcing i det1ticy (Exan1-
ple 25A).
.. /&""' .. """"""' 1'1 . -
' . .
t : rr_ _ wd' -, - .,. __ - _ __, ---
- . /411cyo

Example 25
As the mlISic unfolds, \\
e hear t he n1otto t1n.dergo a myriad of trarlSf orxna-
cions. It acts as tl1e basis for t11e r ema.ir1der of rhe first ther11e group (Ex-
a1nple 15B), leads to the secood key area \:vl1ich. it (Example
Material corn dirc1tos autorais
15C), and then acts as an acco,mpaniment motive for the lyrical portion of
the second theme. In rhe first mo,rement it is ubiq,wr.ous: in the rl1eme
groups, the develop111ent secrio11, and the codas. The special rhythm and
repeated notes of the motto ar:e so vivid that there is no doubt about its
recu.rrence in the Scherzo (Exarr1ple 25D)-tl1ough Beethove11 is careful
to mark the return by prece.ding it \vitl1 a ritarda1ido, a.nd a ferniata. Nor is
there a.ny difficulty in recognizing the reperirion of the Scherzo-version of
the motto when it occurs just before the recapitulation in the Finale of the
The preceding disct:LSb'ion might be sun,marized in a formula such as:
regularity' of individuality similarity of
Strength of pattet""n (sc11e1nata.) of profile patterning_
pe,rceiv"!d conformance = variety of i11tervening temporal distance
events bet\veen eventS
In other \vords., the gre-ater .the variety of intervening events and. the greater
the separation in time between t\VO comparable events, rhe more pat,ent the
shape of the model must be if ~ conf orn1ant relatio11Sl1ip is to be perceived.
Or, to put the matter the "''a)r around: the more regular and in.di-
vidua] tl1e patt er11 (and, of course, t he n1ore alilce ,events are in interval,
rhythm, etc.); the greater can be the ten1poral separation bet'\veen model
and variar1t and the greater the \rariery of interve11i11g 1nocives, ' vith the con-
formant relationship still recognizable, Perhaps it is partly for this reaso,n
that, as symphonic movements tend to gro\V in scoi)e and length du.ring the
1nneteenth cenn1ry, tl1ere is a tende11cy for con1posers to inve.ot
motive.5 and melodies tvhlch f ulfill these conditions.
As we listen to c:l1e :first 01ove1n.enr of Beetl:i: oven's Fiftli: Symphony, the
varied repetitions--the 511ccessive modifications of the motto are heard,
generally speaking, as a more or less co11ci11n;ous proc,ess of transf ormarion.
'When the varied version of the motto oc<..'Urs in tl1.e Scherto .and the Final e,
however, it is heard not as having '<gradually evolved." from immediately
preceding eve11ts (as was, f.or instance, the case with t'be beginning of the
secon.d tl1en1e in the first inoveme11t), but as a retur11 to somerl1ing
w.hich had h-een stated earlier. There is, in, other words, an imporw1t dis-
ti11ction 'between repetition and ret11/Nz, and there is n related distinction be-
tween processive and formal cot1fo.rmant relationships.
Returns of a motive or tl1eme al1nost always serve to articulate struc-
tural units-emphasizing points of departure or of arrival This is perha;ps
Material corn direitos autorais
their most signlficant function-and i11 works of any con1plexiry it is an
one. Thoi1gh contribt1tes co the impression of unity 'vhen
it er11phasizes closure, neitl1er t1nity n.or closure depet1d upo11 the f)resence
of 1eturn. vVere the rerurn of n1elodic patter1ung a co11dition fo.r
l.tnity and closttte, tliere could be i10 rn'o-part melodies st1ch the one
shown in Ex:a111ple 2 6
Is ' Y
' ' .
not to mention councless Bach chorales, many classic1l rl1e111es, and ''God
Save tl1e Queen.'' I11 rounded bi11ary structures BA: ) lil{e the foll<
tune in Ex.arnple 21, .return is a,ry cot1ditio11 for closlue, bt1t TlOt a
sufficient one. Thar ir is nor a sufficient condition can be seen by repeati11g
phrase A. instead of J, Aa.', after the B section of the tt1ne. Tl1at return a
necessary condition for in such tu.nes is indicated by tl1e fact that,
despite their similarities, it \\rill not do to taclc t}1e final phrase of the Mozart
tl1en1e on to tl1e B sectio11 of the folk tu11e -as is done iI1 Example 2 7.
' '
. ,
Ex.arnple :c 7
The result is incongruous partlyr because, a.5 11oted in. co1mection ''rirh the
discussio11 of tb.e f\4oza.rt, that t l1eme 1'1as implications '\vl1ich shot1ld have
been actualized in tlte B porcio11. Partly. l1o"''ever, the feeling of distortion
arises because experience leads tlS to expect: the relative u1stability of
tl1e B phrase \Vill be follo\ved by ti1e repose of tt1e We aie prepared
for r1ot for 110\1elty. It .is as though \ Ve took a trip a11di on
rett1rning home, discovered. tl1ar a l1ew house has been bt1ilt vvl1ere Ottrs had
fo1rr1erly stood.
R.epetition, as disti11guisl1ed f ro..i:n return, gives rise botl1 to forn1al a11d
co processive confor111a.nt: relacior1slups. It does so becallSe of the natt1re of
luerarchic srrucntres. To see ho"v repetition vvorlcs, let us begin "'Tith \.vha.r
Material corn d1roitos autorais
at seems to be a rather str1111ge iror1y: the alike rno successive
eve11ts, the more articulated-each appears to be.
The .first two measures of Mozart;s then1e are related, 1tS 've have seen, by
co11for111ar1ce (Example zSA) . Th.eir articulatio11 as discr:ete entities is clear,
but it would have been more marked lud tl1e seco11d beei1 an exact: repeti-
tion of the :first (Exan1ple 2.SB). The re.. 11Son for this difference is that in
Mozart's theme the first nvo n1easures in,rol\re a mel<tclic motion downward.
from E to D ( a11d f ron1 to B), this 1noti.on creates a higher-le,, el pat-
tern, rhe .first a11d second measures to for1n a trocl1aic rl1y1'h1n 011
level 3 (see rhe analysis under Example 2.8A). But in Example iSB no com-
bi1ill1g process creates a higher-1e\
el pattern. The first n1easu1e is initially
understood as accented. Bt1t wher1 the. second n1easure proves to be an exa.ct
repetition, tl1e first is retrospecti,rely thot1ght of as being Both mea-
sures now seem dire.cted to,;vard son1e larger goal "'' hicl1 vvill a.ct as an orga-
nizi11g accent 011 a higher le.vel. The differe11ce sequential and exact
repeticion can be h)' eliminating tl1e rhythms ,\,.hich articulate
A c. D
' .. Wt= w [' ,; .. ,,,,, . Md I -
- 7 -cl... w t \ _,,., .. -, "-\,!111."' v" ,- -Yi ,?....
- - -;
\-- St SF , .... -' so ""' _Cl'._ __ ..__..,_'i,..,,+
.'\'.ample z 8
lower-le,-rer structure (Rxi1r11ples 28C anti. D) .. Now tl1e beat i11 'the
sequential version ( 2 8C, level 2) becon1es a latent up-beat-as indicated by
the inverted brackets in the analysis. 'No such latency is pr'esent, ho, vever,
in E.Yample 28D: each n1easure is a distinct, separate e\rent.
Three points n.eed to be niade in connection "''ith this part of our dic;-
cussion of repetition,. The first is that thot1gh repetitio11 n1ay be ex.act f,rom
a f or1nal i1oint of view, it is ne,1er so psychologically- for the obvious rea-
son that bei1lg a repetition in itSelf qualifies changes the event which is
reiterated. And it is a curious fact tl1at i1nmediate repetition tends to empha-
size the differences bet\ve,en events, ""rhile remote is, re-
tu.rn-te11ds to .call attention to their si111ilarities. The second point is that the
more exact t he repetition of a.11 e\1enr is, the n1ore strongly we e>..rpect change
-we feel that further repetition is unlikely. Yet this statement clearly re-
quires qualificarjon.; .and tins bri1igs us: to th.e ttli.rd point. T11e implicative
eff'ect of repetition -depends conrext. For u1sta11ce, if a reiterated pat-
Material corn direitos autorais
ter11 is understood to be pa1r of an ostin.aro or of a ground basst '"'e do not
necessaril}r expect change. repetition in a coda or of a cadential
figure repeated as an echo, has quite a differ,enc e:ff ect from repetition vvhich
is understood to he part of sotnc on-going })rocess.
An)' parameter-melody, rl1ythm, harmony, rext11re, timbre, or dy-
namics- n1ay co:11tribt1te to tl1e articulation of rnusical structure. In Exan1-
ple 24, for instance, an abrupt change in dynamics, tin1bre, register, and
rhytl1m marks tl1e 'begiru1i11g of cl1e second F)art of rhe first tl1e1ne group.
And closurCr created b)r some co111bination of parameters, can articulate
structure in the absence of repecitior1. Tl'le er1d of the conse<1t1ent pl1rase in
the Mozart t heme (Exampie 19) is vet) clear, even though it is not foilo"ved
Ne,rertheless, one of the n1ost effective of empl1a.sizing
that an event is ended, is to begin it again. Re:petitio11 ca.n arcict1late
relationships not orlly st1cl1 as that bet\veen tl1c antecede11t at1d conseqt1ent
phrase in Exampl:e 29 but also on higher levels of structure.
F o-r instance, the O\rer-all strt1ctt1re of a theme a11d variatio1lS is as a rule
decisivel}r articulated rl.ot only because the tl1eme and each of the variations
are t1sually closed slLapes, but because tl1e element .of repetition is so pro-
nounce.d. A11d w!1en con1posers sot1ghtt as chey did d.uring the nit1etee11tl1
century, to make tl1eir variation n10\l' e.r11el1ts n1ore proccssi,
e (at1d less ft>r-
mal) in character, tl1ey tended ro mask the existence of repetition.
It is perhaps partJy because repetition serves as a cue that a preceding part
ended, that transitions from the first to tl1e second then1e grot1ps in n1ove-
ments in sonata form often begi11 with a repetition of tl1e melodic
rnaterial. Ha.ydn;s ' 'Clock'' S1f'mphon)? begins

the tu11e quoted in Ex-

arnple 30A. After sorr1e twenty-five nleasr1res, a strong cade11ce on tl1e domi-
11ant is foll o"''ed by a slightlyr varied repetitio11 of the opening tune (Ex.an1-
ple 30B). T l1e repetition, together with tl1e } clost1re a11d tl1e cliange
This suggests that, generally speaking., the more decisive the pa1"t!.01etric cloSltte,
the the need for repetition i1.1 the defin.itio11 of
Material corn d1re1tos autorais
in orchestration, d;rnamics, and texture indicate tha:r a major section of the
. .. l d d "b ..
exposroon 1S comp ete . an a part is eginrung.
, .

:t JI'

Exa111ple 30
Observe that in this case Haydn does 11ot, as lie son1ecimes l<:eep us in
doubt about the fu11ction of the repetition. The new harn1onization (\T of
II to n, ratl1er t:han I ro IV) 'iivith its emp.hasis on th.e minor mode and the
n1elodic modincarion (C instead of D it1 111e<as\u:e 50) are understood as signs
that this is probably the begiruting of tl1e bridge passage, not a real repetition
of the opening theme:'
On tl1e hierarchic level where repetition is immediate, it tends to sep-
arate events. Bur on the next levei.- vi.lhere similar events are grouped to-
gether as part of some larger t1nit-r:epetition ter1ds to create cohere11ce. This
is parcicttlarly the case when similar events are part of an in1plic-arive, goal-
directe<l motion. Tht1s in hiiozart's tl1eme (Example 29) m and n1", though
formal elements \.Vith respect to 011e ai1otl1er, tu-e processive with respect to
the "vhole antecedent phrase, A, Sinuiarly, A. and A' are related. to one a11-
other in both. a formal and a processive In ocher v'\'Ords, relationships
which are formal o.n one level tend to become processive on another .lev'el-
usually t:he next higl1er 011es.
Processi,re conform.ant relationships, Sl1ch as t hose descril1ed in connec-
tion '..vith the first movement of Beetl1ove11
s Fifrl1 symphon}r (pp. 48-49)
also play a significa11t role in the perception of musical structure. By ''lead-
ing>' the listener's eat and 1nind througl1 a series of gradual modifications,
4 Sornetin1es Hayd11 will, however, use this S)rt of sign in a deceptive '"
'\vill sig1ial that l1e is. going to 1r1od.ulate, only to bring t:is back ro the tonic and the
opc:tling tl1eme. See, for instance, the of t.he '
Jvfilitat)' ., S}"mphony, in '\>vhich
a.t measi1re 10 a Shift to the submediant (VI) suggests that the transition is beginning,
b:ut no real change of key occurs, and the first the.n1e is repeated at .measure 42.
It would, I believe:, be ITIOSt re\varding to analybe the procedures of the ciassiw
period as a. ''syst.em of signs."
6 This aspect 0 111usical relationsl1ips: is discussed in Chapter lV.
Material corn d1roitos autorais
the successive of a i11o ti\1e contributes to-but does n-ot in
itself create-a sense of cor1ci11uity and col1ere11ce. 0 11ce agai11 ar1 ir1terest-
ing paradox is u1vo1,,,ed: the existet1ce of inoti ic constanC)' of aried repe-
tition-allows t11e lisr,ener to arter1d to higher-level processes. Becau.t)e lo-xv-
Jevel eve11ts are regtilar ar1d persiSt:e11t> tl1ey c.u1 be, if i1oc ignored,
ar Least 111ore or less taken for gr.anted, so that atte11tion can be directed to
tl1e larger patterning of the n1usical str11ctt1re-ro long-range harn1oxuc, me-
lodic, and rhytl'u11ic reiatio11sl1ips. 'f o use an analogy from visual experience:
the relative consta11cy of size and shape of the sto11es it1 a lnosaic facilitate
Ollr perception of its o er-all ,pattern.
Tlris perhaps explains in fJart \\' h)r bridge a11d developn1e11t
secti-011s i11 so11aca-for1n rnoven1enrs tencl to be n1oti\rically stab]e: morivic
constancy allo\VS the liste11er to focus upon and con1prehend tl1e har11lonic
and textl:tral processes v\rhich are ce11r:ral. One car1 n1odul,1te \Viti1ot1t repeit-
ing motives, bu.t tlien the n1ind has to cope \\rith much more simultaneous
information ar1d attention tc11ds to be di,rerted fro1n the larger sm1ctures
ordering musical events. T l-1 e motivic const111cy of classical development
sections .is 1zot, as some l1ave suggestedt t.he result of th.e Ct)n1poser's desire
ro ''exl1aust" his materials-to prese11t au rl1e perrnutations a11d. con1binations
l1e can discover. For t his is seldom done. (Any third-rate con1poser can in-
vent trariancs on the first theme of, sn,y, Beethoven's Eighth Syn1phon}r,
\Vhich Beethove11 never uses.) mocivic co11srancy is used because it
for the perceptio11 of larger processes, an1.i becatise the use of pt1rt of
a previously established i,,vl1ole (a n1oti,1e caken from a theme) is

of t .he .renirn of tl1e total patteri1.
These obser,racions ca11 be state,d in more ge11eral f orrn: tl1e greater the
am.ount of ctW1ge- in both rate tind degree-i11 one parat11eter, rt1,e sn1aller
n1ust be the ch.anges in othe.r parameters if pattern.U1g is to be perceived. If
all 1)arameters are varied sin1ulta11eously and indeper1dently of ori.e anotl1er,
cl1e result is not necessarily a more complex and interesting bt1t of ten
none at all-a confused t1odgepodge of sounds. Ti1e amOltnt of silnultaneous
variation possible also depends t1porl the nan1re of the patcerr1s themselves;
tl1e more pacer1tly stn1ctured and arcl1etypal 011e aspect of a, f)1ltten1 (for in-
stance, its melodic sl1ape) , the ot.l1er para111eters (e.g.. rl1ytl11n, har-
1nonyt etc. ) c:t1n be varied \Vitl1ou.t destroying che Of cot1for-
Because rl1e ar11ot1nt of i:t1foro1acion '\>vhicl1 tl\e llu111an. rr1it1d can com-
prehend at one time is li111itecl, ri1e n1ore information <)ne para1ueter c'lrries
Material corn dirc1tos autorais
th.e 1nore redundant others be if musical relationships are t<> l)e per-
ceived. Tllis proposition evidently a1)plies to n1usical styles as "vell as ro
indi\ridual Compositions. For instance, a highly cornplex ar1d su.btle 1nelodic-
rhythmic style, like that of the music of soutl1 I11dia, generally nu11i1nizes
(or does witl1011t) co111plex luir1nonic processes st1cl1 as ha,re characterized
Western music since the Re11aissance. Even more modest style differences
may be distinguishecl, in _part, it1 tern1s of which pa.ra1ncters tet1d to be varied
m-0st. Compare,. for instai:1ce, the begi11nmg of two funeral marcl1es
(Example 3 r ) . In the first, fron1 Beetho,ren's Third Syn1pho11y, l1igh degree
of melodic-rhythmic variety is coupled :l1ar1non.ic -01tly one
change of ham1ony in fol1r T;he second phrase, from Schun1am1's
Piano Quintet in Eb, '\Vor1{s tl1e other '\\
a.y arour1d: 111ininl..'l.l n1elodic-rl1yth-
mic is accompanied by considerable harmonic change._seven changes
ii1 four 1neasurcs ..
I - . - - - ii!!!! ... - .. - - .. 911!: -
R-can1 pl e 3 1
This discussion suggests one reaso11 then1acic ttansforination
came an impt)rta.nt concern o.f nineteenth-century c<>mposers: Liszt, Schu ..
nla11n, Brahms, Franck, and Strauss- to nam.e but a .few. l\t1otivic
co11st'ancy "'as r1eces.sary if t!-1e expressive possibilities of instn1me11cal timbre,
register, and foreground harmonic color 'vere to tJ-e realized. On higher
levels, an increase in the scope and 1apidity of l1annonic change could be
Material corn direitos autorais
effective only if n1elodic cl1a11ge empl1asized co11ti11uity ratl1er tl11tn contrast.
Bur this is only part of tl'1e
As so often in hist:ot')r, a particular rrer1cl or pr.oclivity is tl1e resttlt of
a conc:atenacion of causes. Another ret1Sot1 for the prevalence of tl1ematic
transformation \Vas that the ideal of persona.!, disrincrive self-expression
(coupled with a tend.e11c31 to \Vrite 1011ger rnoverr1ents) led to the invencio.n tise of individ.ualized and cl1aracteristic tl1emes and motives. Because the
singularit}" of sucl1 materials would have been ioco11grt1ous \\rltl1 co11vel1-, transitional a11d pass-age-\vork figures st1cl1 as scales a11d brol<en. chords
( lvhicl1 the eighreentl1 century with its less exotic themes could et11plo;r),
the themes themselves tra11Sfor1ned so tl1at they bec11n1e part of bridge
passages, subsidiary tl1emes, and the like.
These i11t1sicaJ tendencies were nllftured by the intellectual climat e of
the period.
A cornple.x amalgan1 of interrelated, but sometimes incom1)atible,
ideas flotirished in nineteenth-century culture. A r1u1J1ber of tl1ese becarne
associated, f or111ally a11d i1if orn1ally, witl1 aesthetic notions: historical neces-
sity was associated 'virh tl1e idea of inevitability (internal i1ecessit)r) as a
criterion for art; W(lle.ctical '\iVith the concept of sonata f orn1 as
then1acic conflict and ultimate synthesis; biological germination at1d evolu-
tion, with t11e desirability of motivic transforrnation a11d co11t:ll1uous ml:lSical
developme11t. The follo\ving quota:tions frorn Liszt's '(Berlioz and His
tHarold' Syr11pl1011;T'> suggest 110\V pervasi\re these ideas vvere.
Art, like natttre, is made tlp of grad2H1l trttnsitions, "'' hicf1 li11k to.getl1er
the remotest classe:s and tl1e mosr dissi111ilar species. (852, iralics 11une)
111 i1an1re, Lr\ the huma11 soul, a11d it1 art, t he extren1es, opposites, and.
high points (>ne to a11otl1er b)r a conti11uous series of various
varieties of beiT1g. ( 5z )
Arr., lil{e nature, '\Veds related. or cot1rradicto11r .fo.rrns. (852)
[A.rt] is impelled r:o'\vard an unpredicted and u11predictable fintd goal
i11 pe7pett-tnl t:ransfor?1-u1ti<>1zs. ( 854, ira.lics rru11e)
6 The fact, rioted by Gerald Abraham, tfle.t nit1et:eentl\ Cet1tt1r y corr1posers. tinlilre
eigl1tee11tl1-century ones, '\ literary n1en n11d ofren belonged co rl1e
is of signal importance for rhe hisrory of recent ' iVestern nrosic. See A Hif.11dred :I" ears
of JW:usic (CE:Ucago: A1dine Pttblisfring, 1964), p. 2of.
1 TJ1e e..'l:ce.1,1)ts taken from Olive:r Strunk, So'l1:ree Readings it1 1\t!11sic History
(Ne'IV York: V\
'1\!. Norton, r950) ; page nttrnber-s are given in parentl1eses after each

Material corn d1re1tos autorais
The poetic solutio11 Of i11strumental music contained in tbe progran1
seems co us ra.ther o.11e of the various steps for,,rard \vhich the art bas
still to take, a necessary result of the developnzem of our ti?ne. (859;
italics mine)
The particular point or argument in\.
ol''ed in these statements is n-ot impor-
tant. vVhat is crucial is that tl1e ge11eral conceptual frarne'\v.ork must at the.
very least have influenced Liszt's u11conscions attin1de toward his art. An.d
it is difficult, in vie\v of th:eir pre\ralence, ro doubt that tl1ese ideas affected
other composers also ..
During tl1e nineteenth century, formal conf,rn1ant
ways vitaJ in the artict11a.tion of n1t1sical :form-beca1ne increasingly impor.-
m11t in the minds of com.posers. Here Beethoven
s infiu.ence \Vas strongly
felt-particularly the exan1ple of tl1e Ninth Sympl1ony. Formal confor-
rr1a11ce was extended in order to relate n1ovementS to one another. Be.rlic>Z.'s
invention of the dee fixe, the cyclic pti.nciple employed by Francl<, D'Indy,
Fatu:e, and other French composers, and the use of tl1emari.c reminiscen.ce
in the inusic of Scl1uniann
Brahms, and Brt1clcner are all instances of this
tendency. Wagner's case .is some"'' hat 'his use of processi\
e con-
formance is obvious, but tl1e ''ren1r11' ' of leitmotifs throngl1out the Rffl.g,
tho11gh a.rcicularing strncrure to sorne extent, is also used to refer to ideas or
characters in the narrative Of the operas.
The preoccupatio11 conformant rela.tionships- as " ' ell as
processive-contint1ed into the nve:ntieth cen,tury. It is clear in the '\-Vork
of tonal and nontonal composers alike. Bartolcs Sixth String Quartet may
serve as an example. But the ultimate and ''logical'' consequence of tl1e con-
cern wir.h con.formance is f ot111d in the twelve-tone method of composition,
wh.ere the total pitcl1 structure is derived fro111 a si.t1gle twelve-tone .row.
Initially, in the music of Schon.berg and Berg, the row e,rave rise to botl1
and formal conformant relationships. But subsequently, in the
music of Webern and his follo,vers, processive conforn1ance became less
and less in1p-0rtant: empl-iasis was placed upon inte.rvallic reCl1rrence rather
tl1:a11 1notivic resernl'>lar1ce. Formal conformance the nonproce.ssive order-
ing of rows, subsets of an.d their presentacio11 in variot1s permutations
and combinations-has become the chief o.f recent serialism. That
this mode of musical understat1din.g is essentiall)' formal, rather than proces*
si''e, is ii1dic-ated 'by the analyses made by serial co1np<>sers of one anotl1ers'
music. It tends to be in tern1s of row not in terms of function,
implication, and sy11tactic strucmre that these \Vorks are discussed.
Material corn direitos autorais
A nun1ber of reasons for the increased use l) f f<>rrnal conformance be-
nve.en 111ovements. suggest ther11sel\res. Fro .. m a n:rusical-perceptual poir1t of
view, as multimovement works (particularly sy111phonies) gre'\v in size and
cornplexity; it became both increasingly importar1t a11d increasingly" diffi-
cult to reme111ber tl1e basic tl1en1atic ideas. Tl"Le return of a pattern, bet\
moven1ents as well as vvithi n them, both reduces the n11n1ber o.f different
ideas to be ren1embered ar1d rei11forces tl1e rnemor),. of those pre-
In the area of cul.rural histor}r the conceptual n<>tions mencioned above influential: the prevale11ce of ideas of in11er di,'llecticai con-
flict, and resolution, and t l1e germi11acio11 of a, large worlc from a single
rnorivic celJ irl c,t lcind Of miniatttre evoltition. St1cl1 gern1ination, it \Vas
thought, would not onl)
create audible btl't '''Ol1ld a11 but guar-
ar1ree musical t1nity. This ,,,a.s an importa11t conce.rn because tl1e diversity
of then1es in a mt1lti-moven1ent worl{ seemed so:nrieho'v ai.:bitrary (as Of)pose(i
to necessary) arid u11ordered (as opposed to lawful). As intellectuals un-
prepared p,assi,rely to accept tradition, these composers found it difficult ro
'(explai11'' \.Vha.t see111ed to tJ1em a lack of cot1erence ttnd elegance. The \7iev\r-
poinr of many of composers is n1ade clear it1 the follo,ving statenJents
of \Vebern, '\.Vho was ideologicall)r, if nor co111posicionally, a ninetee11th-
century thinker.
These lectures are it\tendecl to shovv the path that has led to this music,
and ro n1ak.e jr clear tf:1at it liaa to h(f!Ue this 11nt:t/.ral or.1-t ca17'le. (3J, italics
:Ntuch later I discovered d1at all this \ Vas a pnrt of the necessary dervelop-
tnent. ( 51., itaHcs mine)
AU tl1ese fugues are based on one single th.eme, "vhicl1 is consta1ztly tra1'J.S-
f omted (34. italics mit1e)
T o develop everything else f1on1 one prir1ciple idea! That's the stror1gest
tinit)' . . . ( 3 5)
Co1nposers cried to create unity .in the acco1npac1.i1nec\t, t,o \i;1orl! rl1etnar-
icall)r, to derive everythir1g from or1e chi11g, and so to produce the
tigl1test- 11iax.iu111-t111ity. Ar1d no"v ever ytlung is clerived f ron1 this
chosen .successior1, of t\velve and. thematic tech11ic.1\.1e "vorks as
before, on tJliS basis. Bt1c- the great advaru;:age is tf1at I car1 t reat the-
a Anto.r1 \:\', T IJe Pa:tiJ to tiJe Ne'll.1 .Nl tuic (Bnrt1 Ma'''r, Pa. : Theodore
Pl:iesse.r, 1963 }; page r1ur.nbers give11 ii:1 parenthese.i; nfrer each <:Jtlot.ition.
Material corn d1roitos autorais
matic teclu1ique n1uc}1 more freely. For it11it:l is co'.f11pletel.y <!1-ZSU'fed .by
the miderJy.i1tg series. (40, italics mi11e)
Recogn.izi11g the presence of confonnant relationslups in music, the-
o.rists becat11e intereste.d i11 the te,clmique and significance of thematic trans-
forniacior1. Notable among tl1ese \vas Rudolph Reci, \vhose book. T/Je
T/:>e'l11atic Process in seeks to demo11stra:te that in rhe worl{s of t11e
'' all thematic ideas are deri\red from a si11gle gernlinal motive and,
fu.rther, cliat the succession of transf orn1acions is a process '\vlucl1 imparts
mea11i11g and unit)r to Vl1l()le co111p-0sitions as "veil as to single n1ovementS.
I shall discuss one of Reti's anal}
ses not only in order to i11dicate son1e of
the pr,oblems .and pitfalls faciJ.1g this sore of er1tcrprise, but because this 'vill
lead to a consideration of a nt1n1ber of ftrndamental iss1.1es-n1ethoclological
theoretical, and pi1ilosophical.
There is, I think,, no qu.escion that the 01)et1mg pluase of Brahms'.s Sec-
ond Symphony (Exan1ple 32, r11easures 1- 5) presents n1otives which
co11cint1ally varied and ttansformed througl1out tl1e movet11ent-and are
even used i11 other rnoven1ents of the 'vork. This is specially true of the
neigllbor-note (D-CJ-D) figure of the first meast1re '\\
hich I shall call tlie
,,. .
. !
. -
Example J.2
9 (r ew York: Macmillan, 1951 ) .
Material corn d1roitos autorais
' ' n1otto.
Anil 11ndoubtedly tl1e cornposer consciously v.rrought t l1e relation-
ships. Reci, hO\\rever, '\vants to do more contend that Brahn1s used con-
formant relationships to create co,J1erence; ir is l1is conviction that every
important theme in the first ffi()Ve111ent is derived f1on1 the openi11g n1easures.
Reti begins by atternpring t o perSl1ade tls tl1at tl1e second tune of tl1e
first ke)r area (Example 32, measu.res 44f.) fu11criotlS as a litlk or comn1on
ter111 uniting rhe opening phrases and the 1 }rrical melod)' \Vhich begir1s the
second group (Exan1ple J.6) . That rl1e opening n1easures lead to the second
tune cannot be disputed. This is a11 t1nequivocal instance of processive con-
fon11a11ce. \Ve. /,ear the of the n.eighbor-11ote figure and .e<>11-
nect its varied staten1ent in n1easures 42- 43 1'vith the ne'v th.e1l1e (m. 44.)
b.ecause of ten1poral proxi1nity and pitcl1 ic.iencity.
Howevet, doubts 'begin to arise Vll1en Reti asl{s us to agree tl1at rnea-
sures 50 and s r of the nevv n1ne (Example 3 3B, 1T1oti\1e c') are fron1
the end of the first phrase of the openi11g the1ne 3 3 A, n1otive c).
Leaving aside the fact that the first (c) phr.ase does 11o t end 011 D as Reti's
an.alysis suggests, but continues to an A (see Exani.ple 31, 111easure 5 or its
transposed equivalent in Exan1p1e 33C), the rhythmic-melodic ft1nctions of
tr1e tones are significantly different in each phiase.
\z -1
Exa1tlple 3 3 (after Reti1 p. So)
In the opening phrase tl1e first D (r11easure 3) is a weak beat, while tl1e sec-
ond (in 1neaStire 5) is accented; u1 tl1e second tune juSt the opposite is r.he
case .. A.nd the rh}rtl1mic position of the E is sitnilarl)r altered. l\1.orcover, in
the opening phr-ase the Fjt: (meaSl1re 4} is a changing-note to the first
rn.easure by inversion) "vitt1our tnarked mel<:>dJc direction,; but in the second

tune it is strongly directedt botl1 because ir is prece(le<l by a gap and beca\-ise
, . .
1r 1s an appoggiat:ura.
The second nine of t:l1e first l<e;r arC<a, gradually varied so that its rela-
Material corn dirc1tos autorais
cionship to the opening n1otto becomes eve:o more apparent (Example 3 4 ~
forms the basis for t}le transitio11 to tl1e lyric 111elody \vhich begins the second
lcejr area .. Again the processive COt1form.ant relationship is at1dibly clear.
t "'

' : I '
Exa.mple 34
But it does not f ollovv f ro1n th.e processi\re cl1aracte.r of the transition
this lyrical melody (the second rl1en1e) is related to an;rtl1i11g wlucl1 has gorie
Reti p.resencs an e.'l:ample wlucl1 ostensibly shows the relationship he-
rnree11 the second theme an.d the second tune of the first gi:oup (Exam pie 3 5):
Exarnple 3 5 (after Reti, p. 8-0}
and he comn1ents; {'This mt1st strilce t1s most forcibly . . . The composer
states his firs.t theme, '\\rruc11 is followed by an intermediary theme that re-
iterates the substance of the first. But t l1is interr11ediary tl1err1e is in tum, and
at the same time, a foreteller of the seco11d rlteme . .. If we single qut certain
tl1Je first tbeTne co1rzes to tJ;e fore; if we single out others, the second
the7ne appears.''
10 Ibid., pp. 80-81.
Material corn d1re1tos autorais
Rather tl1an striking r11e ' '111osr f orcibl)' ," it strikes 11:1.e .as being sorne-
what fo.rced. To begin wirl1, Reri (lid not pick the melod)' of t he second
theme which is played. by the celli (Exarr1p1e 36), but ratl1er the parallel

line pla;red by cl1e violas .a tl1ird belo':\' the cell i. Tl1e reaso11 for this is, I
suspect, rl1at llad he used the melody irself, no '11alf-sce11 rnocion
could ha\re been extracted, \Vith tl1e result rc1at tl1e si'n1ilarit)r bet,;veen the
begitu1:it1g of tl1e second tune arid that of the seconci tl1en1e \Ould l1a,re
seemed eve11 111ore te11l1oi1s. Bt1t even as it stands, ti1e st1ggestion of similarity
is t111cor1vit1cing 'becatise t11e tonal-melodic f:i.111crions of the co111pared pitches
is so differe11t. Fo1 insrancei tl1e of tl1e seco11d tu11e (35B) is tl1e fiftl1 of a
triad, "'' t1ile chat of the se.cor1d therne is tl1e rhird- anci in this respect Reti
wot11d have been better off with tl1e cello \rersion of tt'le cl1en1e, for it begins
on tl1e fiftl1. The 'vhich perforrr1s an in1porta11t rnelodic fu11ction ii1 tl1e
second tune of the :first group (leadi11g the 111elodic lit1e dovvr1 tl1rot1gh Fl to
E a.11d D) is an t1ni1nportant passing tone in the versio11 of tl1e second theme
presented by Reti. Fir1aily, as }1 did \:\1itl1 rl1e er1d of the n1otive (see
Exatnple 3 3), Reti sin11)ly leaves ot1t i;; seems incompatible v;rith his
argurnent-for exan1ple, thot1gh. the last r\ of tl1e second t11ne (35B) is a
sta'ble structural to11e, the A at the e11<i of l1is \
ersion of the second th.eme
is not: ir is an unStable appoggiatura Uihich n1<>'les co G,# and tlletl to G and
My resenations about Reti's analyses a1e both methodological and
theoretical. ivlethodologically, if one can picl< and choose-selectir1g those
' 'oices or pitcl1es wllich St1pport one's i1ypothesis, a11d disregru-di11g those
\vhich do 11ot (the srnall 11otes i11 lleci
s )-then almost ar1y rnelodyl'
cru:1 be related to any ot her i.;\
1 l1er \Vithir1 or 'bec\vee11 worl{S. In Tovey's
\vords: tof a.11 the pastimes of n1usical a11al)rsis, tl1e easiest is tl1e ide11rify1ng
it Tr1ere is, ho\.\
ever, at1 e.xplicit cor111eccion bet\voo11 th.e transition secrion and
the beg.i1mic1g of the second l<ey area, not on.e of rnain n1elodic btlt of accom-
pat1u11enc figures. The chordal pattern in tl1e fi1"St and second. violi11s \vhich begir1s i11
1neasure 67 is the sa111e as t hac \1rluch accompanies the the111e in iTieasures 82 ac1d 83
( Example 14.).
Material corn d1re1tos autorais
of melodic :figures. An t1ncontrolled in'"1ag.ination- that is to say, an uniinagi-
ve 111ind <Can pursLte this to resttlts as fantastic as any Baoonian cipher,
and composers themselves may be misled l)y it."
The qt1estion, as Tovey s11ggests, is one of control . . of methodological
rigor. Wl1en the ev e11ts being relaced are corr1pared as t/';ey are 1zotated-with-
out abstracting <i11y pitclies-the question of 111etl1odological co11Sistency
does not as a rule arise. The degree of sirrularity

e ents can be as-

certained by loolcing at the .paran1eters (le:fi1lli1g eiicl1 Of tl1e ru1d
perl1aps using an ad /)oc forr11ula such as suggested e.arlier to esri1nate the
srrength of conforr11ance. P'.roblenlS arise \\hen tl1e demo11stra.tio11 of co11-
formru1ce depends upon a11alycic selectiol1- pic1cing some out of a.n
eve11t, while ignorit1g others.
I do not inte11d to suggest rl1i1t anal ycic se1ectio11 is \:.vrong. Quite tl1e
contrary. Bec-a\1s.e n111.Sic is l'lierarchic, so111e tones are ornan1ental in .relacio11
CO others on a particular st:rlICtural le\rel. vVl1e11 hlgl1er-level structural tones
are distinguished f ro:m ,on1arnental ones, conf or111ant relacio.rJShips not at
first glance apparent may be reveal.ed. In a mod.est \Vay tllis \Vas done in
cot1nection \vtth Exa1n.ples 24 and 2 8. And ' vithot1t <.fisto1tion, rl1e beginnings
of the second t11ne of rhe first ke)' area and the second cherne inay be ruialyzed
as ornainented prolongations of A and C# respectively (see Exar111)le 37).
The prolongations are followed by a slcip of a fourth, after '\vhich both
m.elodies descend in step\vise fashio.n-thot1gll, as noted earlier, tlle)r l1a\1e
diff ere11t }}()ints of closure.
\\That is needed is a set of rules, l10\;\1ever informal, for distin.guishlng
structural from ornamental tones in an. objective and consistent \\
ay. Every
critic \Vho \\.
ants ro illumir1ate tl1e larger struc,rure of a con1position-the
rela.tionsh.ip and interacrio11 a11101ig foreground., niiddlegrot1nti, and bacl<-
12 Donald F .. Tovey l .i\ll1tsica:l T ext-tlres ( Lo11don: Oxford University Press, I 941),
P 48.
Material corn d1re1tos autorais
ground- 111ust face this problem. lt co11fro11ts tl1e followcrs of Schenker,
and "'rill pL1g11e n1e later ii1 this book. Bl1t eve11 if a reaso11able set .of r1.1les
were devised, arbitrary selectio11 \\1ould not be con1pletely precluded .. For,
as argt1ed i11 Chaf)ter It a gttp 11ecessaril y exists betv\1eet1 a11y generi1l set of
rules a.nd their application to particular inStances. Consequently judgm.ent
a11d self-criticisn1 111ust re111ai11 tl1e lllcimate controls. t11en1, there
is a strong te1nptation to allow favored h. potheses to influence a11al}rtiC
This temptation is one to which, I thin\{, R.eti frequently St1cct11nbs.
I-I.e does so beci:iuse in llis vie'<v thematic confo.rmance i1ot only ere.ates co-

l1erer1ce and a.rcict1laces structure, but is a 11ecessary a:t1d sufficient callSe of
musical unity a11d l1e11ce of aestl1etic \1alue.
'' ii1 the great works of
m11sica.l literatttre the diff lnoven1ents of a co111positio11 are col1nected in
tl1en1aric unity-a tt rtity that is brottg'ht a.bout not merely b)' a vague affinity
of mood but b)' fc>r111ing the the1.ues frorn one itie11tical mt1sica.l st1bstance.,,
It is 11ot 111y purpose, at this poi11t, to dispute Reti,s co11cei)tion of the n11u1re
of mtlsical uniry. Tl'1at must \vait a bit. llather I to suggesr that l1is
positi-011 ' rinuall)r co111pels l1in1 to discover t t1e ki11ds of relationsl1ips 'he has
h}rpothesized. For if the valL1e of a \llOrk depe11d, {as it does al111ost by defini-
tion) u_pot1 unity, and if unity in tur11 depet1ds tlpo11 the ''variation of one
identical 111usical
tl1e11, if a11 acl{t10\ledge(t n1asterpiece is being
the t:i1e1nacic proce.'>s ll1ttst "villy-nilly be uncovered.
An(f Reti seen1s to feel t hat tl1e 111ore i.11sta11ces of transformatio1i, tl1e better
(rriore unified) the col11})osirion.
Reti's positio11 leacls hin1 to ernplo}r \lirl1at E. H. Go111bricht criticizing
tl1e writiligs of culuual liistoria.ns, l1as called tl'1e '
exegeric'' 111ethod:
' ' . . . the r:tlethod, tl1at is) tl1at bases its interpretation 011 the detection of
that kind .of ' likeness: that leads the iJ1terpreter of the scriptures t<) link
t:he passage of the Je\\tS tl1rougl1 ct1e Red Sea with the Baptisn1 of Cl1rist. . , .
The assu1npcio11 is al\:va;1s that so111e essential structural similarit)' tn\1St be
detected \vl1ich per1nits tl1e interpreter to st1bsume cl1e \
ariol1s as1)ects of
ct1lttire untier a single formula.''
Ai1d just as tlie cttltltral historians who
emplO}' this method te11d toward a kin,d of I'"'1'.egeiianism,
so Reti see1111s
J;:t Partly he succuinbs,, I l1Sf)e<;t, becattse, like rhe rest of us, he finds pleasure in
discovering l1idden relationsliips-ir1 "solving the pt.1Z7Je."
1<i Reti, Tl:Je'!tuztic Process of "1
f ti.Sic p. +
i& Ibid.
iu In Se,rrcl'3 of Crdtmai Iiistory ( Londor1: Oxford University Pt'ess
1969), p. 31.
17 See Ibid., Parts 11 tllrougl1 IV.
Material corn d1re1tos autorais

inclined toward a. dialectical conception of 1nusic. ot only does a tl1e111e
move '' by transforr;zation toward 11 goat,>'
bu.t a process of thesis, antithesis,
ancl S)rnthesis seems implied:
. . . the real plan of this 'vhole becorr1es appare11t \\' heil the first
Rhapsody ['Opus 79, by Brahms] is t1ot only cor11plemented but almost
contt-adicted, and so ":resolved,' ' b}r the sr.rucrure a.nd id.ea. of the
Th:us this Finale then1e is indeed a synthesis of all tl1e thematic i111pulses
of tt1e :,ymphon)' 20
As Gombrich indicates, an in1porta11t assi.1111ption underlying this method is
that manifest differences n1ask ai1 underl)ring, but n1ore significant similarity.
According to Reci, L'ln reality [ tl1e first and secor1d tl1e1nes of a so11ata-form
mover1.1enr J are co11rrasting ot1 the surf ace bu.t ide11tical in sulJstai1ce. '
is the crucial loopl1ole! For there is r10 of conftrting this a.:na.lytic 1n.ethod.
If it is objected that a relationship is no-r at:-idible or that the notes selected
as sigillfiea11t complet.ely cha11ge tl1e p:rocess an.d organizatio11 Of a tl1eme, the
ansvver is: Of course! it is part of the co1nposer's pla11 to disguise similarities.
\1Vl1en this occurs, cabalistic circwty has taken t11e place of seriot1s cricicism.
But it 'vould be foll)' to let a. distaste for exegetic excess blind us ro the
real significance o-f conformant relacionsliips. F<)r th.ey create foregrotmd
coherence u
l1ile at tl1e san1e time allc>wi11g atte11tior1 to be clirected to higher-
level syntactic processes, contribute to the f orn1al articulation of musical
structure on all hierarchic levels, a11d 4l llso pro,r.ide the satisf <icrion of return"
thereby enhancing the imr>ression of .cl<lsure. Whether it1 additio'n they
stitute t/'Je b<Ssis for inusical is ru1otl1er qt1estion.
Si11ce to che. best of t11y lr:nowledge th.ere l1as never been 111t1si.c "'' ithout
relationships, it seems reasonable to assume that they are :a neces-
18 Reti, Tl3e'lnatic Process of Ai!u.sic, p. r 39.
19 Ibid., P i:45.
ZO- /bid., p. i64. Tl1e \Vo.rk referred to is Bral1nlS' Second S)rmphony.
21 P 5.
Reti believes that tl1e sinlilariry bet,ve,er1 die cones he selected as strucroral"

and the rnodves fro111 " ' l1icb the)' are prcsm11abl)r derived <.."an be /Jel'l'rd. In n1any cases
this m.ay be true, b:ectl:t.ise if selection is 1nore or less arbitrary, any 111otivc of some
con1plexity can be made to resemble a model n1otive. l\lloroover, as has
been note,d, "believing is seeing,, (or in case "hearing") . For illS:tancet a tile"\'\'
familj arrives in our comn1unity
and ""' e ren1ark upon the resemblance benveen
paten.ts and ehildrea-only ro learn thnt tlte children are a<loptcd. So, r:ooi in analysis:
our theories ( beliefs) often influence

and what hear.
Material corn d1re1tos autorais
S:lf)" condition fo1 n1usica.i understanding. And. in. tl1i5 sense at least t11ey
appear to be 011e basis for n1usical t 111.ity. Tl1ey are not in 111y judgment ho\v-
ever, a sufficient cause for u11ity. TI1ough this co11tention can be justifiedi it
is diffi.ci1lt to prove in a rigorous For unity is i1ot an objecci.,1e, sub-
srai1r.ive e11tit)' like a n1ocive, a perfect cadence, or a change ir1 texrure or
d ynt1111jcs. Ratl1er it: is a psychological effe.ct-an of propriety,
integrity, and cor11pleter1ess. A11d it is, I think, as difficult ro specif;r rl1e
sources of this i1Trp1ession in n1t1sic as it is to say \Vhat rr1akes a \\roman attrac-
tive. V\l hen it's you lmow it. B11t the special con1binacio11 of ca\1ses
that procluces the effect in. any particular case defies precise definitio.n., it seems safe to say that all the kit1ds of relatio11sl1ips
present i11 a composition- 11rocessive, tectonic, etheric (i.e. pertainir1g co
ethos) as well as conforn1at1t ones contribute to t:l1e in1pressio11 of unity.
The 1111portance of a particular kind of relatio11st1ip will vary not only fro1n
style co style hllt from one ki11d. of \Vorlc to anotl1er. For insta:nce1 ethetic
relationships are a necessary condition of tlnity in the mttsic of India, \Vl1ere
mood or rasa is of central in1portance; in the rnusic of conten1porary serial-
ism, on the .other l1and, co1tf ormant relationships are the IJrime; basis for
C()mJJOsitio11al ir1tegrit)r. In tonal rnusic, processi,,e and l1ierarchic relation-
shiJ)S aie the most important in creatil1g a ser1se of unity in stn1crures such
sonara-forrn whil e confo.rr11ant relacionsJ1i11s pla)r a vital part
i11 ur1ifyir1g strophic for ms Sltcl1 as tl1e1ne a11cl variations.. A11 i1npressio11 of
unity thl1s d:ei>ends to son1e exte11t tipon rl1e ki11cl of relationstup wl1icl1
do1nit1ates the orcleri11g of a particular hierarchic level.
Despite these qualificatio11.s, confor111a11t relationships are of secondary
in1portar1ce for creating ti nity i11 tl'le repertor}' "vith \vl1ich borl1 Reti and
I are concerned- that is, the repertory of Y\' estern tonal n1t1sic fro111 1700 to
191 8. To begin i11 a son1e\vhtlt rot1ndabour tl1e great a.dvat1tage of
coni.plex tecto1tlc structrtres, such as those de\1elo1)ed in V\ est:ern n1usic
duri11g the period being considered, is tl1at patent cot1nasrs and clifferences.
on 011e level c<an be related to one another in tern1s of the I)rocesses of a
higher one. \tVere unity esse11tially a matter of there would
be no need for such arched h.ierarclues. l "l1ose St}
les ai1d f orn1s whicl1 are
moSt l1ornogeneous emphasizing si111ilarity of n1oti e, gesrure,. and mood-
are n.ot .n1arlcedly hierarchic. One tllinks, for insta11ce, of a pair1tir1g by
lVla.rlt Rothko, of an imagiSt poem, and of the 11111sic of the Near East or of
the so-called ava11t-garde. Let n1e quote from an earlier book:
Material corn d1roitos autorais
. . . one of the salient ideals of ' I\! ester.11 (..'ltlture and a hall1nark of
''grean1ess;' in Western art, at least since the Renaissance, has bee11 that
of 11io1z1nnn1tality. To capture ru.1d corr1m,tulicate a ser1se of tl1e scope
a.rid niagnitude of creaciot1-rhe variet)r and multiplicity of tlill1gs,
comp-0sers as well as a.rti.s:ts and '"'' 11.ave fotu1d it appr opriate to
bring togetne:r a \:\.
ealth of diverse materials, often placing tl1ese in sud-
den and viole11t juxtaposition, (One 11eed only think o.f a Bach Passion,
a Beetl1ove11 sympl1or1y, or a play of Shakespeare.} 011e way of com-
bitlli1g and uniting contrastir1g ideas i11to a coherent ''' l'lole, reconciling
seenlingl}r in:c<>n1patible events, is to srtbsun1e cl1em wider some higher
order-co embody tl1em \Vitltln a l1ierarct1ic strucuire.

Frotn tlus I'oint of view, Reci chose the '\Vrong 1epertory to illustrate his
: he \\rould. have 'bee11 better off a,11alyzing recet1t serial rnusic or
perllnps the music of ] a\
But even wl1en conf orn1arlt relationsluf>S do pla)
a prune role in
ing a se11se of col1esion, similarity per se does not unite. For as we l1ave see11
the more nvo eventS alike, the n1ore che)
t:e11d to be pe.rceiv.ed as discrete, entities . . A .collection ()f ide-r1tical burto11s possesses a high degree Of
tuilfor1nity, but only an additive son of unity. Co1rforma11t relationships
create the strongest inlpression of unity when they are en1bodied in some
sort of fttncri.ot'lal process.
Fron1 a :more mt1ndar1e and personal point of I :find it difficult to
bclie,re that rhe kinds of correspondences, \Vhether obvious or disguised,
whicl1 Reti poi11ts to are the basis for unity or a cat1se of excellence in n1usic
- for this sort of motivic manipulatio11 is so easy to do. Every third-rate com-
poser of yesterday and todayr is adept at it. Having been one of them, I frtlly
agree with Tovey that, ''Nothlng is easier tl1an to derive any musical id.ea
whatever from. atl}
other n1usical idea; and a long chait1 of such derivations is
often sr1pposed tcJ cmbod}' the logic of 1nusic. In itself it can give us no se-cu-
rity t11at it Li) more logical t .ha11 a series of puns.''
Tove)r s scat hing refere11ce to pttm is 11ot as negative as he perhaps
took it to be. For it calls attention to an aspect of conf on11ant relationships
.not previously noticed: we take pleasure i:r1 tl1e act o.f perceiving trans
formation. Psyc1uc parsimony-seei11g a si11gle entity or id.ea do dot1ble dt1ty
23 Leonard B. l\lleyer, Ai 14Sic the Arts and Ideas (Chica,go: University of Chicago
pp. 311- c3. A true believer in the exegetic method can still h.ave the
final word-, arguing t llilt the contrasts an.d diversity are 11ot real.
24 Mr1sical Textures p. 50.
Material corn d1re1tos autorais
- i it1vol,red in the perceptio11 of coniorniant relariot1 tlips. Ju t as \Ve de-
light in seeit1g a familiar landscape in 11e"\' lights-at different tin1e of day or
ir1 different seasons, seeing ir as t he same and )' et different-and are e11-
chanred as a n1agician cl1a11ges a ha11dkerchief into a rabbit, so "\>\e enjoy
discovering that something fir r Ltndersrood as 011e lzind of e\?er1t can change
its f u11crio11. For i11sta.11ce, that son1ethir1g at first unlierstood as being a clos-
i11g kintJ of cver1t ca11 be rransfor1.i1ed inro a begi1111ing kit1d. of event-as is
dc>tle fro111 1n.east1re 19 co 20 in Hayd11's ''Sur11rise" Syrnpt1ony (Example 24)
from r11easurcs 4l-43 to n1eastuc 44 i11 Brahn1s' Second S)rmpho11y ( Ex-
a1111)le 3 i ) . For the same reasons, \\' e are c hjlarated to f111d tl1at seen1ingly
t1ncon11ccted a11d disparate then1es really '(fit togct her''-as in the Prel11de
to\ Vagncr's Die )l.J.eistersi11ger (Exan1plc 3 ) .
, _
/ -




- .

1- I

+ -
J j.)
- .. -

I ' .
. .
._ .
Example 38
The basis for rl1e u11iry of n-1ulcir11ovemer1t \\
0rks is problematic. Thougl1
com})Osers are not al\vays a11 infallible gt1icie in critical a.11d acstl1ecic matters,
tl1cjr \
i e\VS sl1ot1ld at least be considered seriously the Inore o "vhen there

appears to have been a cultural cor1 ensus al>ot1r arrisric 111atcers . F. E.
Iurby l1as poi11ted out, composers a11d tl1eorisc of the eighreenrh a11d early
11ineteenth cc11t\1ries ofren of t1nit)
i11 tern1s of a characteristic
n1usical '' tyle. '' representative of tl1is 'ie'' ' l(irl)y quoces LJerer Lichren-
thaJ, ,,,ho in 1 26 '\' rote of the characreri tic as ''011e ''' hich pro-
poses a 111usical picn1re; or a moral character, as it Distratto by Haydn, or an
e e11c
like Ln Cad1ltfl di Fet01zte; or son1e phenon1e11011 i11 cl1e physical ,,,orld,
as la T e111pesta, l'l11ce1idio, la Caccia, etc. To , vf1i cl1 11elong tl1e y111pl1011ies
pastorali, 111ilitari, etc.' '
G Not only do ma11y of tl1e v,1orlcs of I"iaydn and
his co11ccm1)oraries belong to this class of con1posirior1 bt1r so, Kirby argt1es,
do q.t1ite a nu111bcr of Beethoven's \vorls: for instar1ce, rhe "Pachetiqt1e"
Unpubli. l'l:cd r11anuscript: ''Beerl1ove11' Use of Cl1a racrcriscjc St)rles: A Con-
tribution to the Problcrll of Unit}' i11 ri1e Large J:<or111s,)l p. 5.
Mate al cor" dire tos autora s
Sonata_, tlte "Eroica
' Symphon;r, the ''Pastoral'> Syinpho11y, the ''.Les Adienx
ai1d a nu.mber of the late '"'orks.
Though a bias favoring the obvious obje.ccivity of a musical score has
led mosr contem1Jorary critics and tl1eo:rist5 ro account for n1usic \Vholly in
terms of pitches and durations, timbres and dyn.arnics, an explanation of
u11ity in terms Of cl1aracteriscic

see1ns as conviricing as Reti,s ct1eory.
The idea of unity fostered tluough cl'1aracterization is m1pported by histor-
ical evidence. A.nd, equall)' important, sucl1 a ,riew is by no means as ''Sl1b-
. . ,, . h fi
1ect1ve as 1n1g tat rst appear.
E,ridence from n1any different culrures indicates that musi-c compre-
hension depends to a co11siderable exte11t t1po11 tl1e liste11er's a,
traditional tonal and a set of con\J' entional signs an.d schemata. (even
tl1ough these n1ay be groun(ied in and lin1ited by the natt1re and capacit)r of
the h.uman ear and mind). Ot1ce tl'iis is g.ranted and the actempt to explain
music solely on tl1e basis of iruiate, universal responses is gi,ren t1p, the11
commo11 traditions and conventions ca11 be analyzed as objecti\e aspects of
a musil."al culture, just as irnages, figttres of speech, p.oetic genres, and dra-
matic conventions are in literature.
As Kirby observes, \vhat is tneanr by a
cl1aracteristic style ''is not necessarily a personal or subjective qua!jry, but
rather somech:i11g objective ai1d co.acrete: for the particular expi-essi,re char-
acter is explicit and consists of a r1umber of distinctive elements that define
it, a.mong them particular n1t1sical f ke)rs, tempi, th.e use of certain lii-
strt1ments or combinations of instrUments, special melodic types, rhyth.mic
patterns, d}rnar11ic qualities, and so on.'
The existence of such conventions means that there has been a con-
tinuing ttadirio11 of intisical representation in "'' hich la:ter maru1ers of de-
li11eating a particular moral c:haracter, kind of e\1e11t,. an affective state, or
son1e phenon1enon in the pl1ysical or mytl1ical world are based trpon at1d
influenced by earlier ones. Just as there are l1istories of elega.ic poetry and of
carpe diet.11 lyrics, of paintings of the At1n.i.:1nciation and of pastoraJ scenes,
so tl1ere would seem to be histories of battle music, pastoral n1usic, Io,
e music,
lamentation rnusic, and so 011. In shon there is, or should be, a. field v.rhich
Here,t I beliC\' e,. is cl1e crucial it1istake of st udies S\l.Ch as De:I"yck Cooke's Tl'Je
Lm1guage of Music (London; Oxford Unive.rsit;1 Press, 1962) and D-0nal<l N. Fergu-
son's as i\.:fetapbor (l\ilinnea:polis: Uni\rers1ty of i\1innesoca Press:, r96o) : ocit:her
recognizes that the e-.rpressive characterizing power tl1ey .find in \IV est:ern music cannot
be traced m i1ecessarv sources alone, bu:c are to a g11reat extent a matter of
learned convention.
21 "Beethoven's Use of Characteristic
Material corn d1re1tos autorais
1night be called 111usict1l ico1zolog;
; ai1d, considering that art l1istory 11as
to a co1isiderable eA.1ter1t been ;;\ inodel for rnusicoiog}' , it is strange that (to
t'he best of nl)' little \vork i1as been done in this area. It ' :vou1d,
l thi11k, be fascinating to study the history of the cl1aracterLmcs of, say,
Ha ties (fury) a11usic or pastoral rnusic fro n1 the Re11aissance to the t\J\re11tietl1
centur)r, tracing comn1on features, describil1g changes of man11er tmd 111eans
of representation and relatil1g these both to rl1e ttistory of n1t1sica.l style
to t11e l1istory of ct1ltt1re ger1erall)r.
l .f the most in1portant fu11ctio11s of confo.rr11a11t relationships are creilr-
ing coherence a11d articulating structure, and if such sin1ilarity is n.or the
basis for 111usical u11ity, then \Vhat is d1e significance of motivic correspor1d-
ence hetwee?i movements? For there is no dot1llt tl1at such correspon,den:ces
exist-a11d rue specially commo11 in tl1e music of the ni11etee:nth cenniry.
One explanatio11 is that tl1e}r pr<>vide ti1e pleasure of eco110111y. lr1
ad.dition, the return i11 later i11ove.n1er1ts. to ideas presented i11 0 11es
may on occasion have prograr11matic significance-as, for instance, in
Beethoven's Ninth Sy.mphony or Berlioz>s S)rmphorue Fantastique. Of the
other reaso.ns for increased emphasis 011 conforn1aJ1t relationsl1ips during rl-1e
nineteenth cent11ry ortly or1e need b-e me11tioned here: narnely, as the size
a.t1d sco11e of ' orl<s increased, de1nands "'' ere placed
upon tt1e listener's men1ory; rhe use of already fat11iliar rnoti\res made .it
easier for tl1e listerier to grasp 11ew tl1e11'1aric ideas. Observe, 110\rvever, tl1ar
cl1ough tl1is function of conf orn1ance i11a)r lJe in1portant, its sigi1ifi<..-ance is
psj1cl1ological ai1d ge11eric ratl1er than ;tescl1ecic a11d specific. Ir is a necessar)r
con(iition f.or comprehension, not for aesthetic relation."5hip.
Bra11m's Second is. as Reti points ot1t, unequivocal ex-
an1ple of tl1e use of Conforrr}ant relatio11ships benveen 1110\
e1ne11rs. The
openit1g tl1er11e of the Finale is audibly related to that of tl1e firsr mo,reme11t
, ; _ { ... _____ p -
GI b'
Exan1ple 39
Material corn d1re1tos autorais
(Example 39). When he st1bsequently atten1pts to sl10"' that the, second
theme of the Finale is a '<S}7Iltl1esis)' of tl1e m.ai11 ideas of all the preceding
1novemenrs., one agai11 senses cl1ar Retijs t1.ypotl1e&is l1as cl.riven hin1 ro remote
and .doubtful connections. f-Ie might, employing the same ingenuit)r, have
related tl1e opening theme of rl1e third mo,
ement to that of the first by,.. a
simple in'rerslon (Example 40).
, _
I ..,.----- _v-wrr _'. .-, I a - '
' Vhy stop ""rith correspondences between moveme11ts? An aficionado of
the e:.'tegetic n1ethod might easily go further. He mighrt for instance, note
that the changing-note n1otive so promi11ent in this Syin.phony occurs in
()tl1er by Bral11ns, notably as an impo1tt4nr eleme11t it1 th.e Finale
themes of the First Symphony (Example 41A) , the Third Symphony (41B)
and the Fourth Symphon.y (41C) .
Example 41
At first,. this seems an absurd thing to do. Yet n.othing is farced-no
to11es l1ave been igr1or:ed ir1 order to 1nake tl1e tl1emes similar. The confor-
nlance is there for all to hear. And other instances of n1orivic correspo11denc.e
between different works l)y a. single composer are not uncon1111on. In the
last string quartets <:>f Beethovc11 a motive 111oving from leading tone to
tonic and f ron1 the sL'7th 'iegree of the iri n1inor to the fifth is t1sed as
the main. them.e of the first moveme11t of Opus 131 (Example 42A), the
opening of Opus I Ji (42B) and, in a sligl1tly varied form, as the i11trod111:ory
statement of the fugue su.bject i11 Opu:s 133 (42C), trJ cite only the most
obvious cases.
Material corn direitos autorais

Such conf or111a11t .relacio;nslups are significant. But their significance.
lies not in t he' area of critical anal7rsis, but ir1 t hat of St)rle a11alysis.. Tl1at is,
the}r are relevant for the anal)rsis of a particular composer's idio111.- his
special stylistic predilectio11s. Fron1 this point of the theme of the
Finale of Bral11ns' Second Syn1phor1y is r.ela.ced at least as much to the com-
poser's get1eral idiorn llis preference for conjur1cr, lyrical tl1emes for finales
- {tS it is to other 1notives i11 tl1e syrn1)hoi1y. In a si1nilar Va)r, 011e could, I
think, sl10'\V .the 111ait1 ideas of Bral1n1's fi1sc 1110\reinents tend to be disjunet
and ofte11 triadic.
. One ca1i, of course, go ftirtl1er. For moti,ric similarities exist among
works by (lifferent composers. For exami1le, both the opening theme of the
Finale of };"'iftl1 Sy111phoi1y (Exa111ple 43A) at1d tl1e aria,
sedes ad dextram patris,
from B-1\llinor J\.1Iass (43B) use motives
lil'e the one "vhich begins Brah1ns' Second Sytnphon.), too, co11for111ant
Example 43
.relationslups are irr1portant for sryle but on a higher level-that <Jf
t11e style of to1utl rnusic as a \i1l1olc.. Tl1eir relevance for critical analysis is
criticism en1ploys concepts and generalizations developed by
style analysis. Such mocivic similariries are i11st1l11ces o.f arcli.etypal sche111ata
with whicl1 '\'\' e "''ill be concerned later in this sttld)r. Tl1ey are in1portant riot
bec.,'luse t l1ey ' 'unify Styie' '- \vhatever that tnigl1t because they
heli;> listeners to co1nprel1end and 1enlember tb.e parcicttlar patterns in \vhicl1
rl1ey are actl1filized. These co11Siderations suggest: t11at a particular COffif)Oser's
idiom is distinguisha.b}e from rhe style .of \:o.,h1ch it for111s a pa.rt because he
te11ds to er11pJoy some possibilities available in a style with greater frequency
tllan otf1ers .. 'Tl1t1s tl1otigh tl1e rnocivic patterns pr:esented in Example 42 '):li'ere
''stylistically a.vailable'' to Beethove11 througl1ouc l'tis career (as tlte}' \'\' ete t o
Material corn d1roitos autorais
other composers Of t he time), he. favored them specially in his late style
urluct1 they help to
111.e analysis of confo1rn,ant relationships of ten leads to questions about
the co111poser
s intentio11s. Is the reserrtbla11ce bet-\veei1 the opening themes
of t he first and last movements of Bral1ms' Second Symphony the result of
tl1e .con1poser's explicit., coosciotts inte11tion, or st1ottld ir be ascribed to an
unconscious use of commo11 St}'"liscic feattrres-or is it a chance similiuiry?
Tl1e relevance Of tl'le artist's intention for criticism has received
side.rable attention in the literature about aesthetics. And it has been argued
that even where the intention can be doct1meoted from relial)le outside
sources, its rele,rance for criticism is qt1estionable. 2S I do i1ot \\
ish to consider
the qt1cstior1 of the relevai1ce of t11e composer's ir1tention, bt1t rathe.r to, ask
on '\Vha.t grounds "'re base oux feelir1gs abot1t intentionality in the absence of
extrrunusica1 information.
The excerpts in Example 44 are taken from the first move1ne11t of
Beethoven's Piano Sonata in Eb Major, Opus 81a. The bra,ckered p-atterns
are conformant in that eacl1 in\tolves a. pitch e.x-.change bet\>veen Ol1ter voices
or the exte11sion of such a11 exchange, as in parts A and B. A1thougl1 the
conformant r ,elationships ben,veen A and B. and B at1d D look ''intentional,"
doubts arise a:bol1t the relationship of C to rhe orhers: Hasntt the correspon-
denc.e been i1np<>sed, perhaps forced, it1 this case? "'' as Beethove11 a'\ of
the sllnilarity?
W1th regard to the first question, tl1e answer is an t1r1eqtuvocal ''no." No
exegetic ingenuity has been brought into play in order to show a corre-
spondence. No pitcl1es have been disregarded; nothing has been inferred or
imagined. The resemblar1ce is t11ere for aJl t o see. That it is neitl1er striking
nor obvious, is a question of the stre11gtl1 of rlie relatiomhip, not of its

Tl1e ans"ver to ti1e seoo11d question is, 1 t hjnl<, that in a borderline case
such as it is impossible tc> decide ,,rhether a relational ordering arose
from the Sj"lltax of the style being employed or '\Vas consciotisly contrived. by
the c.."Omposer. Since there is t10 51Jecific poir1t at \Vhich st)rlistic ordering
ends and con1positional ordering begir1s they forn1 a cot1tllll1.UJn-it is im-
possible irtl principle to distinguish tl'lose conforrnant relationships attributable
to style from those -,.ve presume tl1at the con1pooer explicity dev:ised. Inten-
2a See \ . l{. Wimsatt and N:I. C. ''The lnt)ention.'li Fallacy
in Philosopl:ry of AN 111:d Aesthetics, F. A. Tillnlan a,nd S. M. Caho. eds. (New York:
Harper and Row, PP 657-699.
Material corn d1re1tos autorais

: "
r ? .. . If
a - l f
Exan1ple 44
tiona.lity is a fi1ncrjon of stylistic ilnprobability: tl1e r11ore i1nprobable it is
tl1at a confo.r111ant relarionship could have arisen for St}'listic reasons alone,
the i110.r e \Ve impute conscious i11te11tion to t he composer. For tl1is reason,
tl1e 1011.ger con1parable eve11rs are, rl'ie rnore certain '"'e feel clu.r the simil,uit)1
was intended:. And "ve do not cotlsider \ is tnost 11orr11aJ:i\re i11 a style
to beer1 <'put t here' ' by th.e composer. For ir1sta11ce, t e do not as a
rule con.sider tl1e reset11blar1ces between perfect cadences as exan1ples of in-
co11fortnant relations}1i})S. TI'le similarit)' is attributed ro tl1e S)' Iltax
of the style. But ' ere cadences to occur fro111 tirne to tir11e in a11 essen-
tially serial "''orlc, vve \>\
oulcl probably conclude rl1at rhe cornpose.r explicitly
related the111 to ot1e
Intentional and 11011i11te11tional cor1forn1a11t relationships, thert, differ
f ro111 0 11e a.11other u1 degree rather t1la11 i11 lcir1d. Tl1e question is 11ot esset1ciall)'
oi:1e of intention, but of at1dible resembla.r1ce. This depends not only upon
all t:l1e f:.ict<ors considere"Cl earlier,
bt1t also upon cot1teA.'tual differe11tiation-
:!9 See P 49
Material corn d1roitos autorais
tl1e e.'ttent to \Vlnch the event being com.pared is marl{ed-off as a se1larable
entity. Tl1e sinlilarit)r benveen part C of 44 and the other n1otives
is difficult to percei\re because C is embeddeti in a larger and quite unif orrn

Tl'1e question of the artist's intencio11 intrigues us and 'tvill, no doubt,
co.nti.t1ue to do so. For ot1r culn1re l11ls, at least u11til recei1tly, assigned
tremendous importance to tl1e creative act- co perso11al expression ai.1d i11-
dividt1al discovery. Fortu:c1ately, ho"'eve:r, k11owledge of the c.'0111poser's
intention is not t1ecessary f Ot critical analysis. lt is fortt1nate becat1se such
- 1) 'bll h f 1.. lf
111tet1t:Jons are \1lrturu y in1poss1 le to ascertam, er rom t11.e mUSJ.c 1tse
or fron1 ex.tran1usical docu1ner1ra:tion. Even \'' here docur11encacion exists, its
n1terpretacio11 and reliability is p.roble111acic. l{n0\1i7ledge of t11e composer's
inter1tion is unnecessary l/ecause a relatiortsl'lip is a relatio1'1sl;ip V\thether it: was
expressly de\1ised by the composer, resulted f ron1 the orderliness of sty
syntax, or in rare instar1ces \as the rest1Ir of And a relationslu.p is a
relationslrip 011ly in tl1e ligil:t of so1ne cc>gr1itive act, whether conscious or
intuitive, learned or innate.
T'hougl1 every ielationship is significant, it by no n1enns fallows that all
are eqztally so, or that tliey are so in the sar11e resiJ.ect. So111e c.011formant re-
lationsllips reL1tively l1nin1porta11t in creating col1erence or artic..11lacing
structure, \vr1ile otl1ers are crucial. Some are con1positionall)r significant-
for critical a11alysis-\vhile others are most sig1llficant as .aspects
of the com.poser,s idion1 and of style ar1alysis. Scil.l others rele\rat1c not
.to the analysis of particular co111positior1s"' bt1t co an u11derstanding of the
psychology of creariviqr, t'J1e of ti1e composer, or the 11istory of
The co11for1na11c relatlons1ups thtis far co11sidereti \Vere asSt1med ro be
audible; often such. similarities are strilcing. Lil<e those \vhich vve pre..<mme
the conllXlser intended, tl1ese re11d to be ones \\1l1ich probable-given
the norms of the style. Otl1er sir1tilarities, those wl1ich stylistically most
probal)le, go virtually trr1noticed. Once tl1e style l1as bee11
ci1e experience of listening, not necessarily throt1gh explicit instruccion-
such. similarities are, as it 'Vlere, talcen for granted. Tl1is does not mean; how-
e\rer, tl1at 't11ey are not or effective it1 sl1api11g 1111:1,sical experien.ce.
Rese111blances between similar scale and triadic patterns or b-etween lire
h.arn1onic progressi.011 are as i111porta11t
and f o,r n1ai1}1 of tlie same reaso.ns
as the conforn1ant relationsl1ips considered throughottt this clu'lpter. The
systematic sn1d)r of s11ch relationships belongs, as l1as been suggested, to
the fi eld of style a11alysis.
Material corn dirc1tos autorais
i\s a kind of '
ooda,," I should lil<e :briefl}" to discuss tl1e significance of
co11formant re:lationslups whicf1, thougl1 identifiable and unequiilocalt axe
irmu.dible. Musicians., like others belonging ro a professional group, enjoy the
sense of e."!cl11siveness- of c}annishneS&-\Vlucl1 con1es 11ot orlly f'rorr1 shar-
ing spe<:ial lc110\l
ledge a.nd using special jargon, bur also from k11owing
{'secrets'> to '\\rhich only initiates or members of the it1-grot1p are priv)T.
Somerin1es, as it1 jazz. secret relacionships are audible in performance
once or1e l1as lear11ed cl1e repertory.a-0 Tl1en tl1ey pla,y a sigr1i6cant role in
aesthetic ap,preciarion. Relating the audil)le rune "vithin a florid jazz im-
provisatio:n to its hidden model. i11vt.)lves the pleastrre o.f psychic econo1Tr)'
In other cases, however, C<>' ert .relationships are inaudible and irrelevant
for mt1sical experience. One tl'links, for inscance, of cr}rptograpluc de\rices in
which the nan1es of friet1ds or of admire' i oon1posers are e1lcoded through
the t1se of the letter names of pitches, Nlorse Cocle, or so111e othe.r C}rpher.
Similarly the manipulation a11d orderi11g of pirch ai1d. tim.e rows in serial
music are often inat1dible, i11 the sec1se that th.ey .are unrecognizable as suc!J.
They ate relevant for i111d.erstar1di11g th.e precom110sicional activities of tl1e
conlposer, not tl1e structttre and process of the con1posirio11 itself.
Such inaudible and cryptic orderi11gs llSlJally do more l10\vever, tl1an
satisfy the coterie instinct. First, by linriti11g tl1e nurnber of options open to
. . . . . h f 1 hi
t e composer a.t a parucuiar J:>Omt 111 a con1posit1on, t ey ac1 itate . s
choosi11g. Tli.tlt is, if rl1e co1isrr:a:ir1ts present in cl1e style i1oc sufficie11t,
tlle .composer will de\rise special ones of l1is OV\rt1, i\s I have st1ggested else-
where,81 this need for adcied constraints \\111.S perhaps invol\red in Schonberg's
invention of the twelve-tone 111etl1od. Ir1 this case they were initially, at least,
quite audible. But this t1eed n<Jt be the case. Often coc11plctely arbitrary
constraints \.Vhich as sitclJ ha,ve no aesthetic significance "'rill clo. Secondly,
the in\Jention of p.rivate li111ita.tio1is may serve as a. \Va.y co get the creative
act going: cabalistic de\:rices may st1ggest ex-plicitly mtisical ideas to tl:-.e
composer. The ideas ae.'itheticaliy sigruficant, but their inaudible, non-
musical, basis is not. r\nd both reasons for the i11venrior1 of special co.m'tfai11ts
are related to the cor11poser)s delight i11 challenge-in overcoming special, in
this case self-imposed
difficulties. Sucl1 pri\rate itnd. crytopgraphic relation-
sl1ips are irl1portant. But tl1eir significan.ce lies i11 the are-as of the psycholog}r
of cre'acivity and the biograplues of particular con1posers, 11ot in tbat of
critical ana.lysis mL1sica1 t1nderstar1di11g.
a.o See Frat1k Tirro, Silent Theme Tr.tdition. in

TfJe Musi cal Quarter,y

Llll, 3 (July, 1968) , 313- 334.
st AdttSic, the Arts mid ldeas, p. 24If.
Material corn direitos autorais
i\ilore genera]ly: there is a clisti11ction between explai11it1g the ge11esis
of a con1posirion and lin.derstanding the cornpleted \vork.
To illustrate, let
me take one final example frorn Reti 's book. Reti wanrs to show that the
theme of tl1e Trio of tl1e Scherzo from Beethoven's. ''Eroica', Sy1nphony is
a transf orn1atio11 of th.e first the11.1e of rl1e first 111ove1nent . He "vrires;
If \Ve c.onsider the -rrio theme as it appears u1 the syn1phony itself
[Exan1ple 45A] and the version ir1 \vhich t llis theme appears h1 the
fourth, the last sketch [B], it is harcll}r possible to pnint out any actu_al
afii1uty betwee11 these shapes at1d d1e \.Veil k.nown tlierne of the .first
n1ovement C:
An attempt 011 this basis to prove that Beetl1ove11 formed the themes
of the various movements from one common thought \Vould be refuted
as artificial. the sl{etcnboolc lucidly den1onstrates the true
process by Wtlich the T r io theme Clme into existence. Looking at t l.1e
version in wttlcl1 the then1e appears i11 the fi1'st sketch,
"'' e cai1 hardly belive our eyes. For first original version of the
Trio theme mirrors the main tl1eme of the sy1npho11y so distinctly i11 the
3:! T his dl.stlnction, as well as that 1nade it 1 d1e first chapter between b't)rle analysis
and cricical anaJysis, is made by V\!illian1 Tl101t1son in t<Tt1e Problein of I\llusical
Analysis: and. Universals,', College A>1usic Sy't11:posiwn, Vl (Fall, I966), 9'-93
Material corn direitos autorais
rhythn1 a.11ci spirir of its "vl1ole shaping cl1at t11e nature of the tl1e1ne'S as
two conceptions of one identical thought ca1111oc be dot1bced.
Bt1t Reti's obsession with th.e u11if)ring function of cor1forn1at1t relation-
ships makes 11in1 tniss tl1e crt1cial poinr. Trt1e
Beethove11 begins vv.ith son1e-
thing to tl1e first 1noveme1l't: tl1e111e. f.'ar f rorr1 bei11g surp:rising or
u11usual, it seems natural to start f.ro1n the ltnO\J\tll t1sir1g it a j\1mpi111g-off
point, a \\' ay of gectit1g the compositio11al act going. But Beet.hoven vvorlcs
fro1n this toward sor11ethi1ig r11-trnifestly ciitfere1:tt. He co\1ld ha,,e
ii1ve11ted sornetlu11g r,elated by conforrnance, yet su.btly disgt1iseti. Bt1t that
\11 as fXOt \<Vhar Beethoven \\tas after. As Reci lrin1Self observed: ''it is
hardly possible to point 01;it any afi111it}r' , betv,ree11 1\ C 111 Exan1ple 46.
As t hey stand, there is virtually no discernible 111ocivic relationship bernreen
these therr1es. K110'1vledge that ot1e was deriveci frorn the otl1er does n.ot
alter tllis fact one iota; r1or does it illurninate tl1e Trio tl1eme.
rlo\Ve\rer. the study (J f SllCh mocivic n1odificatiC)0S n1ay be vitally im-
ill helpillg us llnderst::1nd tl1e vvay Beetl1oven \ Ve r1t about rhe act of
composing a 111atter o,f great interest in its O\\' U right. In. other V\rords, the
sketches and notebooks of composers-not to 1netJtion ordinary biograpi1ica.l
in.forn1arion-are Often crucial for the expia11atio11 of the composer's cretti,
ar1d sucl1 resources 111ay also occ11sioo.all)' call attention to signifi-
ca11t, but previo1isly i1nnoticed, relatio11sftips "victu,n. tl1e co111position its.elf.
Bttt con1positional sketch is 11ot a n1t1s.ical l10111u11culus; it can no more be
equated or expllli1 rl1e :fi1iisl1ed 'vork tha11 an er11bryo can accou11t for
the beha\rior of <l mature l1tlma11 being. Tracing the ge11esis of a musical
idea or a co111position from tl1e first slcetc.h through t he finished \>1l Ork may
33 T/Je Thematic Process of 1Wi1.sic, p. 358.

Sketches can tlu:O\V light u.pon the con1positional process 01ily if they are in-
terpreted in the light of theor y about the of mt1sica) relario1lships. For example,
to expLUn. why Beethoven re1noved sforzm1di fron1 the version of the OJ)e11i11g
rr1ovemet1t of r:he F-l\tlajo,r Strir1g Quartety OJ>llS tS No. 1 ,. 011e must lurve son1e
hypothesis about the f1.1ncrion of tfor2;(11zdi in getlera:L Ocl1erwise all one ca11 say is
tl1at Beethoven clidn't like their efiect- ,vluch et1..'.Plains r1otl1ir1g. Ia1 tl1e 1lbset1ce of a
background of t heoryr ( ho.\\rever inforn1a1), only description, 11ot analytic
is po sible.
011e 1nigl1t turn tl1is whole n1atter around and suggest rhat con1parir1g s1{etclles
\Vitli tl1e finisl1ed composition \1/oUld give us fairly data against wllich to t est our
theories. Fo.r if theo.ries can explai11 v.rhy a composer t11ade 'tl\e changes lie did- or in
an ideal case, evet1 predict from a sl.cetcl1 or autograph \Vhat changes likely.
and cl1eck these a.gainst the printed score----t.he:i1 our tl1e,ories '\\10\lld }1ave received a.
kind of objective confirrnation.
Material corn dirc1tos autorais
be illuminatit1g ps}"chologically and biograpliicall)t, but it is not the same as,
and cannot be substituted for, serious analytic critic.ism.a
This does nor contradict the observatio11 i11 iWusic, tbe Arts and Ideas tlrat we
"11nderstand an e\rent o.r a,n objecrt partly at least, b)' u.nderstanding how it c:ame ro
be wl1at it is . . . :r, p ~ 6 3; also see p. 89). Aesthetic underst:ancfu1g of the genesis a11d
gro,vth of a musical partern is contextual; it depends upon a con1prehet1s.ion of the
precedi11g patterning as it functions \vitlun th,e \ VO.rk aod ,..,ichln its style an(i tradition.
The ps.}rcho1ogical understanding of the act of cor11posicion depends upon. (>Uf c o r n ~
prehension of rhe life of the composer
a1id ,,,ill eertau1ly be enhanced by the sn1dy
of sketcl1es a1id the lilce.
Material corn dirc1tos autorais
-----------.........,..... --...,- , --- --
Hierarchic Structures
Hiertfr,c,bic St1itctures
This cl1apter ''rill be. co11cert1ed \;i;
it'h hierarchic sr_rucn1res-the ha.sis
:for their existence at1d tl1e l(u1d of orga.nizatio11 J>Ossible in ton,al m11sic.
considerations will, ir1 tur11,, lead to a disti11ctio11 het\\reen form a,nd
process in n1usic, and to a discttssion of rl1eir interaction.
Hierarchic structures are of signal irnportance because t l1ey er1able tl1e
composer to u1 vent and cl1e listener to c<>111preher1d complex interreaccive
mi1sical relatio11ships. If 1ntlSicaI stim.uli (pitches, durations, timbres, etc.)
did 11ot fon11 brief, but partially con1pleted e\rents (1noti\1es., pt1rases, etc.),
and. if these did 11ot in turr1 combine \vlth one to forn1 more exte11ded,
l1igl1er-order patterns, all relationsl1ips would he local arid tile
note-ro-nore foreg.round. orihierarchic 111usic-tluit of John Cage, for in-
sta:11ce-111-0ves, lil<e the ocean, in ur1dulati11g or sporadic of activity
in -ivhich vve attend to, but can scarcely remember, rhe parrict1lar e\r.ents. As
Herbert A. Simon has pointed out:
(' If th.ere .are itnportant systems in tb.e
'''orld tl1at are complex \Vithou.t l1ierarchic, they rnay to a considerable
ex:tent escape our observation and underb"tandi11g. A11alysis o.f tl1eir behavior
\.vould in\
olve such detailed l<nowleclge a11d calculation of the interactions
of rheir elen1entary parts tllat it "''ould be l)eyond our capacities of memory
or con1p:t1tatio11.t
And this is specially in1portant in the understar1ding of
nlusic, \vluch, becat1se it is abstract and successive i11 time, plac,es extraor-
dinar1r dert1ands upon mer11ory.
The Architccrtrre of Con1plexicy.'
Proceedf ngs of the A111ericmz P!Jilosopt1icaJ
Society, CVI, 6 ( 1 1 ).1 4'77.
Material corn direitos autorais
1 i
To illusttat,e how hierarchic structuring worlcs, I have chosen a theme
which is botJ1 exceptionally clear and very compact. It is tlte first section
of the secon.d movement of Beethoven's String Quarter in Bb J\ilajor,
Opus 130. TI1e music is gi1len in Exanlple 47.
Hierarchic Structures suc.h. as this c.1n arise only if the series of stimuli
are articulated itito 1nore or less discrete eve11cs 011 tl1e var:ious le:vels of the
hierarchy. In this case, the Uf)per ( i - 4) anal}'tic braces show rhythmic gr:onp-
ings, and the lo\ver ones indicate forn1al relationships. These groupings
are rl1e .result not only of durational relationslups bu.t of 111elodic, harmonic,
tonal, and dynamic ones. as "''ell. The first measu1e, 01 insrance, is an event
-a more or less discrete pattern on "'rhat .is tnarked as a ( t ) . Tl1e measure
is a single gesture. Tlus fi1st event combines witl1 those u1 measures 2, 3 &11d
4 to forrn a lugher-le\rel entity: cl1e a11tecedent p.hrase of le\rel b(z). The con-
seque11t phrase is similar to tl1e a:t1tecedent and botl1 cotnbine to form the complete phrase of le,rel c ( 3). Though it is constructed in a somewhat
different way, the second half of the theme (measures 9-16) is also hiera_rchi-
cally org-m:ized. And the two t1alves co1nbine on a still lugher level (.level d,
4), creating a closed, stable shape---a rounded binar}r form. Finally the theme
is itself a distinct event \Vithin the structure o.f tl1e whole moven1ent, which
is a three-part, da capo form: a kind of scherzo-trio-scherzo. The section
being analyzed is t: h.e ''tl1en1e'> -0r ''Scl1e.rzo."
For a series o.f stlmuli to form separable events \vhich can act as elements
within a hierarchy, there mt1st be some degree of closure.
Closure the
arrival at rela.cive stability-is a result of t'he ai1d interaction among
the several panuneters of .n)usic, Because rnclody, l1arm.ony, texture,
and: dynamics are relacivel)r independent variables some may act
to create clostire at a particular point in a

while others are mobile a11d

on-going. To the eA'te!lt tl1at the parar11eters act togetl1er in the arriculati-011
of closure or, alternatively, in creari11g instability and mobility, they may
be said to congn.tnaly. ,Conversely, \vhen some para.met ers foster
closure while others :remain 01Jen, the parru:n eters are said to be 1201JCongr1iem.
A decepdve cadence is a simple ixista11ce .of n-0n-congrue11ce: r l1ythn1 and.
melod;1 act to arcict1late closure, but ltar111t>ny t .. e1nains open and mobile.
2 T l1e ' ' ital i1nportance of closur e in the aniculation of forms and processes was
m11de clear ro me by Bazba.ra H. Snlid1's boolc" Poetic Closure: Or Why Poe111s End
(Chicago: University of Cl1ic'1go Press, 1969).
Material corn dirc1tos autorais



' . ' .
.. ; '

' j ',

r ,,,,,,,,.. ____ ...... 1-t



,, ' l 'r.

' '
.... ........... ..:, :,:::_ ...........
JS a
' '-----..:::::::=---=::::::_ ____ ...,:it.-__
... I .
- '

1= .

.. t .
.:;::.- <:::;. ::->

W '

ll ":ti. '
7- ':>

:::: ..

' :::
: 6 .
' . .

- .
. -
...;:;;::: ::::- ....:::: ::=-
' . .
i , .. ..
::;;::. ::;:...

'. ';iJ'
.. .

[ '


':w '


......::::: ;:.;::;..


. .


-=:::: ::::>'



.::. C:TC"-
- "'' _, .. .. ...::=-><,.-,_ ... .. %
.. .. ... ..

... ... ... .,.
... -:f
:l !J


.... .. ...
_ .....

ti -
"' -
... ..
,- ,,,,;;;;;;_ ;;,,....1-. . _,, , ' -
. :t:i

__ , ' '

, .
. .

1. '" .
""Sp rd .... ....::::::::; ........ ..:i')Mf ... ... . .... .Jl't -rt''-............ ..:i) .. ............ ,,

,- m'
F -_ - _;@ - - 2 1 I
Example 47
Material corn d1re1tos autorais
Closure, then, is an aspect of patterning. I considered the nature
and basis for patter1ting in t11usic at son1e length in E1t1otio1i and A1ef11lnng i-n
Here, the barest summax:y 1nuSt suffice. The delineation of musical
patterns is the of the relationships a.nd among a. r1u.n1ber of

I) the presence of similarity and diff ere11ce bet\:vee11 successive eve11ts
within. a particular parruneter. Both con1plete unifonnity a11d total heteroge-
neity preclude syntactic organizatior.1, and hence establish no
bility relationships;
2) ti1e separation of one event from ano'l:her in cin1e, pitcl1, or botl1; or
througl1 clear diff.erences in dynan1ics, timbre, or te"-1:ure;
3) immediate re1)etirior1, '\Vhether varied or exact, of part or all of a
4) the Cl()n11Jlccio11 of pre\Tiously ge11erated implications;
5) harmonic ca.dence ai1d tonal scal>ility-r
I-low these factors function to create patterns and arrict1late closure \Vill,
I hope, become clear as \<Ve p.roceed.
The smallest discrete ev.ent in Beethoven)s theme is the motive of the
first measure. Though it ca11 be a11alyzed into s1naller 11arts, tl1ese 'have no
indepe11dent existei1ce or stabilit} Rh}rti111ucally, t t1e two eighth-notes lead
to the third beat and tie it to tl1e :first, creati11g a closed trochaic group, as
sl1o"vn in Exa111ple 48. This beginning-accented patterning is sup:ported by
tl1e te111po "\\rhich is very fast. i\1.elodicaUy, tl1e first t\VO beats are under-
stood as an F with a neighbor-n.ote., Eb, followed by Gb \vhich functions as
an ecl:>apee Or.nan1e11tal tone. In \VOrds,. as indicated in graph b of
Example the main melodic line moves from the Fin me,asure it to the Eb
in measure 2,. with Gb acting as .an ornamental tone. But perhaps t'his analysis
is too hasty. f ,or on the last beat of the measure Beethoven presencs the
'harmony-an 'Eb minor tria.d- would have made tl1e Gb a substantive,
chord tone. It comes too late hovvever. The harmonic change does not really
alter our t1nderstandu1g of the mocivic structure.
Universit)' of Chicago Press, 1956), Chapters ffi.-v.
Material corn direitos autorais
Th.e relative closure of the rneasure is i11 ,i)art che result: of rl1)<thm
- t l1e fact that t h.e trochee is closed. Partl)r, it is d1le to the separatio11 in,
pitch and time beti\1een tl1e Gp a11cl rhe follotvi11g Eb. Closure is also fostered
l))r the varied r.epetition of th.e irself-.U1 measure 1. Even had the
first two beer1 co1111ected ten1porally a11d as sl10\\ril it1
Exa111ple 49A,. the first measure '\VOul d have been perceived .as a d1screte e\ re11t
beca11se t he second meaSl1re is a. varied re11etition. Or, had t here been no
r epetition, but a clear separation ir1 cime and pitch, as in Exan1ple 49B, two
s. c:.
& I
_ L r""'
Example 49
diffe1e11t, yet sep:a.r<-1ble events, "''oulcl have bee11 de611ecl. But \Vere there
neicl1er repetitio11 nor se1Jaration, tl1en, as Exan1ple 49C indicates, the rvvo
nleast1res would be understood as a single event- though with some internal
articulation. the col1esivei1ess of tl1e patterrung \.VOt1ld h.ave been re-
inforced by the repetition presenled in the ex.ample.
The first n1easure (Exan1ple 47) .is stro11gly connected witl1 the second
on the next .level of the hierarchy. Melodically, the morio11 from F to Eb
c1e(ttes a lngher-level process vv.hich implies conrint1ation down to the tonic,
The first two measures are also connected harn101rically. The Bb-Eb-Ab
progression ll.1 tl1e bass l:>egiri:s a11 l1arn101iic process chr-0ugl1 tl1e C)rcle of filths.
Note, that melodic a11d har111onic processes are only
on prin1ary accents, not 011 seconda11' or1es. Part ly for this reaso11 the Gb
in measure 1 and the F in measure 1 understood as being ornamental.
And this is "''hy, despite the cha11ge of harmony on the fottrtl1 beat ; the
main motion is 'b}' meas11res. Though t he m<>tio11 across the barli11e is sup-
ported by the syncopation in tl1e \riola and tl1e eighrh-11otes in th,e second
the cello does not stro11gly en1pl1asize tl1e progression. That
is., tl1e root: motion from Eb to Ab wot1ld ha\re bee11 111ore en1f)h,atic had tl1e
lower Ab con1e on clte first beat of r11easure 2. The reSt1lt is that tl1e loiv Eb
is almost heard as acco1npa1iin1e11t:al- like a kind of '(t1mpa.11'' bass.
' Tl1e of and basis for i111plicacive relationships discussed .i11 the second
part of this book.
Material corn d1ro1tos autorais
The closure at the end of the second 1neasure, like th,at of the :tirst, is
melodically and rhythmicall)r unambiguous for essentially the reasons.
Because it is sequential \Vith the first, both 111elodically and harmonically,
the seco11d strongly implies co11cinuation to the tonic. Indeed, be-
ca.use the bass 1notion does move a fo1rrtl1 across the bar, t11e connection
bet\veen 1 and measure 3 is a bit stron_ger than tl1at bet\veen measures
1 and 2.
Measures 3 a.11d 4 are a sing1e ever1t. M.elodic:ally, there: is one 1nocion-
from Db ro F. Har1nonically, rhere is a progression fron1 VT to IV (with a
ftlnt of ll-tl1e C 011 the fourth beat) to V. Rl1ycl111-Ucall)
, the repeated Eb
acts as a pivot linldng the weak i1art of n1easure 3- \vith 1neasure 4.
The closure at the end of t his phrase is the resi.1lt, first and foremost,
of rl1ythmic stru,cture. On the fusr rh)rtlu1uc lei;rel ( :1 ), e.'lch of the first two
eve11t.s ex1ds on a n1obile \Veak beat e\re11 tl1ot1gl1 tl1e trocl1ee itSelf is closed.
And this mobilit)' is emphasized by the final eighth-notes in the second
violin part. But the final event of the phrase-n1easures 3 4-is decisively
en.d-acceoted., and hence closed. Tl1is clost1re is empllasized by the rests in
1neasure 4 which separate the end of tl1e first phrase fro111 the beginning of
the second. On the seconcl rhythmic level ( 2), n1easwe 2 is an exact repetition
of measure 1-in. durational relatio11slups. Because exact .repetition d.oes not
create col1esi,1e patterning, these meast1res do n.ot create .a clear rhyth111ic
group. They are connected melodicall77' and harmonically, but not rhythmi-
cally. \hat is needed is ten1poral differentiation or d.ynamic change. The
former is provided by the t\VOpmeasure group v.rhich follows. Now the first
two measures cohere because the; .. beco111e _part of tl1e whole pl1rase \vhicl1
is an anapest group; or, from a fo.rmal point of vie\v {analysis), a bar-
form: 'v-w'-x. As a rest1lt, the antecetient phrase is closed, end-accente,d on
the first rnro rhytlunic .
. Because rhythmic closure is forcef11I, the l1arn1onic progressio11 is tmder-
stood as cad.ential. T he progression from the subdomina11t ro the dominant
strongly :Unplies contin.uation to the tonic and hence is on-going, particularly
so beC:a1t1se tl1e bass moves linearly, vvirhot1t decis1ve root m.otion or disjunc-
tion. But rl1ytl1mic arcicuJati<>n makes t1s interpret measure 4 as a poi11t of
relati,,.e scabiljcyr. To generalize: a setrricade11ce n1ight be defined. as one in
which a n1obile, goal-directed, harn1onic proc.ess is temporarily stabilized by
de,cisi\re rhythrnic closure. In other words, a sen1icadence is a case of par-a-
metric noncongn1e11ce which has become archetypal in the stylistic s-ync:ax
of tonal music.
Material corn d1re1tos autorais
The melodic closure of the a11tecede11t phrase, '\vhich is by no rneans
forcefttl, is also prin1arily tl1e result of rh]rthmic articttlario.n. The F is an
acceptable point of cl.osure parrl;r becai1se it is the relati\1ely stable fifth
of tl1e scitle and partly because it was tl1e first 11ote o.f the rune. That is, if
t.he in1plied melodic goal- the tonic, Bb is not reached, it is pr(!ferable to
return t o .the 11oint at ,,,hjcl1 n1otion hegai1 than to ca( 011 some other
Finally, the closure of tlte fu-st p.luase is en1phasized b)' tl1e fact that
t he sec,ond begins like a repetition. Indeed, one of tl1e he11efirs of antecedent-
conseqt1ent patterns is tlia.t the elen1ent of repetition mal<es the pl1rase struc-
ture crystal clear.
Tl1e er"adence at tl1e e11d of tl1e a11tecede11t pl1rase, though ur1a-rnbiguous,
is onl)' partial. the antecede11t ph:rasei the co115equent is
closed 011 tl1e first two levels. Hovvever, t: he melodic implications of rnorio11
from F to Bb are realized; and so are the harmonic implications of the C)'Cle
of fiftl1s progression. Here, ic1 sl1ort, tl1e parru:neters mo,re coI1gn1enrly it1
creating clostire.
Though t i1e first and second rhytl1mic le\1.els create clear clostrre at the
end of rhe conseqt1ent pfu-ase, the third level- t he level of both pl1111ses--:is
not as decisi\rely defined as is u. nail)' rhe case Virith a11tecedent -conseqt1ent
strttctures. Let n1e Beca.use the rempora.1 organization of the phrases
is tl1e same, duracional relntio1isl1i1>S caru1ot sl1ape l1ig h-level rl1j
t1111lic grotp-
ing. hrfelod.ic-harmonic syntax luis to shape the high-level rll)rthm. Norn1all)'
the r11elody of the antecedent phrnse cadences 0 11 eitl1er tl1e second degree
of the scale or the leading tone. For instance
in rhe Theme from l\tfozart's
Piano ir1 A Ai1ajor, discussed in the second chapt er, tl1e 111elody moves
from the third of the scale to tl'1e superton.ic in t he antecedent pl1rase; in the
co11sequent pllrase che Sl1pertor1ic is resolved, motring to the tonic. Thtts
the motion of both. pl1rases js basically frocn the tl1ird
to tl1e second.,
to the to1lic. And, as in Mozart's Theme, i1St1a.ll)r the. semicadence which closes
the antecedent phrase is art:icultrted by a reversal of motion and a
skip in the bass. Bt1t ncitl1er of these tal{e place in Beethove11's tl1e1ne. The
melodic n1or:io11 at the ei-1d of the antecedent J)hrase does not n1ove tOv\rard
tl1e to1uc, but fro.n1 retur:r1i11g to l4"'. The n1otion at ri1e
beginning of each phrase is at least as scrong that at the end, and the F in
the bass at measure 4 .is not preceded by either a reversal or ;a. slcip, 'but foilo'ivS
from the downbeat rnotion beg11n it1 rneastire r : t}1a.t is., it is a concinuatio11 o.f
the scale, Bb-Ab-Gb-to F. As a result, :not only is the rhytl1m of le\
el 3
Material corn direitos autorais
.rather wealdy defined, but the l1igh-level melodic structure, instea.d of being
unequivocally linear, is 111orc or less tri.1.dic--as graph. b in E."{ainple 4 7 shows.
These considerations of closure suggest an e."\.-planation of the melodic
and 1hythmic strtlCture of the secon{l half of tl1is Scherzo section. Melodically,
the first half of t'he section emphasizes th.e fifth degree of the scale (F)
with the Db as a Point of secondary importance. The Bb ar rhe end of the
consequent phrase is et11phasjzed, but it .is not, I think, as promit1ent and
stro11g as tl1e F. The triadic f.rameworlc '\\
luch forn1s
the underlying Stt' of the antecedent-consequer1t organization is, in a
a microcosm of the

theme. For as grapl1 a of E."(an:1ple 47 sl1,ows,

the first part of the rhen1e is a prolong:atio11 of F, the seco11d ii; a prolongation
of Db, while the third is a prolongation of Bb.
Rl1ytht1ucally, the highest level of tl1e first p-arr \Vas nor decisnrely de-
fined. vVh:at is i1eeded i.s a strongl}r grouping to create un-
equivocal closure. A11d tl1is is what \Ve get ll:1 tl1e second section. The first
of these phrases (n1eaSt1res sr1 i) is a. t'vo-measttre pattern exactly repeated ..
Both tl1e first and. second levels of the t';vo-measure groups are trocl1aic. Be-
cause they end on the u1zaccented part .of the rl1)"thmic group, they are
mobile and on-going. Becatise th.ey are alil{e, they are not cohesive. To-
gether they function as \Vcak, ai1acrustic .groups in relation to the four final
measu.res. That is, rh.e \vho.le secor1d part i<; a.n end-accenre,d a,napest pattern
(level 3); or, from a formal point: of vie\\' (level b}, a f)ar-form-m-m'-n.
t\tleasures 13- 16, '\vhich are tl1e acce11ted goal to\vard \vl1ich measures 5f-Il
lead, are also anapest or bar form ( """' -'\v'
) on level r. That is, measures 1 3
a,nd r4, \vnich are essentially alike, ft1nction as weal\'. groups leading to the
last n.vo measures which act as an accent ii1 relation to Tl-US final goal-
direcced patterning is intensified by the crescendo to fortissimo, bringing
the "vhole section ro an emphatic close.
(111 a sense., the anapest rhythm of tl1e secot1d A!-part of
the scherzo is the realizatior1 of a potential present in the .first part. Tll:at is,
while tl1e n1elodic-harmonic stru.cntre it1 the first part caused measures a arid
6 to function as pivots 011 rhytl1n1ic le\rel z, thus \Veakening the. S'COSe of end-
accentuation in both the antecedent and the conseqt1ent ph:rase, measure 14
is not processive in relation co 1 3, but only i11 relation to \\tllat f ollo\vs. To
put rhe matter 1nore gen.erally: in the first part o.f the scherz<l, melodic and
bar1non:ic relationships tend to o"ershado"'' .rhythmic ones; ,v.hile i'n the
seco.nd partl just the reverse is the case. In the second part rhythm is specially
effective precisely bccat1se n1elody and harmo,11y are q11ite static.)
Material corn d1ro1tos autorais
E1'. 11>L.A!NING tv1USIC
Finally, the rettrrn i11 meast1res 13 to 16 to a varied version of the rhyth-
mic-rnclodic pattern of the first .part enlUinces the sense .of closure. A.r:. .noted
i11 Chapter III, return is 11ot che same as repeation. Repeating tl1e first eight
n1easures, for instance, does not enha11ce their closure. \!\That is needed is the
te11sion of '(going a"\.\'il-)' ,
, of instabilit)' Such instability, slight tl1ough it is,
is provided in. this case b)t n1easures 9-1 z.
Tl1ol1gl1 the clostue of the second l1alf of t he tl1e1ne is strong,
oddly enough the lo,v-levcl rhythm ends 0 11 a ,v,eak hear- is somewhat
mobile. It is af'propriate tl1at closure be atter1uared, becat1se this is not th.e
end of the n1oven1e;nt:. Tl1e. Trio is abollt to fol\O"tV. v\'he11 the mc>vement
does er1d, not only do all .rhythmic levels combine to ere-ate closure, but
stability is emphasize.d by coming after t:l1e tension of an extensio11.
2 .
I 11ave considered tl1is 1nt1sic i i1 detail in order to sho\v that closure and
.mobility are functjons of the action and h1teracrion among all tl1c paran1eters
of music. At any point i11 a phrase or sor11e '1vill tend to
create closure, vvhile others "' ' ill pron1ote conci11uity. For instance, in the
partial closure at tl1e end of tl1e first measure, pitcl1 and time disjunctions
tend to sepa1ate events, and harn1onic 111otio:n at1d seconcl-level mel<>dic
organizatio11 make for concint1iry. ln other \Vords, and this is the important, the paran1eters of music d.o t'\Ot as a tt'UC n1ove co11grue11tly. If tile)"
did<! a vvould either be entirely on-going a.11d without disrit1gt1isi1able
internal 01ganization, or it \:vould be decisively closed--without co11nectib11
\'.\rith what follows. BeC'ause the parameters do not mo,re congr11entl)' ; there
are degrees of closure; and these are at times quite subtle.
The degree of cloStire, or i a1ternati\rely, of t11obility, depe11ds upon the
sha1ping of tlie particular parameters at worl<, the degree of articulatio11
contrilwted by eacl1; and the number of para1neters promoting o.r prevent-
ing closure. Oearly some parf11neters are rr1ore unpo.rtanr shaping forces
than otl1ers. In tonal music, for im"ta11ce, 111elody, rhythm, an.d har111ony are
on tl1e \vl1ole more important t han timbre, dynamics, and register. Thus,
though the crescendo at the end of the passa,ge we have been ana1}rzing con-
tribut1es ro the feeling of finality, closi1re v;ro11ld hc1ve been clear "vithour it.
Bnt closure \VouJd 11ot have been stror1g had t l1e fi11al har 111on)r been a Gb
. .
111ajor c.hord.
A gi,ren parameter tTu1y artiet1late varil1us degrees .of closure. For in-
stance, at t he end of measure 4, the rh}
t h111ic closure of the second level is
Material corn d1re1tos autorais
quite stro11g; but there is virtually no rhythmic closure on tf1,e same level at
the end of measure 12 . Or, if the end. of the ai1tecedent phrase is contrasted
with thac of the co.nsequenr, the latt er is inore n1arkedly closed because.
although the degree of rl1yrhn1ic closure is essentially tl1e same, melodic and
harmonic closure are mucl1 more forceful.
E\rery composition, tl1e11, exhibits a luerarchy of closures. The more
decisi\>e the closure at a patticular point, th.e more important the structural
articulation. Or, the smtctti,re o.f a con1position is so?-rz:etl:.ii1zg w/Jicl1 we i?zfer
fro111. the hierarchy of closures whicl' it presents. A composition continues..- -
is mobile and 011-going-partl)r because of the tender1cy of parameters to
act independently of one anotl1er, to be noncongrt1ent. The end of a
movement is not n1erely a cessation of sound.. It is the point at <tvhich al.I
paraineters 1nove congruently ro c.reate rhe stability of closure.
Musical sm1cn1res are hierarcl1ic nor only in this combinational sense,
but also because the individual parameters particularly those that are most
important in the formation of patter11s themselves structured hierar-
chically. Considering the melodic structure of the BeethO-\ten theme
we per-
,cei\re not only the note-to_;note 1notior1 witl1u1 meast1re r, but the motion
of t he 111oriv-es themselves. On tl1e next level, w:e perc,eive the relationship
benveen anteceder1t an,d conseqt1ent melodic structures. Arld so on. Tl1e
same is true of rhythm and of harmony"-a11d to a smaller exten.t, of te.icture.
'The \vay in whicl1 a, particular paraineter acts it1 artict1lating structure
may be differ
ent on different l1ierarchic levels. F o,r example, on lower levels
dynamics anc.f orchestration tend ro contribt1te to the artict1lation of rhyth ...
mic patterr1s, but on big.her levels they generally serve in t he structuring of
large-scale fon11al relationships. Similarly durational relationships are crucial
in the shaping of l(>w-level evenrs such as ffi(>tives and pl1rases; while tonality
and texture are especially important for tl1e orgmization of ltigh-level
tures. i\
1oreover, the role played by a particular parameter depends not o:nly
tipon hierarchic level, but also upon sryle. Hannonic relationships play a
central role in the strucruring of tonal music, but none in the ordering of
most serial compositions. Timbre plays a very significant role in defirling
relationships in \Vebern's music, but only a minor :role in the 111usic of Bach.
Also the syntax of particular parameters tends to change as one mo,res
from one level of the hierarchy to another. For instance, tl1e of
progression in the foreground h.armon}r is different from
that which go,rerns long-range harmonic structures-tonal relarionsllips.
Thus the probability of t he tonic chord (I) being follo,ved by the mediant
Material corn d1roitos autorais
(Ill) is lo\v i11 f o.regrot1nd. hannony, but it is quite high i11 the succession of
ronal areas-particularly i11 the n1ino,r 111ode \-vit11ess :n1easure.s 9-I 2 in the
music '-Ve have been d.isct1ssi11g. I11 like rnai111er, it is r11ore like!)' in the music
of the second l1a1f of the eighteenth century, that a lo\,v-level melodic e;;,rent,
a motive or phrase, \vill l} V\' itl1 a tr:iadic pattern tl1an thtlt the higher-
level connection between pl1rases \ Vill be triadic thot1gh, as this Scherzo or
tl1e 1Vli11uetto of Sympl1on)' No. 40 this is n.ot in1possible.
I11 otl1er words, l1ienucllic sr1uctt1res are nor1unif or1n a.tld discontinuous .
. Just as the \.\
ays in \vhich chemicals uruce to f orn1 molecules are different
from those n1volved in the o.rganization of molecules into cells, so the ways in
whicl1 to11es co111bine to for111 motives are differer1t fro111 the ' '' ays in. wluch
motives cohere to create larger, 1nore con1plex mt1sical ever1ts.
A motive, a IJhrase, or a period is defined by sor11e degree of closure. On
the level of its closure-the level on v\fhich it is understood as a separable
e'\re11t-it is a relatively stable, formal encicyr. Tl1ougl1 it contai1is a11d is
definecl by internal processes, once closed, it is not a process bt1t a palpable
''tlm1g. '' ' ;\Then ii1 rum ir combines "'"ith otl1er events on the san1e level and
thereby becomes part of a 11igher-let-rel ever1t, it agau1 f.u11ctions u1 a proces-
sive \Vay. l\11easure 1 of Beetl10\
en)s tl1en1e, for insta11ce, is a forma] entity-
defined, as \Ve have see11, by i11tcrnal rhyth111ic, 1neiodic, and harmonic re-
lationships. It combines in a processive, sy11Utccic \:\ray ' vith subseque11t eve11ts
to form a higher-level enciry which is closed-at
measure 4. On the level of its closure; the antecedent plu-ase is also a for nlal
entity; and it, in tum, combines t he consequent phrase forming the
:first part of a rounded binary structure. From rhis it a:ppears that the same
event may be characterized as eitl1er fortn or process depe11dit1g upon the
liierarchic context being considered.
A ge11eral principle of hierarchically structured 111u!11c is that , as or1e
moves from one level to an-0tl1er, there is alwa)rs an alternation of func-
tio11al significance. \ IV11ac is processive ot1 one level (for instance, the 11ote-
to-note relationships \vitl1in the first 111easure of the the111e) becotnes f 01111al
(a n1oti\1e) or1 rhe i1ex"t; wl10t is formal 011 or1e level ter1ds tc) becorne proces-
Si'ire 011 tl1e next. And sl1cf1 alternatio11 co11tintles until the highest level-
of tl1.e co111pos:ition ()f moven1ent- is reached.
15 This lnacter is cor1sidered ir1 rnore detail ix\, 1\f.lusic
tl>e Arts ttnd ld.e.1.S ( Chicago:
University of Chicago Press. i.967 ) . pp. 96-{}7, 157-159, 3o6-308, arid passin1.
G ,rcncs n1ay follo'v one another 9;rithoi1t creating hierarchic s011ctr1.te, as, for
insm11ce, in t successive of an osrinaro figt:ire . . An ostitiato patter n \Vill
Material corn dirc1tos autorais
In complex composjcions the s:trt1ctt1ral le:vel that \.vl1icl1 is
the basis for naming the form-is usually n1ixed. It is formal in that relatively
stable the1nes are presented; ar1d it is processive il1 tlu1t sucl1 stt\ble events are
fur1ctionally related to less stable parts. "fhe clearest example of this sort of
organization is the .rounded bil1ary forn1. And the most complex rounded
binary s:rructur:es are sonata-form n1-0ve1t1ents. Tl1ough one n1igl1t argue that
the highest level of a sonam-fom1 moveme11t is essenciall y pro:eessive wa
single e11tity it1 V\'hich nvo sin1ilar sube,re11ts. tlte exposition and recapitula-
tion, are functionally bound togetl1er by the dei.1elop1nent-it is, I tt1inl
closer to experienc<e to say that the recapitulatio11 is an aspect of
formal not just Of structure. In.deed, this is the case
even "'itl1 roun.ded bit1ary f <)r111s sucl1 as the Beetl1oven theme '\Ve
,have been concerned '\'\rith. The final foQr meaSt1res are part both of a &yn-
tactic process, the resolution of a tension, and of a formal entit)r, r ecogniz-
able because of conformant the first part of t:l1e section.
The distinction is difficult to make because the word ''f'orm', at least
twB meanings: tl1ese 111ight be characte1ized as tl1e differe11ce a
composition '<ha\tin.g form'' and ''being a forrn_,, "' e say tl1at something
has f or1n if its pans are related. to one another in a ft1nccional, syntactic
'vay. A ca.dential chord progression, a sequenc:e, a developn1e11t sec"tion are
processes \vt1icl1 have form. [11 tl1e saine se11se, a play and a 11c)vel have form.
But they are not forms, V\lhen \Ve s-ayr that something is a particular form-
t1sually giving it a name lil<e so:nata-for:m, rontio, theme and variations, etc.
- ive are referring hoth; to ics hjerarchic structure and to irs conf or:n1a11t
organization On the highest level. \ hen both types of relationship are
mic1tlated by clear diff erentiarion, then relatio11slu ps \'\"ill be formal. That
is, tl1e complex event v\ri.ll be said to be a form.
Son}ecimes themes-parcicularl)' fugue themes-are es-sentially proces-
sive entities. They 11ave forn1 in the sense o.f 11aving a begi1111ir1g or gen.erative
event, a nudd1e or pr,ocess Y\'hich moves tO"'ard some goal, and an end- the
arrival at: son1e sort .of clost1re. The subject of the F Minor Fl1gue from Book I
of the, Well-Tempered Clavier, as Example 50 showst is essentially a single
jlrocess a chromatic decent from tl1e fifth of the scale to the tonic. T'.l1e
changing-note C-Db-C, is the beginning or generative eve11t; the con-
itsclf be hier'!lrchic, bu.t the series af identical patterns can cr.eate no higher-level
org-amzaciou. The series of is add,iri,re, not processive. Thus osti.oatos give
rise to 'illl'l1at Herbert Sil11on Iias called "flat hie1a.rchie.s .. ;, See "The Architecture of
Complexity," p. 469.
Material corn d1ro1tos autorais
jt1nct n1otion ro\,ratd F is rhe rr1edia1 process; and the arrival at the tonic
in measure 4 is the conclt1sion, and iI1 this c'lse the beginning of a ne\-v event. the conjttllCt prc)Cess is i11terrt1pted by tile n1otio11 fro1n E to F, this
is tinderstood as bcing separate fro1n the ''real'' 1nelodic motion. (The inter ..
jection creates \Vhat \vill 'be called a potential sttllCtural tone. Becat1se its
melodic promil1ence is 11or n1atched b;r its functional in1portance, stn1cnrral
empll3Sls is called. rfhis t akes place-t}1e pOteIItiai is a<.."tllaltz.ed
the ans\ver begins 011 cl1e F. )
T11e bfisic n1elodic process cannot
be di,rided or labeled ''A') and ' ' B," etc. Compare tl1is V\rith the co11sequent
pl1rase of the Beethoven example, \Vhich also desce11ds fro111 the fi.frh to the
tonic in. the nlinor mode. The Bach is pl1re process. In the 'Beer11oven, the
same pr.ocess is embodied in a set of formal relationships which ca11 be
labeled w-'\\r'-x-and classified as a bar-for1n.
There tlre e\' eI1 corn.1-1lete pieces wl1ich are basically syntactic processes.
In the first nvo })relude.s of Book I of Bach>s ' lV ell-Tem1:>ered Oavier, for in-
stance, are 110 closed stlble ever1tS m-0tives or tl1emes \Vhich are re-
peated on the highest lev.el. Neither 11relude is a form '\\rr1icl1 can be labeled
as ,.i\-BA .or the like. Bllt both /Jave form. Sy11tactic coher:ence is a result of
the fu11ctior1al .relati-011sllips between the begimill1g, wl1icl1 has a relatively
harmonic the middle, in \vhich a. less stable, sequential melodic-
.11armonic process moves tOV\
a,rd the goal of stabilizing rensiort on rl'1e donli-
nant; and the co11cJusio11, \Vhich consists of a. prolonged cadential progression.
The only repetirio11- tl1at of t l1e 1tC)"board figure '\vitl1in. the t11eas11re, "vhich
serves ro sustain t he ham1ony-is not syntactically srrucrured. Irs constant
Porential tones are disctissed in Pan II. pp. l 96- :z o.1.
Patterns v.
hich are 11ot str(rngly st:n.1ctured frorn a for1nal point of view- \vl1ict1 ptim-aril.)' processive-are specially fo.r contraput1ra.l treatt11ent. T11ey be-
come for1nal on higher levels, usually ,tfirough i1nita.tion ..
Material corn d1re1tos autorais
.1 ..
: '



' '

di I '
' '
- -
,. .. .--
,. '
.fiL : ...
.. -

' '


- ' ' '
IJ .
!' Oif"U'
: :"::
:: 74
1- .
.,.. e

ii I

:!J! .

. " ..
. .
.,,.,.,,.._ .
. '




..-r.. .. .. .
ii '

' ',


' '
' ..;; ' .

,, rr
. ;, . [ '



' '
- -
' '

- .- - '
- '



-- - '
- !!'

- .
' '
- '
' ,,,
,, '

' '
repecit.ion precludes process. Cotisequent:lj' it is understood as an active
ground, mtl1er tl1an as an implicative patterning.
Purely formal stru,ctures are additive. Though successi\re events may
Material corn dirc1tos autorais
be related by co1uorrnance (as i11 a strophlc form: - '-A'' . . . An)
syn.tactic processes create lugl1er levels of .organization . .l\11d because the)r do
not readil;r give rise to higher levels of orgruliza:tion, such forn1al scrucn1res
seldon1 occur on lo\ver levels. The single exceptio11 is the ostinato; and s\1ch
unvaried }Jatt.erns generally fu11ction as grounds O\rer "'' hict1 processive
patrerns appear. For insta11ce, the m.orive F-E-D-C# in Ravel>s RlJt'f'psodie
Esptttpzole (Example 5 r ) is repeated over over, and, after one or two
repetitions, is tlJ:1derstood as a patter11ed ground a.gainst which tl1e <'real
tones are l1eard. Tl1e cirCl.1ri1sta11ce i11 rl1is case is tl1at the ground is
aln1ost as well shaped as so111e of t'he figures. The result is a. subcle a1nbiguity
\vl1icl1 llavel enhances by moclifying the orchescratior1 and dy11anncs o.f the
ostinato so that at tin1es it beco.r11es t he focus of attet1tion and seems to
... 4
its fur1ctton.
At tirnes a:i.,-ial melodies ha'\re sornerl1i11g of the of additive
The fust measltres of the Seconcl Moveo1ent of Brah111S' Fourth
Sy111pho11y corisist, as Example 52 sho,:vs, of a11 axial E en1bellishe(i \virh
upper and lower neighbor-notes. Though th.e e11lbellishn1e11ts suggest direc-
rior1s of rnotion, and tl1ough ti1e addition of octave dollbli11gs in the oboes,.
bassoons and flu.tes pro,1ide variety and a sense Of motion. a tr1Je sy11tactic
process is not generated until rr1easure 5, wl1ere the repetition of the axial
pattern a third higher r11a kes it probable tl1at tl1e cl1e,me \:Vill be triadic on
the pltrase level. And rlus ii1deed proves co be tl1e case: the axial I'attern
n1oves to B i11111east1re 1 5.
Bttt the clearest instance of pt1rely forn1a1 stru.cttire occurs on l1igl1er
:1rchitecto11ic levels-.na111el yr, the therne and variacio:ns. TI1e :first n.1ove-
me11t of Nlozartls i\ -Nlajor Pia110 Sonata, of whicl1 the Therne disct:issed
in the second m::t}' senre as an ex.ample. The Theme, and conseq\1ently
A.xial tnelodies are discussed in Part II, pp. 183- 191.
Material corn d1re1tos autorais
each of the variations upon it, is both s}rntactically and formally struc-
tured (Example 17). The first part, an phrase, though
b)7lltactic, is a formal entity on the level of its closure. The next
four measures ( 9-11) are prin1arily syntactic in .fu11ccion, Sttfficient
tet1sion and change to call for a return to the consequent p'hrase, 'vhose
closure is enhanced by a brief extension.
Though tl1e the111e itself is a mL'\:ttire of form process, the movement
as a whole is essentially formal. Parts-tl1e the111e and its variations are re-
lated co one another 11ot it1 terms of any 0\
er-all process, but in terms of
co1iformance, it1 cerms of harmonic stn1crural parallelis1n and motivic sirni-
lariry. There h.ov..rever, be in1plic,1tive connections benveen parts. \Ve
saw, for instance, that the potential fourth, E to B across cl1e first barline
implies and is related to its actualization. in the first But such fore-
ground co11necrio11s, ho\vever i11terest ing and importan.t they may be
do 11ot
create or depend upon the existence 0 high-level processive relationslups.
Observe that hec:: 1use tlle l1igl1est level is adclitive, ratl1er tha11 processive,
the series lacks an internally strt1ctured point of probable termination. The
number o.f parts is \
ari.1.ble- n1a11y or fe\v-depe11ding t1pot1 the ingent1ity
of the composer, the taste of the ti111e, and the patience of tl1e audience .. Of
cot1rse adc.i.itive strut'tures ,car1 be ordered in sonie no11-processive \\ray. For
instance, variation n1ovem.ents often hav,e a te11de1lC)t to 1110\re it1 the direc-
tion of greater complexity, faster te11l.pi, and louder dyna:mics. But these
are ''rrended,' changes, 11ot processi\
e ones. That is, a num.ber of \'ariations
of increasing con1plexiry and so on ma.y be f by a variatio11 is
simple, slo\v, and soft. Formal, additive sn11ctures n1ay be ordered in still
other \.\rays: for instancet in terms of son1e set of ke;r relationships as in the
Well-Tempered Clavier, the suite, or tl1e S)
111pho11y; or in ter1ns of a cext-
as in a stropl1ic song. 111 last case, the text inay provide syntactic co1J-
nectir>ns \Vhich the mt1sic itself lacks.. In all these lcinds, the struc-
tt1re will be 11ot processive, unless tl1ere is son1e sort of functional
dilf ere11ciation among parts.
A t heme and 1rariationst a song, a set of prelt1des or erodes is
similar to '\Vbat He1bert Simon J1as c'lllled a flat hierarchy. He Observes
'a diaruor1d is l1ierarchic, for it is a structure of car'bon atonis
that be further deco.mposed into protons, neUtrfJl1S
and electrons. rlO\.V-
ever, it is a 'flat' hierarch.y, in whicl1 the nun1ber of first order st1bsysrems
can be large .. "

From this poi11t of ' 'ie,v, the 'history of the rhen1e

0 Simon, uTne Architecture of p. 469,.
Material corn direitos autorais
and variations in the eigl1teentl1 a11d 11i11etee11tl1 centuries migl1t be under-
stood as the search. for a '1vay of transforming a "naturally>' flatt additive
l1ierarchy (as in 1nost B(troqt1e a11d early classical variatio11s) into an arcl1ed,
processi\!e one- one 'tV>ith. functionall y differe11tiated parrs (as in variations
of Schu1nann, Fra.11ck, and some of Beetho,ren).
Though the forn1 of a con1:posi.tion is general!}' classified ii1 terrns of
the organization of the highest level, for111al strt1ctures are found on all
levels of any worl{ of i-easo11<1ble cotnplexity. And Vl itl1 sorne qL1alificacio1i,
the same formal types 111a1
arise on diff eret1t hierarchic le,rels. The Beeth.oven
theme given in Example 47 is a clear case in point. On the first level
the antecedent and are bar-forms. Unless, like son1e
cheorists, 011e considers a so11a:ta-form mo,.remei-1r tliat repeats tl1e exposition
to be a har-fon11:
Exposition -
Exposition - Development a11d Rec-apitulation
A' B
or one follows Alfred Lore1iz in discovering large-scale bar-forms in
Wagners operas, sucl1 for111al are usually low-level; corllined to
melodies or pa.rrs of melodies,
On tl1e second level (b), the firsr pare of Beetl10'\
e11's the1ne is an ai1te-
cedent-conseqt1ent phrase. SL1ch f orn1al do at ti1nes for m the highest
level of a compositio11- tlSually ratl1er short: one'5. Cl1opin's Prelude in E
Nlinor Opus 18 No. 4, \vould be an exa111ple. l n this ic1cidentally, the
n.vo phrases are themselves essentially processi,re- withot1t significant
ternal formal structure as i11 Beetl.10,
e11' s tl1e111e. On tl1e higl1est: level (c) , tl1e
scherzantto section of Beetl1ove11's rno,rerner1t .is a rounded bi11a:ry fon1l :

A-BA. This is perhaps the most comrr1on form in to11al rnus.ic. It is the
basis of cottn.tless nlelodies and themes \\rithin so11ata-f orm i11ovem.ents,
rondos, minuettos, t he1nes a11d variations, and so 011. On lugher levels,
elaborated by subsidiary formal events, rou.11ded-bir1ary orga1rizacion is t11e for most dance forn.lS o.f the eighteer1th ce11tury and of sonta-form
T he Beethove11 then1e is, of co11rse., pan of a 1noven1erlt \.Vhict1 is tert1ary,
A-B,-A, in forn1. T.l1ough first arid last parts are related to one another by
repetition (that is, by conf onnance) ,, da capo srructures such as this, lilce
strophic structures suci1 as tl1e the1ne and variations, are essentially forrr1al,
not processive,, on. th.e l1igl1est: le,rel. This is the case, n.ot 011ly beca1.1se clear
closure and satisfactory stabili1:)
are established at t l1e end of each but
Material corn d1roitos autorais
because the parts themselves are not processively related: neither implies
tl1e Otllet ill a, fl.1nctional way, as is ttle case, for itlStanc,e, '\Vith the develop-
n1e11t section of a sonaca-f.orn1 mo'\1ement. For these reasons, even though.
co1ifor111a11t relacio11ships n1ay furnish rhe comfort of familiarity, may act
as an aid to n1emory, or may provide the pleasure of recognition and psychic
economy, the parts of m-ost 111t1ltin10\
ement \\rorks-syxn11l1or1ies and sonatas,
dance suites and so11g cycles, or collections of pieces in tl1e same genre like
preludes, ettides ai1d so 011-are related to 011e an:ocl1er i.t1 a, f<)rtna! \V-ay .
i1any forms fall bet\'\'een the purel}r processive and the exclusively
f.orn1al. Ritornello rondos, fugues, and characteristic pieces such
as rl1apsodies, noctur11es
and so on are nor, as a rule, ltlghly arched. For
unlike sonata-form movenlents, they co11rai11 no centrally processive pai't. Nor,
on the other hancl, are they strictly ac.iditive arid formal. Fo.r though :basically
on the same hierarc.hic lev:el, the several stable pans are processively con-
nected to each orher by less sta.ble modt11atory episodes. Such sr.rucnires
might be called co11junccive flat 11ierruvchies. Because th.ey contain processive
parts, such conjunctive hierarchies caJ1 easil)' beco111e l1ighly arcl1ed- as
in 01any of Bacl1's fugues or in the so-called sonata-rondo. Finally, falling
ben.veen the formal and the processive> are contrapuntal forms whicl1 are
mixed. For instance, in a ground bass aria, such as the final lament in Purcell
Dido a1ui Aeneas, tl1e bass is strophic a11d additi,re, while the \TOice and upper
instrun1e11tal parts are significantly processive. 111 canons, the iniitacive relaM
tionships between the voices tend to preclude rnarked fu11ctional di1ferenria-
tio11 .bet\1reen parts. Yet cano11s a:re co11rinuot1s, i1ot ad.dirive. An interlacing of
complementary, but like. strands of music creates wbat I cilled a
braided hierarchy, v.rhich is processive and. continuo1IS, yet at the same time
quite lat--'in the foregrot1nd.
The distinction ber,veen form and process is important for the analysis
and classification of hierarchic structures and because they ar rimes function
independently of one another. As a rule, formal organization-the part-wi1ole
relationships of a con1posicion-and syntactic r>rocesses supiJort and co111ple-
in1purt:ant exceptions, most forn:1al tyI'>eS of organimti-011 can the111selves
becon1e puts of larger whnles. For instance, a canon n1ay be part of an essentially
additive whole, such as B,ach,s An of 1J1e Fugue; or it may be part of a. prooessive
scructuret like tl1e opening then1e of the lase 111ove1rlc.t1t of Franck's Soruita for Violin
and Piano.
Material corn direitos autorais
me11t 011e another in tl1e articulacio11 of n1usical structt1re. For u1sta11ce, at the
end, of the consequent phrase of the Beethoven the1n.e in Example 4 7, rhytl1-
n1ic, rnelodict and har111onic processes re<1cl1 clost1re at the san1e ru11e a
clearl}r shaped formal e'\1enr comes to an end. In the second !1alf of the theme,
.ho\vever> tneasu.res 9-12 are processi\
e ax1d unsta.ble botl1 rt1ythrnicall)r a.nd
11a,rmo11ically. Their process carries o,rer into the next fot1r measures. But
tl1ere is a clear formal tiivision between tl1ese pares. Tl1at is, the last four
measures constitute a f or.mal entity, but are at the same tin1e the contin.uation
of a process generated earlier. Because this ex.ample n1ight b.e in
terms of the alternation of formal and functions \Vithin a hierar-
chy, rarher than in tetms of tl1eir or division, it mayr see1n some-
\vhat equivocal .. Let us, therefo1e, consider other exa1nples.
Example 5 3 is tl1e beginning, tli.roi1gl1 tl1e first beat of meJStu-e I 2 of
Bach's Fugue in. F iVlinor fro111 tl1e seco11d Book of the
Cla\1ier. Fro.n1 a formal poinr of ,,ie\v the subject is a bar-form__;not a one-
part form like the subject of tl1e F-Mi11or Fugue of Book l {E.'X.arriple 50).
As the analysis indicates, the firsr event, ./' [J2,} is an amphihrach group
"" . .
\ . - "")
ii : e: 71! Iii
lasting for four eight h-11otes. And so is the secon.d event. These together
imply that rl1e .next group "vill be as long-a gestu,re of eigl1t eigl1t h-
notes. Ancl this is basically "vl13t foJl o"'' s, except chat the g:ro:i.1p httS no
clearly defined closure. The n101nentt1m. of tl1e 5'ixteentl1-notes cor1tinues on
into n1eas1ires 5 a.nd 6, despite the entra11ce of the answer on the last eigl1th
of 1ne.asure 4.
tl1e subject con.tai11s tl.rrec distinguisha:b]e stra11ds, as tl1e
anaJ}rsis over the example sho,,vs. The first of tl1ese, graph involves a mo-
rion fro111 F in rr1eaSltre 1 to the E in n1easure 2 \vl1icl1 is left uriresolved
tu1til the ai1swer e11ters in 111easirre 4. {Notice that in lil{e the C to
B of the ar1swer i111plies the second entrance of tl1e St1bjecr in 111easure 1 i .)
Srrancl b consiSts of tl.1e ur>l1eats to measures t and 2. Becat1se they are
fu11ccionally parallel and conju1lct i11 pitcl1 . they are perceived as a latentt
subsidiary .Patter11 \:Vliose Iir1ear co nci11uation, probal)ly to Eb, is i.niplied . . Like
the F in Example t lie C and Db are potential strt1ct\tral to.nes. T }1ar is,
their 111elodic pron1ine11ce st1ggescs tl1at they sh-0L1ld. he important strtlc-
turally; btit beca.use they aIe rhythmically \veak, that ft111ction is denied
them. Co.nsequently, they are iinplicar.ive of a tone vvithin the
Material corn direitos autorais
. u - - IL.# ""' ': - 4 ' a ,, I
__ V ""! i=
.. us;z
I - 7
,- p .
Example 53
linear pattern alre'1dy Thar implicaci<>n is r:ealized their poten-
tial is actualized-by the Eb in 5. Bach reii1forces the Db in measure
3 and moves tl1rough Dq in n1easure 4 to the Eb.
The m.ain melod.ic line, strar1d c, consists of tl1e first beats .of ti1e measures,
each of wb.ich is for th.e whole measure. Thls line
moves fron1 F to E, then, tl1rough a skip of a din1inished fifth, to Bb and Ab.
And here ''theoret.icall)r' the fugt1e subject ends. Except that it does11
t. Tl1e
n1elodic process gene.rated in the first four 111east1res continues on as the Ab
is f ollo\,red by a skip of a fiftl1 to Eb \-vhicl1 111oves by conj'u.t1ct mor:io11 to
Material corn d1ro1tos autorais
the D. The E is in1portant not r11erel)r becat1se it is the highest not,e and
accompanies the first acce11ted beat of the ans\:ver, but because cl1e main line
'Of st1 bstar1rive cones ar1d the li11e of pote11tial tones co1iverge on that pitch.
Though the melodic process ,of the subject concii1t1es throt1gh t11easure 6,
and possibly the entrance of the ar1swer creates a. clear and unan1-
bigt1ous arricruation. This is the beginning of a ne\.V shape, a11d of a
ne"v process. For n,vo n1easure.5 measures s ai1d 6-the co,ntint1arion of subQ
)ect and tl1e a.ns\ver rnove ir1 parallel rnorion. The11 tl1e processes generated
ir1 tl1e anS\\ter becon1e rt1e gt'liding force as both voices move seque11tially
a.rd the cadence in 111e.aswe t 2.
"fhis is a clea,r instance of tl1e bifur.catio11 of form process: a. second
f orr11al-processive e enr begins before a previousl}' generated one 1'1as been
coinpleted. What are called. elisio1is i11volve l<lnd of di1rision of form a11d
process. But IlOt all bif t1rcations a:re, strictl)' spea.lring
'The articu1atiot1 of a 11e'\v for111al division may be the result i1ot of the
generario11 of a seco11d proc.-ess, as iJ1 the Bach ft1gue,. but may occur simply
bec<tuse a single processive eve11t receives decisi,re, inter.nal articulation. Con-
sider tl1e beginning of Beethove11'.s String Quartet in Eb M.ajor, Opus i 27.
As E."tat1111le 54 tl1e t11ovemer1t opeti.5 with a si.x-1neasure 1\l.laestoso. For
the first fi,
e tonic harmOD)' , complemented b)" don1i11ant-seve11tl1
cl1ords., pre\rails. At .tl1e end of rneasure 5 \ a progression througll the st1b-
n1e(iiant (C rruno.r) leads to the subdomi11t1n.t. 'The r11ain inotio11-from Ev
to Aj,-leaves the harn1(11uc s:iruacior\ oper1 a.t1d n1obile. The liarrrionic in1-
plication9 of the iVla.esroso are ambig. t1ous. Rh.Ythmicallv, the first level-that
. . "'
of tv;10-n1easure groups-is croch.aic, as the sf orza1idi of n1easures 1, 3 and. 5

Or1 cl1e le\ el, tl1e pairs of 111easures for.n1 a dactyl groliping,
bt1t one which, becat1se of rl1e trill and the harmot1}' i11 measure 6, is open
a11d n1obile. As a r esult , the sixth n1eastu-e also functions as an t,\Oacrusis.
vVhatever the an1biguiries of rh)rthn1 a11c1 harmony m-ay be, the 1nelodic
structure is clear a,nd i1al1)able. As the a.n.aiysis over Ex.an1ple 54 i11dicates, it
co11sisrs essentially of a tria.dic n1ocion., \vhicl1 i1101ires to C in the
sixrl1 tneasure. Thot1gh the thoo.retic:il-psychological basis for the c,011tentiot1
2 Here, too, there is a dJ,rision between form and process--.tlbeit a slight one.
ThougI1 the harn1ony and. tl1e process of tl1e lo\\
er n1elodic lir1e e11d. 'vith the firSt beat
of tl1e subject n1 1neasure z1, r:he fourtl1. species counterpoint implicit in rhe upper tine
conti11ues to the second. cigl1th-11oce, th:e F, i11 n1ea.sure l l--'Jnd perhaps beyond.
I suspet."t ti-mt tl1e sforzandi 011 t ile syncopateci quarter-notes in measures z and
4 are tl1-ere in order to prevent the final in these 111easures from fn.nction-
liig as upbeats.
Material corn d1roitos autorais
~ I,._
' ...
~ '
' .
I 'P
~ . , , . , , .
, ....
' '
~ .
' .
,..,.,_ '1r'
- J
1 -
' '

r-. I ,
, ':> I
' ' .
.,. .
I '
Material corn dirc1tos autorais
c:annot be explained here,
t triaclic patterns can ft1nccion in t\\ro ways. Tney
can impl}r their Ov\rn contintiation to a point of relative stabilit}r, usually the
octave abo,.re the first n.ote of the pattern-.:in chis case, the high Eb. And
triadic patterns can also funccion as disjunctions (gaps to be filled) imply-
ing co11j11nct 1110tiot1 hack co the 11ote from which they bega.n-in this case,
the lo'\\
er E . Boe}) irnplic1: 1tio11s can be as they are in this quartet.
Tl1e u11plicatio11S gen.crated b}' tl1e tti.-itiic process of tl1e are
realized i11 the Allegro folJo,vs. The lovely lyrical melody \Vruch be-
gins the Allegro, cfescends conjunctly to the Ab in .n1ea.st1r.e 9. It is temporar-
ily deflected u.p to the B it1 a kind of spurious semicader1ce (tl1e harn1011y,
I<.:: , is the don1mant of Ab and tl1e r11elodic pitch, }jp, is t he fifrh of the tonic,.
Eb), S<) chat tl1e first four measures of the Al.le,gro function as a kind of
antecedettt plirase. conse(1uent follov.ts reaching a tonic chord \i(1ith G
in tl:ie soprano. This "antecedent-co11Sequent' structure is repeated, chis ritne
reaching t:he Eb in rl1e upper octa\re in n1easure 1 2 and. realizing tl1e irnpli-
cacion of triadic conrin11ation. But tl1e decisive clost:ire-the end of the fust-
cl1en1e group-eon1es 011ly in measure 3 2, tl'1e lo'\\rer Eb as the cadential
pitch. A11d there, the second violit1 leads 1ine-arly th.rougl1 F ro the to11ic.
In the melodic, har.n1or1ic, arid rhythmic processes generated in
tl1e iVIaestoso are conti11l1ed anti actualized in tl1e Allegro. No alternative
eve11ts a!'e genented. But t l1e begi11rill1g of the Allegro, clear!)"' articulated by
tl1e cl1aI1ges in meter, tempo, dy narnics, texrure, expres.5.\011, arid cl1aracrer
nevertheless established as a ne\v formal entity. There is a biftll'Cacion of for1n
ar1 d p.roeess.
T.hat Beethoven corisiders the .melody ,v}1icf'.t l1egi11s tl1e Allergo as an
entity in its O\\.rn right is sl1own in the t'hat its returns in the recapitula-
tion are not pr eceded by the J\1laestos-0. This inde11ende11ce is possible
b)r rl1e special nat t1re of the co11jt1nct part of the gap-fill structtue. Let me

In 1.11ost gap-fill r l1e111es and they are legjon in tonal i11usic-the con-
jur1cc ''fill'' is 11or divided into paralell such as. anteceder1t-coi1se-
que11t phrases o.r v\rbat Josepl1 l(erma11 l1a.s called. ''.doublets. ' J.
The subject
of the D#-A
1inor Ft1gue fron1 Book I of the Well-Ten1pered Clavier is, as
Example 55 shows, rl gap-fil l n1elody. However, th:ougl1 it cont ains
14 See t11e d.iSC'l1s.sio11 of "l)isja.r1ct pntterns,
in Part II. and the nt111lys.i.s of t he
melody of rhe fourtJ1 1novc:mcnt of Beethoveo*s Fourth Symphony, p. :18.
l'J Tlie Beethoven Otlartets ( York: Alfred A. l{nopf. 1967) , pp. :z.01- 204.
Material corn d1roitos autorais
Example 55
artict1lation-the gap is rene\ved b)' tb.e skip from D# to G#-the pares have
110 rhythmic-structural indepe11dence. The subject is esse11tially a single ges-
ture. On che otl1er hand, .if a t1Jelody is divided into parallel structural parts,
then tf1e generating disjunction is usually repeatecJ at the beginning of tl1e
second part. For instance, in the lVfinuetto from 1\iiozart's Flute Quartet
(K.2,98) bo:th the antecedent and the conseqt1e11t pl1.rases are pre.ceded by a
triadic gap (.E."Carnple 56).
Example 56
f I
lr1 i1either of these cases does r:t1e conjunct: 'tfill,' itself form a quasi ante-
cedent-consequent doublet structure, as in the descending m.otion in the Al-
legro meJody of OpttS 117 . lt is because the ''fill 1' is itself clearly structured
that the Allegro thern.e of this movement can become independent of the

which first generated it. The reason wh.y it does in fact become
separated from tl1e

tl1e Maestoso d<)es 11ot retur11 ii1 tl1e re-

capit1tlacion- is conv.incingly stttted by Joseph Kerman: '
. the iWaestoso
r.1ever appears agaiti, neither to it1t.roduce its consequent in. the recapitulation,
nor any,,ihere in the coda. It falls victim to the single-n1ir1ded lyric a1nbition
:J.6 The skip from the .first A to the D above it not function as a gap
to be filled but as an harmonic interval and a basis for ocm\re defi11.icio11.
Material corn d1ro1tos autorais
of the inovement as iI \.vl1ole ... The rnover11e11t lives nor on contrast but
011 the inherent bea11r;r of the conseqt1ent doublet plrrase. )! t
I:n these exa.1n.ples of bifurcation, a pre,riously gen.erared process co11-
cint1es beyo.nd and transcends for111al arriculatio11. The re\rerse is 3.cl5o possible.
That is, process tnay reach cl0St1re before the fonnal strt1cn1re has bee11 com-
p.Ieted. Echoes and extensions, for i11stance, often serve to i1ormalize the
morphological length of a pl1rase or period after caden.tial clostrre.
Since thi<i
s-ort of adjustment is "'rel l u11derstood, a single exainple serve as an illus-

Tl1e "Dllml<a'> frorn DvoHk s Piano Qi.rintet, Opus 81, begi11s v1rith the
four-btir n1elody gl'' en it1 Exar11i:>le 57. Tf1e harmo11;r r11oves .fron1 tl1e tonic to
an altered subdon1i11at1t \\rl1icl1 is followed by the don1inant .ill <)Ver a tonic
ped,al-'and then baclr to the to11ic, and is completecl in measure 3. So are

- '
Ex11mple 57
both melodic and rh}rthmic processes. Because the melodic accet1t is sup-
pressed at the beginriing of n1eastire 2, as as for harmonic reasons, rhe
second n1easure functions as a "'' eak grottp linlcii1g me.as11res 1 and 3. !\tlelod=
ically, tl1e seconcl mea.stU'e lea.ds back to, and the Ctt a11d Fit
previously prese11ted. \ha-c process tl1ere is, is clear! y closed b)r the erid of
measlire 3. But the 111orphological ler1gtl1 estal>lished by t he opening two-
measure group-at1d '\-Vhich in addition is nortnaci,re it1 tllis style-c.ills for
ft11other nleasure.. To 11or1naliz.e the length, a fourth n1eaS1.ll'e-an echo- ic;
added. The ecl10 is r1or part of the process; it is an aspect 011l}r of forr11. 111
oth,er \\
ords, it1 this case form trat1scends p1ocess, while i11 the Beetho en an,d
Bach examplest process transcends form. Bt1t botl1 types i11,rol,1e
The Beetho11e1i Quurtets, pp. 204- 105. B)' "anrecedene,
Ke..riruin 111&lns- the
Maestoso "gap
structure; by ''conseqltent,u he means the desce11di1i-g conjunct
ts Prolongations are discm.-sed in P-art ll, pp. 126-241,
Material corn d1roitos autorais
I should like to close on a more ge11eral 11ote. The basis and nature of
hier:archic structures is of more t han purely ,musical interest. In a climate of
discipli.11ary diversiry and specialization s11ch as the one we li,re in, the need
tor COlllIDOU COilCept S fiel{iS-lS pressing. The
young in particular, I think, feel that kno,vledge is f rag1nented and disjointed.
One featuie which almost all (iisci1,lines l1ave in con1mon is that rhey are con-
ce.rned the analysis and u11derstanding of hierarchic structures. In the
ph)rsical \VorlcL scientists srn(l}; relationslups ral'1gi11g from. the level of micro-
particles to tlia.t: of the cosmos.; biologists are conc:erned with levels of organi-
zation running fron1 microbiology to the ecology of the planer; in rl1e social
sciences, the hierarcl1y includes a span ranging froin the ps}"Chology of the
indi,ridt1a.l ro rl1e beh.avior of nations and culrures. Witllin the hunlanities,
naming o:uly the rr1ost obv"'ious fields, literature and as well as 1nasi:c
are riecessarily concerned \vith hierarclU.c stri1ctures. l\411ch V\rorlc needs to be
done. For even in the physical and biological scietlces, ,tl1e precise -u
ays in
which luerarchies arise and levels interact are not fully lmown. In the social
sciences a11d the humanities onl)
the barest beginning has been made.
But there is no real alternative. For most of us at least, t he pate11t diver-
sit)r of the world \\111 11ot be made comprehensil)le by the transcendental
visions Of mysticism. Nor will it be united by trying to make the humanities
more scientific., in the sense of striving for exh.ausrive systematiza.tion or exact
quan.tificatiou. Particularly, if one is. concerned \vith the explanation of par-
ticular instances, tl1en, as I argued in my first chapter, the exhausti\:re is im-
possible and the de.fitutive unattainable. Different disciplines and diverse con-
ceptual fra1ne11;vorks will be b.rot1gl1t togetl1er throu,gh caref ul inquiry into
problems and modes of organization '\Vhich are really comn1on and shared.
1ne nature of hierarchic structures. is certainly ttn area of such
Material corn direitos autorais
... 41
m _ icat1on in ona .
. ...
Material corn d1re1tos autorais
--------'-.. -................. ,.-. -----y----
1 I _
Understanding music is simply a. matter of attending to and compre-
hending tonal-temporal relationsl1ips. ho\\r.ever subtle and. con1plex tl1ey may
prove to be. Two kinds of relationshlps-conformant and hierarchic ones-
ha,re already been considered. Tllis part of the book \vill he primarily co11-
ce:rned with motlier kind of .relarionsl1ip which l sl1all call i'f11plicative. And,
as the title of Part Two indicates, the n1ain focus of attention will b.e npo11
' li . . . al l d
unp canon as 1t o"Ccurs 1n. ton me o y.
There is at present virtually i10 viable co11ceptual f r.a1nework. for the
criticism of melody . .l\
1oSt analyses. consist of an unilluminating amal-
gam of bla.tant descripcio11 (the melody rises to a climactic Fj and d.escends
to a cadence 011 B), of rou.tine f orrnal classifica.cion ( tl1e first phrase is an ante-
cedent, rhe second a consequent), and of a naive account of motivic similarity
motive of the first is repeated in the third and is inverted in the
seventh me,asure) . One reason for this s-0rry state of affairs is that, at least of
late, too mai1y "'titers have attempted co discuss melody in general. But it is
difficult; if not in1possible, to construct a theor}r \vhic'h will encompass tl1e
melodic styles of Nlachaut; l\itozart, and Webern- not to cnention J a''anese
and Ja.paJ1ese music, an.d so on. \Ve liave a pretty good theory of tonal har-
.mony precisely we have not<ed 'c,vhat is harrnony?'
hue liave
btillt tl theory Of tonal harmonic practice.
We also have an ill.u1nii1ating theory of the larger tonal strllCtute of
mnsic-tha.t developed by Hei1trich Scl1enker and his disciples. Wl1at follows
in this part O'\-ves much to Schenker
s of thinking. But tl1ere ar,e signifi-
car1t differences. For Sch.enker's theories are primarily concerned to explain
the mi(idleground and background organization of tonal i11usic-tl1e large--
Material corn direitos autorais
scale structure. Niy concern \vill 'be to explai11 tl1e foreground and its ad-
jacent This beit:ig the case, it is '''Orth recalling thar, as I argued in
Cha1)ter I\T, the concer>tS and principles perrit1enr and illu1ninaring for the
anaI)rsiS of one hierarchic level may not be t1seful for tl1c a11alysis of other
Thot1gl1 I believe, perl1a:ps fonclly, that the concepts at1d principles de-
\relo1)ed in this part of che book are genuir1ely illuminating, there is no
tense of completeness. I do not claim tl1a't the cor1cepts developed in this
study will be t1seful in the anal)rsis of ail all tonaJ ones.
Fortunately, one does not l1a\re tO be able to explain everyr'hing in order to
account for son1e things. Though some aspects of the physical world and
the realm of biology ren1air1 to be explai11ed, \Ve 11e\1enheless are cortfident
tl1a.t we do. have valid ex11lar1ations o.f ma11y aspects of physical a11d biological
The melodies analyzed here, are tl1ose v;rl1ich I thinl< I can explain. Be-
yond this, the}'"' ha\re bee11 chosen because they ill1istrate the conce1>ts ar1d
ideas being develope.d as simply and u11an1biguously as possible. In other
words, r10 atten1pt been made to "cover'> cl1e repertory of to11al mt1sic. If
there are r11ore exa1nples fro1n th.e music of Be.etho\ren than from that of
Wagner, this does 11ot mea11 tl1ar vVagner's melodies cannot be analyzed l1sing
tl1e same co11cepts as for those of Beethoven. Nor is any valt1e judgn1en,t im-
plied. It is simply,. that, because their propartiorls ar.e more r11a11.ageable, the
rnl1sic of Bach and Beethoven illustrates tl1e poir1cs to b.e n1ade more con-
cisely and, at times, more clero.Iy.
2 .
A11 i:tnplicarive reJacionship is one in '\Vhicl1 an event-be ir a motive, a
phrase, and so on- is patterned in st1ch a wa)r that reasonable inferences can
be made both about its, co1mections \.vith preceding e\1ents and ahot1t ho"\v the
eve11t itself i1ught be conrinue{i and perhaps reacl1 clostire and By
i11ferences>' I 1near1 those \Vhicl1 a. co111petent, experienced listener
fa1nilmr "\<vith and sensitive to the parcicttlar style-might make. Thot1gl1
pattert1s are properly"' implic-ative only for such listeners, the listener need not
be e 'plicitly refer-red to ir1 ai1 analysis. 011e ca11 sin1ply say tl1at ''tlus pattern
im1>lies suc[1 a11d st1cl1, '
mlcing rl\e listener's con1pete11c}' for granted.
Malcing su.cl1 i11ferences-understanding implicative relationships-is
something '\\rl1ich all of us do mi1ch of the time, in reading novels or histories,
in obser\ring changes in nature or in ht1n1an behavior. 1ne ri1mble of distant
Material corn d1roitos autorais
thunder and the piling-up of dark clouds suggests tl1at it will rain .. De;nied
a sweet; a child pouts and his eyes water-and we SlLrmise that tears will soon
f ollo\v. The end of a consequent phrase moves to"rar.d t he cadence and a
competent listener feels that the tonic '\ivill prob,abl)r follow. None of these
implications may be 1-ealrled. The clot1ds may blow away; tl1e child hold
back his; and the cadence ITu'l}' prove to be decepci1-
e . . But this does not
mean tl1at the presun1ed consequents were not implied. Only that rhe im-
plicatio11 was not in fact reaJized.-did not happen. As these exa1nples
gest, patternings are implicati\
C sigrzs \vhich experienced observers know how

to interpret.
These examples also call attenti.on to t!1e fact that our understanding of
ternporal e'rents----0ur co11ception and cl1a.racterizacion of tl1en1 is both pro-
spective and retrospective. It includes both an. aware11ess of what might have
happened and our knovvledge, after cl1e fact, of \vl1at actually did occur. T he
fact of implication, in words, affects our understanding of both the
?.ntecedent and the consequent eve11t, whether the consequent was the one
chougl1t to be implied o.r i1ot. If tl1e stormy conditions do not a.ctually lead
to rain, then that fact is included in our retrospective understanding of those
conditions: they implied, hut '\Vere not followed by, rain. And our under-
stai1ding of the consequent is similarly 111odified: the pleasant day is one
which had been threatened by rai11 and is in tha,t respect different from fair
days 11ot so threatened. And the same kind of change occurs if the hnplied
event does place. In retrospect, the stormy conditions are unde.rStood
not only to have implied, but actually to have led to rain; and th.e consequent
rain is 11ot something "vhlch came out of the blue, an unexpected squall, but a
possibility implied by antecedent conditions.
\ e tend to be aware <1f the co11tingency of te1nporal This is true \Vheo the antec,edent situation is ambigti.ous, 1-Vhen a nl11nber
of alternative consequents seem more or less equally probable, Bur even vvhen
the implications of some sin1acion seem unequivocal, the possibilit)r of alterna-
tives is so1nel1ow present___..;if only t1nconsciou.sly so. i\iloreover, even if t he
probable conseqt1ent actually occurs, \Ve are freq t1e11tly a'-''ra.rc that thi11gs
might have been othenlr:ise--tl1at it might not ha\re ra_h1ed. that the child
might not have cried, that the ca.de11ce tnight have been deceptive. For our
proclivity to c,011s1der alter.natives, though sigtlificantly related to the p,attern-
ing .of the particular event bei11g considered., also stems from a fu11damental
fact of l1t1mrui existence: tli.e nece.c;sity of choosing. Because hu1nan
behavior is not for the most part genetically determined, man must choose.
Material corn dirc1tos autorais
II? r-.1us1c
To do so successfully, he must envisage rl1e co11sequer1ces-understar1d the
implicacions of alcer11aci' e cot1rses of action. Perl1aps for tllis reason con-
sidering alternatives is a deep human habit.
The importance t hat we atta,clt to altern,a.tives is sh.own it1 tl1e fact that
our understanding of a past event ofter1 includes not only our knowledge of
\vhat actually occurred bur also ot1r a'''areness of \Vhar might have happe11ed.
Particularly whe11 te1nporal e'lents are being ar1al/L.ed, we are prone to make
co11t:rary-to-fact s;iy, for it1stance, that if it had not rait1ed,
\ve would have gone ro the zoo; or, if the phrase had not been exce11ded, it
\Vould h11ve re:acl1ed a cadence in tl1e ineasure. F ron1 tliis pou1t of
view, what is of interest about eounterfacruals is not their logical, btlt their
ps)rchological significance. T'11ey are rhetorical devices \:1;1hicl1, by .callir1g
attention to the co11tingenc;1 of alternatives, inodify understanding of
Cle;arly, however, \Ve do 11or alv\'a}'S all alternacives. If \ Ve did,
st1rprise \\
011ld be impossible. Unanticipated events cert ainly occt1r. For in-
stance, a. child ;vho seer11s quietly conter1red all at 011ce begins to \Veep. Search-
ing for a11 explar1ation of this behavior, we recall llis earlier disappoi11tme11t
at not receiving a S\\ie,et . At the time perhaps t here was no implicative be-
havior , or it was not noticed ,or h ilS beeri forgotten it1 tl1e meantime. But no"'' '
in retrospect, \ Ve recognize che relationship bet\ veen antecedent conse-
quent events.. Many detecci ve stories depencl upon our t1ot i1oticing or nor
grasping tl1e implications of eve11ts e-arlier recou11ted. Only in retr(>spect do
we understa11d tl1eir sig1Ufica11ce. Tlus sort of retrospective u.nderstandi11g is
the basis for '\-vha.t has been called ''The Aha! t> or recognitio11 experie11ce.
R.etrospective t1nderstandir1g is an aspect of musical experience as \\rell.
Because patterns are seldo1T1 sin1ple and ''sjt1gle-rnindecl," alternative C011se-
que11ts or co11rinuarions are as a rule implied by musical Someri[nes,
howe,,.er, one alternative may be so strongly itnplied that ot hers are obscured
and tend to g'O t1nnociced. At other cin1es, '<v'e may sense tl1e possibility of
but t11e of on.e of tl1ese-partic'l1larly if
ir is the most on.e-n1ay cause us c.o lose sight of others. We are
specially liable to 0"\
erlook or forget ii the alternative coi1seqt1ent is separated
from_ the implicarive antecedent by tin1e a11d tli.e demands of co11trasting, in-
tenrening events. In. cases lil<e these, implicative relacionslups 111ay be under-
stood largely, perhaps ei1tlrely, in retrospect. Such retrospective u11derstand-
ing ,of implicatio11s at first n1issed or but dimly divined is in part .responsible
fo.r our feelin,gs about propriet)' , tlnity, a11d even in a composition.
Material corn direitos autorais
Nlost of the time a pattern can be fully comprehended and its internal
relacionsl1ips analyzed only by seei11g "'' hat follows from it. Criticism based
upon this sort of m.eth{}d may see111 a kind. of '' post hoc, propter hoc'' of
r easoning. Dou,btless there is so111e danger on this score; and we rr1ust, tl1ere-

to r efine rheoretical f ormulacions, st ylistic concepts, and critical

methods. But I see no alrerna..tive to retrospective analytic criticism. We un-
derstand temporal eve11ts
'"'rhether in the arts or the sciences, 11ot only in
ter ms .of where they have co1l1e from and wl1at rhey are, but also in tern1S
of their consequences-botl1 proximate: a11d remote. i\s a nun1ber of philoso-
phers of history have pointed out, this is a common mode of understanding
and explanatio11 in t:hls discipline too.
Though v;re do it facility and considerable acetiracyt un-
derstanding implicative relationships is a con1plex and subtle cognitive activ-
ity. Arid it is an activity of our whole being, not just that artificial abstrac-
cion, the mind. The many facets of the human nervous system, physiological
ch,anges and adjustments, motor behavior and rhe like, are all involved. For
tlris reason, in1plicativ-e relationsl1ips may be experienced as kinetic tension and
resolt1tion- that is, as fee.ling and affect. tl1ough they can be ex-
perienced withou.t explicit conceptualization, implicative relationships can-
not be explai11ed \Vithout concepn1alizarion- \vitl1out theories and hypothe-
ses, classes and norms.
In1plicative inferences, then,, are like hypotheses which experienced lis ..
teners entertain (perh,aps unconsciouslv) about the cotmections beN
' .,1
musical eve11ts--past ai1d present, present at1d fucur,e ones-on the several
levels of hierarchic: organizati<>11 in a particular movement or \vork. Like
hypotheses in other realms, reasonable inferences can be made about relation-
ships only if individual sounds and groups of sounds combine in relatively
orderly and regular ways: tl1at is, if they forrn patterns.
Material corn d1roitos autorais
----. --, ---r--. -............- -w----... ----
2 I
De .nitions and Methodology
Melod.ies are impliL-ative because they are orderly patternings. Paracloxi-
call y, ho'\'\,e.ver, the 111ore regular and orderly a pattern is
tl1e less cor1sciot1s
we are that it is i111plicarive. The implicative relationships a1e grasped with a
kind of intuitive inrmediacy. 011,ly \Vhen a patte.rn pro,res to be prol1lernacic do
""e tend to become co11scio11sly a\\rat e t l1at it is in1plicative.
For instance, just
before the end of the J\!1u1t1etto of I-Iayd11
s '' Lo11don' ' Symphony (No. 104),
a compelljngly goal-directed process is abr11ptly brol<en off s8) .
"''",,. @> ri

' !
Tl1ere is, I no (.i ot1bt wh<itsoever that \Ve are explicitly conscious of the
fact of implicatio.n.
Partl)T for chis reason I have chosen to describe tftis sort of r,elationsl1ip in rern1s
of "i1111,Jication" rat11er tb11n i11 tem1S of
expectatio11"- the word. rn;ed in E1notion
and in 1W:usic to der1ote essentially the same son of cognitivt:: bel'lavior.
A11otl1er difficuJt}r '\Vitll the latter ter1n is that expectlltions tend to be thought of as
n1e.t1tal acts in which a single, exclnsive cor1sequeut everlt is envisaged. Because a
ticu41r a11teceden,t 11iay be related to a n1.11t'\her of altert1:Gtive consequents, 1lnd
l'>ecaose the paran1eters of n'lusic not act con.grue:nt.iy in the articulation of pro-
cesses and !>trUcrures, the term expect11rio11 is often a\vkJ.vard and at te11ds ro
misrepresent the net of m1.1sicaJ unden.randin,g. For i:astance., to suggest chat: a p<lssage
Material corn d1roitos autorais

One is not, however, rea1ly aware that the events \V.ithin t}1e simple folk
tune \vhich occurs toward tl1e end of the Fjnale of Bart6k's Fifth String
Quartet are implicative (Ex,ample 59) . Tl1e rnelody is s.moothly linear in the
. . . .

Ls. ..J .,; L ' J

' .
' .


..., .
.z4. '

. ,. ,.,

JI p

7/1. . !!iii
;; '


,,. .

, . . .
-,j_' .


. '. 1:
' . . .
. """
. .
W k.d<on.1
2 L 7 . ., .
. .
. '



.! I
i '

. ,
E."tarnple 59
foreground (graph r) , and regularly triadic on tl1e next }evel o.f organization
{graph 3) . 'Nevertl1eless tl1e tu11e co11tains s-pecific and strong i1nplicative re-
lationships, as can be easil)r tested by stop1)ll1g the melodic motion after, s-ay,
the C# in measure 6. The tonic, A, is clearly implied {grapl1s za and 4). We
<'hear' ' that the n1elody s11ould desce11d through B ro rhe tonic. J\1.oreover,
wlllle tl1e lower A is implied both b.y rl1e rende11cy of runes to ren1rn to
starting points, parcici.1iarl)' if they are the tonic, a:nd by the cha.t1ge .of me-
lodic direction which. begii1s in measure 5, tl1e high A reacl1ed in measure 1 3
is implied not only by linear and triadic motions of rhe first two hierarchic
levels (t:,1faphs 1 3) , but by the n:iorion from tonic to fifth (E) o.n the
third le\rel (graph 5).
gnres rise to simultane-0us expec... "tations see1r1s strange, bu.t to say that a pattern implie.<1
alternat ive modes of continuation is 'Iuice natural. Sin1ilar ly. it is anomalous to assert
that harmony leads t.he listener to expect closure \vhile rh)rdhn1 does not, bt1t it seems
reo.s:onabl<l to say that l1a.:tmo11y i1n plies closure. wh.ile r l-i)rcl1m implies continuation.
Fin.:tlly, the term .. eei11s. preferable because it does 11ot entail continuing
reference to the liStene.r. Assuming 3 competent listener. it desc:ribes the cogilitive--
mnsical process in l<-0bjective
ternl.S. However, ' ic; changed is 11..()t the basic
way of vie,ving and explaining music- t hoogh th-ese prese11c a. mo:re accurirce
and re;fir.led w1derstanding of th.e n.arore of m11sical e. "Xperienc.e =but the, terln.ino10g}'
used to describe stmetures ati d processes.
Material corn dirc1tos autorais
I 16 EA'l>l..AINING
This exarr1ple calls atte11tior1 to a Illlmber of irnportant matters of rrleth-
r) Earlier it was st1ggested t l1at ir11plicarive relacionslups are lilce l1y-
porheses "vhich compete11t listeners encertain about tl1e connections among
J11usical events. To explai11 a n1elody "'' lrich such listeners corr1prehend \Vitl1-
out co11sciol1S e.ff ort, t}1e critic n1ust mal{e th.ese in1plicat.ive }1ypotheses ex-
pli.cit. He must discover tl1e patterirings prese11t iti the n1elody, and l1e n1ust
speculate-formulate exfJlicit hypotheses-about l1ow eact1 of the patteriungs
nlight be continued to the stability of relative closure.
or perhaps si-
lence: the end of the patterning. To do so, the critic vv1U often perforn1 a
lrind of mental '' experi1nent. ') He \\rill
'stop' ' the 111elodic .fio\v at particular
points and cry to imagi11e wl1at cor1'ci11uacions seem probable. 1"'11is was do11e
in Connection with the Ban6lc example when "ve aslced what ''-' as implied by
the patterning up to the C# in n1easure 6, and b)' the morion of the opening
Fro1n the poir1t of' ' ' ie\v, tl1ere is a problem to be sol ved: given
some theoreticaJ premises, \\' l1at do ci1ese ii1complete patterns, tl1ese partial
eve11ts, imply? gi\ren the style and mt1sjcal cc>ntext, as \1.rell as the
structure of the e\,, t11t irself-will probably follo\iv? The critic srud;r cb.e
composer's score to see whether any c)f tl1e envist1ged ( alter11acive) concinr1a-
tions acti:ially occur. If they do, his t111derstancling () .f the iinplicative rela-
tin1isl1ips discovered i11 the patterning is probably correct. Very ofte11 t11is .is
the case, even though the realizatio.11 of an implicacio.n 1nay at times be mucl1
delayed. If tl1e envisaged co11ti11uatio11S do not occur , tl1en tl1e critic's under-
sc1ndirtg Of tl1e 11relodic pattern n1ay have been incomplete or si1nply mis-
taken. In such a case, he will restud)' tl'1e melody a11cl attemi:>t, w itl:>out
fying his theoretical pre-mises> to formt1Jate an alter1tacive hy potl1esis. Often
new insights can be gained by analyzing even.ts in .retrospect-in ter111S of
their known conseque11ces. For later e\rents ca11 call atte11tio11 to aspeCts of
earlier ones \vhich ma}r l1ave gone t111noticed or not been fUll y appreciated.
Here metl1odological considerations begir1 to arise. Fc)r if tl1e realization
of a11 implicatio11 can be sig11ificantly delayed, then in a -vvork of even inod-
erate dttracion and complexity envis-aged co11seqt1ent events \Vot1ld be '' irn1ally
boun.d to occur- as a 111atter of statistical f)robability. St1ppose, for i11sta11ce,
tll3t in a movernent in Bb, the opening melod)' is h;rpothetizecf. as implying
motion from the fifth (F) ro the upper to11ic (Bb). Bt1t this 1nocio11 does nor
occur \vitlrin the melody itself. As the rnovemenr t1nfolds, the it:nplie.d Bb is
al111ost certain to occur in son1e 0011text- as part of a scale or arpeggio figure,
Material corn d1ro1tos autorais
a harmony or another 1n.elocly: sim.ply because it will be an in1portant tone
in the syr1tax of all closelj., related keys. To a consid.erahle extent, however,
this danger can be avoided by stiptilacing as precisely as possible wt1ar the
antecedent e\>e11ts are understoc>d co imply". For the inore precisely the or-
g.anization of each paran1eter in the consequent event is sp1ecified, tl1e less
likel)' that an event rnatchirJg those specifications is the result of statistical
distrit)ution. Tl1erefore, the implications of an ante
cedent pattern should be
mt1.;de as exact as possible wicl1 respect to rl1ytl1nuc position, ha.r.monic con-
text, registral placen1ent, and timbre-as well as pitcl1 relationsl1ips. Tl1c
possibility of co11cepts detm11inmg analytic choices will be further
diminished if the analysis a col1erent ar1d consistent order in which
,011e part fits '1\irith and rl1ereby ''cor1firnis}
l\1ore difficul t 1neth(}<lolc1gica1 problems are posed when a,pparently
pater1t i1nplicarions are not realized at all. At tirnest a con1pl.ex pattern may
i.n1ply a number of alternative implications only some of \Vhich- though
usually the most in1portant ones the composer has chosen to realize. In
other cases, such i1onrealization m.ay rest on .historical-stylistic grounds: or
insra.r1ce, co1nposers of th.e Romantic Period niay so1nerimes have left im-
plications unrealized so tl1at the worl< "vould remain that its im-
plications wot1ld, so to speak, transcer1d the limitln:g frame of cadential
closure and continue ro re\
erberate il1 the silence of subsequent rime. In still
otl1er cases, however, unrealized in1plications might constitute a con1posi-
cionaJ \vealmess or d.efect. F,ra11kly, I <io not lmow 'how to resolve tlus di-
lemma in any systematic and rigorous \Vay. Until tl1eories of i11usical struc-
t ure and style are considerabl,y more I suspect that sucl1 problems
will ha\re ro be dealt \\"ith on an infor1nal, individual basis. At this point all
that can be expected is plal1sibil:ity.
Implicaci<lns mi:1st, of course, be realized \Vitl\ considerable regularity
and freqt1e11cy often enou.gl1 that rl1e listener's confid,ence in his O\Vn un-
derstanding of t11e style of the work is sustai11ed and rei1iforced. Often this
is accomplisl1ed by \vhat will be called proV"iS'io11al reaJ.izatio1i of implication:
for instance, 'vhen ,t}1e particular pitcl1 implied is realized, but in th.e ''wrong''
register or u1 a tonal-harrnonic context \\
l1ich is i1ot tile 0 11e called for by
the generating ,pattern.
2) More co111n1011 rhar1 the nonrealizatlon of previot1sly ge11era.ted im-
plication is its converse: the occurrence of an event not implied b)r or con-
nected "ritl1 precedi11g patrernings. "'"1\s a rule, l.Inanticipated events, taken
togetl1er 't\Titl1 prece.ding ones aJ1d witl1 those wl1ich. follow, are understand-
Material corn dirc1tos autorais
able in retrospect as part of a l1igl1er-1evel ordering of e\rents. rlowe,rer J this
is not al\lrays t he case. So111ecin1es, as \Vas u1 Chapter I, an e\re11t can-
11ot be accot1nted for in ren11S of relationships \\rith precedi11g or f ollo"\ring
events. It see111S convincing and effective, yet ren1ai11S in a sense anorna1ot1s.
This is. I rhi11k, the case \Vitll Exarnple 59. The ttse of tl1is sir11ple f <:>lk
rune '\c'Vitl1 its regLllar a11d unassurning acco1nparu111e11t just before tl1e close
of a 1nove1nenr cl1aracterizeci by consid.erable i11tensit}; and co111plexity i11ust
be regar ded as an arbitrary decision b)' tl1e con1poser. One can suggeSt psy-
cl1ological reasons ad l)oc in rtti.s case-;,vlly tl1e passage 111alces 111usi-
ca.l-aestl1etic sense: a release fron1 rl1e tension of syntactic complexity, it (at
tl1e san1e time) checks the for\\rard motion of tl1e mt1sic for a brief moment,
rnal{ing t11e subseqt1e11t rest1mption of ter1sion a11d the dri,re to\vard final
closiue particularly forceful decisive. And l)eCal1se this 'tcon1posed
.is not unlike places in other n1over1rients, it is stylistically l111derstand-
able as vvell. Bt1t to attetnpt to explait1 rhis by relating it to earlier
even rs by conformance, .i1npiicatio11
or formal ordering is, in n1y ju.dgnient,
to its sig11iilca11ce arid to ni.iss the poil1r; 11a1neiy, it is gen-
uinely aberrant and al1ormlot1s.
3) ln1plic..--ations arise becatise patterns are inco1nplete or t1nstable i11 sotne
respect. 111at aspect .of a patr:ern \vluch is tl1e basis for in1plic-ati,re inferences
\Jlill be called a generative event. As e,re11ts f one a11otl1er ir1 son1e
of the implietttions of a pattern may be .rea.lized imn1ediately; otl1ers may be
realized 0 11l)r after other e\re11tS, \\rl1icl1 013)' be in1pliciti\re of alte111ari . e goals,
l1ave intervened. For i11sta11ce, the li11ear n1otion of rhe firsr t\WO ineast1res of
Exan1ple 59 .is a ger1erarive eve11t, i11'1plyi:.rig co11tint1acion to the E (grapl1 2 ),
follows \vithot1t dela}' 011ce E is reached, a liigl1er-le,rel generative
e\rent-a triadic pattern vvh.ich implies the lligh A- is f{)rn1ed (graph 3). But
the realization of tl1is in1plic11cion is ternporn.rily clelay"ed 11ot <>r1ly b)r the
f>rolor1gatiot1 of r:l1e E, bttt by tl1e 111otion .frorr1 F# to E t o Dt wltlcl1 changes
rl1e direction of tl1e melody and in so doing i1nplies descending 1norio11 to A.
E:ve11ts v.vhich ge11erate sucl1 alternative goals \Vil! be called defiecti'.O'Jls . Be- rett1.r11 to the pitch of art initial acce.nted '1Vf1en it is
the to11.ic-is quite probable, rl1is defiecrio11 i11 a sense onlj: actualizes \,Vhat
\\1as already potential in tl1e n1elodic-ronal sttucrore. Noticej too, that the
irnplication of motion d0\\
11 to A is itself delayed b}' a SL1hsidiary
d.efieccio11-v\' he11 rl1e mov,es back to E irlStead of desce11di11g directly to
.A. The opening pattern is repeated, begil1ning ii1 meastrre 9. Thus reinforced
by repetition, the second-le\rel generative event is realized as tl1e scalar -
Material corn d1roitos autorais
I I9
triadic mocio11 reaches rern1)()rar}r clostl!e on th.e high A (graphs 1, ra, 3
and 3a) .
Defleccio11s seldom cha11ge the itnplicacions generated by the initial, pri-
n1ary patrernings. 1"hey creace alternative goals wl1ich are as a role subsidi-
ary. "/\ special case of deflectio11 is \:vhar I called reversttl.
Partict1la_rly when
they tend toward unifo.rn1ity, so tl1at llO decisive poil1ts of sttuctt1ral stabiliry
are established, patterns develop a strong internal momentum. In such cases. a
n1arlred, u11equivocal bre-ilc in process is needed if closure is ro he effective convi11cing. Since as a .rule sucl1 u11ifor1n patter11s take the. for1n of
linear seque11ces, generally involve a skip follo,ved by a change in
the direction of the motion- from des.cending to ascending, or vice \rersa.
4) Because the patterns \Vhicl1 generate implications are usually corn.-
plex, a n11mbcr of alterna'tive consequent events \\rill be il11plied. Indeed, even
a single lnoti,,e n1ay in1ply alternative con,tin.uations. For i11Stai1ce, the skip
of a third rna}r ft111ction. botl1 as a gap, in1plying motion to the pitch skipped-
0\1er, and as part of a triad; implyi11g concinuf'. 1cion to the fifth or tl1e tot1ic
depending upon the harn1011ic context. Because ine1odic events are i1ecessn.rily
st1ccessive, implications 'trill be one after a,nother. This being so,
sorne realizario,ns will aln1osr al'\vays be delayed. Those realizations \\'hich
occur before th.e main melodic cade11ce or before t he end of section con-
taining tl1e rnelocly, will be called proxi'l11ate re,1lizatio11J; an.d those which
h:ippen only after the e\rents generaci11g the1n h.1ve reaci1ed significant closure,
\-vill be called rn11ote realizations. At times, such delayed realizations may b:e
'rery remote ind.eed; for instance,. i11 \Vl1ere t:he ixnplications generated
b)' rl1e ope1iing tl1e111e of a sonara-forni n1ovement are not realized unril the
rial coda.
5) Not all 1)atterns
ho\\rever, are implicative. For instance, realizations
wltlch con1plete and close a preceding pr'ocess ma.y not be so. And this is also
crue of many prolongatio11s and extet1sions. Even begi1u1ing eve11ts such as
opening themes ma:y be complete, Stable shapes '\\rhich, t11ough internall)r im-
plicative. do not imply paiticular specific contir1uations. Because o.f their posi-
tion at the beginning of a rr10,rerne11t, sucl1 decl1trative prolorigariorlS v.rill, of
cotirse, in1ply continuation in the ge11eral sense that more mu.sic is expecredv
Similarly, some medial even.ts-such as pnre12theses and internal extensions._
ge11erate no nev\rgoals. Witl1 some reser\vations, it might be said the folk
1nelody i11 Exa111ple 59 ( t:ogetl1er "''it'l1 its vTaried repetition in tl1e following
2 See E?11otio12 and 1'rlea1Ji1ig in JW.i 1sic ( Chicago: Universit)r of Chicago Press,
1956 ), p. 93 and passim.
Material corn direitos autorais
measures) is interpola.tion vvluch, "\v-hile i11te1tSifying the sense of goal-
directed motion by inrerrupring it
generates 110 alternative, novel irnplica-
tions .. There are also ter111i11al even.ts \vhich_ i1ot in1plicative-for insta11ce,
the echo which closes rl1e Dvorak rnelod;r (Example 57) disct1ssed at tl1e encl
of Chapter IV. Ho\vever i111plicacive its internal processes n1a)r be; to the
e..nent that a patterr1 is t1nderstood to be COffif)lete and stable on son1e
luerarchic level, it is not irnplic:a.cive on tl1at level. In terms of the vie\.\' point
develo.ped in Cl1apter IV, on t.l1at le\1el it is a formal entir,r, not a processi,re
6} Jt1st as are structured hierarchically,. so are the implications
the.y generate. 1.11 Example 59, for ir1sta11ce, rl1ytl1ntic-metric acce11ts on the
relativel}r stable to11es of tonic triad gi,,e rise, as vve have seen, to a
seco11d level of orgarlization. Because t he E f ollo\VS directly from the preced-
ing linear-triaclic patterning, continuation r:o the ,high A is in1plied. J\1ore
concretely:: had tl1e relati\re tltlif ormity of the prececlir1g patterning been
broken, as sho\vn it1 E.xan1t)le ;91\ ., the implications of the second strt1cnual
level '\voulcl have bee11 d.iff eret1t. The Ieversal of n1otio11 crec1ted by tl1e

' 1
l 1 _'
BJ' jdt
Example 591\
skip o.:f a third (D to Fl) which the follo\ving E fills tlot 011ly n1akes the
E a more Stable goa1, hut preve:11ts tl1e F# fron1 as part of the rising
line as it \Vas able to do in Example 59. As a. resttlt, the triadic suucture of
the first three 111easures
no longer in1plies contin\1ation to the higl1 -. , but
only descent to the tonic. An on-going follrlilce melody been transformed
into a. cadential figure. In otl1er \:vords, beca,use it is not a clearly
stable goal, t l1e E it1 Exarnple 59 implies co11t:inua.tio11 to t:l1e upper A. Tl1e
prolongation o:f the E does .not diminish its. n1obilit)' ; iather the emphasis it
pro\rides suggests a th.ird level of organization a penrachorda.l-tetrachordal
di\'ision of the oct ave (t\'-E'-)-,..\rhich also implies A'' .. (graphs 5 and 5a).
orice chat the foreground scalar motior1, \vhicl1 implies E, is supported a11d
reinforced by the triadic pattern., and t'hat tl1e triadic pattern,
3 The E is still a structural t o11e. See l>elo\v.
Material corn direitos autorais
implying the upper tonic (A''), js in rur11 supported by ti1e even more funda-
rne11tal division of the oct"ave.
This discussio11 calls attention to a ;point Of importance: a single melody
may exlubit different kinds of patter11ings oc1 eacll of its hierarchic levels.
Differences in the organization of the several levels of a hierarchy are the
rule ratl1er tl1e exceptio11; the reinf orcen1ent of lo,ver-level implications
by higher-level patterns is by no means necessary . ... times different levels
will imply alterna.tive tllodes of co11tir1u.ation. Stich i11elodies "'rill, almost by
definition, be relatively complex. (Jr., put th.e other way around: tl1e sim-
plicity of Bartok's folk tt1ne is in pan the result of the coordination of im-
plications among its several levels of orga.nization.
The analysis of luerarcluc parter.ns and, consequently, of tl1e impli-
cati.,,.e relationships they generate, invol,res a methodological problem of
considerable diffi.ct1lty: 110\>v to establish reaso11ably objecrive grotinds for
di&'tinguishi11g sttucru.ral fron1 orna111ental tones on a particular .hierarchic
lev.el. \'.;\fithout so111e relatively rig<>rot1s ax1d explicit criteriat tl1ere is a .real
danger that theoretica] preconceptions ,,,rill influence, if not determine, ti1e
analysis of srru.ctl1ral versus ornamental. tones. And \vhen this, analysis
becomes circt11ar and
The problem is difficult because the structural importance of a ton.e on
a particular hierarcl1ic Ie,rel depends not only upon its piace and function
within the specific seqt1ence of melodic events, b11t also upo11 the particular
disposition and interaction of tl1e other paraineters which may be involved
rhytl11n and l1arrnor1y, d)rn.arnics and timbre. Because these may not rnove
congru.ently and because their relative importance may vary even \Vithin a
single composition, the matter is a one about which competent
may differ. More fu11dament-all)r, to revert to a point made in Chapter I:
sir1ce each patt en1 is a particular instance, it is doubtful \Vhether l1ard and
fast criteria can be devised for distinguishing ornamental fro1n structural
tones. The best one ca;n do at present is to suggest reasonable rttles of thumb.
The most important ones used i11 this study a1e as follows:
a. Meter is .regarded as che prirn.e, thot1gh by no me.ans the only, guide to
structur al importance. Tl1ic; is n.ot t1nre:asonable considering the basic
regularity of m.etric organizarion and hArmonic rl1ytlun it1 the style of
to11al n1usic. Tones \vl1icl1 oc.<.."l.1r 011 a n1ai11 metric acce11t are ai1alyzed as
being on a higher strucntral level than t ltose "vh.ich occur on secon:dary
Material corn direitos autorais
metric acc,ents, with exceptio11s that. are .explaineti on ar1 i11dividual basis.
Thus a tone co11tin'.g .on the fust beat ir1 % meter is in general considered
to be. 0 11 a higl1er level tl1a11 011e '\Vhich. con1es 011 the tl1ird bear. T 011es
occtirring on \Veak bears are less importanr than either f)f
these .. As r11ea.rures grot1p togetl1er, larger 111etric er1tities are forme,d, and
rl1ese serve as gtiides for discingl:rishit1g stn1ctural frorn on1arn.e11ta1 tones
0 11 still lugher levels.
b. ge11er-al exceptio11 to this rule is t llilt goal tor1es- tones of resolution,
lilre the Gin me-asure 4 of Exan1ple 62- are considered to be strt1ctu.ral
on the luerarchic le\rel on which rl1ey goals, regardless of tl1eir metric
posicio11, It follows from this tl1at appoggi.aturas, though 1netrically em-
ph.asized, are 'fJ;Ot COilStrued a:S StrUC.."tllral t Ot1CS. 111 at1 a.p11oggiatura nguret
cl1e structtiral tone is the note of resoll1tion- for Jnstance, irl Example
59A it is the E, not tlie tl'1at comes 011 the acce11t, \Vl1ich is structttral.
c. Relati,rel)'' regular pat:te1r1ir1g is the basis for i111plicacj,re inferences. Co11-
sequently, somerin1es a note that comes on a seconda.ryr metric accent
vvill be assigned the same srructural importance as coming on a pri-
mary accent. Thus in Ex;c1mple 60, the opening n1easl1res of Hay,dn's
Strit1g Quartet, Opt1s 50 .o. 3, the G on t he fourth eighth-11ote of
n1easure 2 is considered to be 0 11 che Saine structural level as the Ii .. vhich
conies on the prirnary acce11t. Ancl tile sarr1e is tn1e <) f the Bb in
3. For tl1e motivic pa1'1lllelism n1akes it clear t l"ta.t the pattern is linear ,
1110\ril1g tltrough t:he scale f r on1 Eb to Bb. This analysis is suppo:rted by

the h.arn10.nic changes at1d by tl1e dy1ianuc emphasis provided by tl1e
other instrt1n1ents of t he quartet. Bt1 r even. wl1e11 rhe patterning of otller
provi<les no confirmarion, parallel.ism of patt,ernil1g makes ir
reasonable to assign equal strt1Ctl1ral it11portance to lilce meloclic events,
Material corn d1roitos autorais
even though tl1eir n1etric placen1e11t is different. Thus though the metric
position of tl1e perfect fourth ( C-F) \vhich hegirlS tl1e sub phrases of
s tune 8 5) ch.anges., tl1e fourths are analyzed as being
srructurally equivale11 t.
7) Using the term in the special, analytic se11se suggested earlier, t wo
b'.isic kinds of implicative {'problems'' cao be <listingt1ished: incotnpleteness
and potenciality. Potentialit},, refers to some discrepancy :chat calls for resolu-
tion. The discrepancy may be a conseque11ce of the syntactic structure of the
eve11t itself: for instance,. rnelodic pron1ic1e11ce is r1ot co1nplemented by
functional importance-as was the case \\rttl1 rhe u.pbeats, C and Db, in
the Bach Fugue subject anai}1zed i11 Cl1apter IV (Example 53 ) . Or discrep-
ancy rna}r because the event as a '"' hole implies a function not realized
when it is first prese11ted; for itJStance, when a n1ovement begins with
is ur1qt1estioriably a closing, cadencial gesture (see Example r 1 5) .
I11com.pleteness may be tl1e result either of the specific patteriung of a
particular melod)r
or o.f the syntax of to11ality characteristic of the style as a
\vl1ole. 1"he for mer, "''hich "''ill be Ollt n1ain concern in wl1at f might
be called processi\r:e incomp1ete11ess.; the latter, tonal incompleteness .. Though
rl1ese kinds of iinp]jcarive incompleteness often t,"On1plerrient one anotl1er
is n.ot al\\'ays the case. At least sorne of tJ1e implicatio11s of a melody 1\J..rill as a
rule be realized before ronaJ clost1re takes place. Conversely, tor1al goals may
be reached, thoug'h som.e of the irnplicatiorts generate<l by cl1e melodic pattern
ren1ain t11ttealized. Indeed, were tl1is not rl1e case, rl1e ''reverberation of un-
implications.,', mentioned above (p. 1 r7 ); v.rould not be possible..
Two t."'Wllples vvill not only 11elp to clarify this point, but \Vill, in addi-
tion, .serve to illustrate some of tl1e concepts co11sidered earlier li1 tl1is section.
A. In the folk tune frcJm Stravinsl7's Petroucl:Jka, gi\
e11 in Example 61,
melodic process and tonal syr1tax have a oomn1on goal: tl1e t:otuc, Bb. From
a tonal point of view, the most mobile note of the tonic triad is the third.
\vhicl1 sooner or later a1111()St al'\<\ra}rs rnov'es b)
conjt1nct 111otion to the tottic.1
As the first ii11portant strucroraJ tone of rhis melody, the D, accordingly, im-
plies the Bb below it. in1plicatiot1 is stre'f1gtl1ened and spe.cifie.d by the
m.clodic process.
011 the lo\
lest ievel, the .conjunct motion from F to D implies c-0ntinua-
cion to C, as graph 1 indicates. Bt1t this is a subsidiary pattern., as tl1e preced ...
ing quarter-note motion of the triangle, \.Vl1ich indicates the main metric
See, for instance., Examples r:29 an.d 130.
Material corn direitos autorais
levels, n1ade clear. TI1e .m.ore important melodic tllOci<>n is from F to D.
Becat1se ir is t1arrr1onized by rhe ro11ic, this rl1ird srrongl)r implies rriadic con-
tinuacion to Bb as an important srrt1ctural tone (graph ? ) .. However, this
possibility is not realized directly. Instead, tl1e D is a.11d tl1is ser,res
to establish a higher-level metric structure in which the half-note heco111es tl1e

cl1ief measure of rrmtior1 and a two-m.ea.sure u1ut is t11e tnain morphological
I i
E.\':arnple 61

__ ___,
lengtl1. As a result, the Bb in m.east:tre 2 d.oes not have the same strt1cu1ral-
rri.orpl1ologica1 in1portance-is not on tl1e sarr1e hierarchic level-as the D.
For this reason (a11d because of tl1e lack of harn1011ic rnotion) ., tl1e .Bb is only
a fl!olJisional, not a definitive, realizatio11 of the in1plicarions gen.erated by the
preceding triadic patter11.
T.he skill fro,111 D to Bb .has a number 0
consequences. It creates a gap
(reinforced in .inve,rsion ar the end of 1neasure 3), ' vhich implies filling-in
motion to the m1ssing tone, C-already i111pJied by tl1e first generative event.
Secor1dt it deflects tl1e descending pa,ttern which might, had it been. regular,
have continued sequentially as sho\Vtl in Part A of Example 61. And a.s the
deflection irself becomes a. pa.ttern, the cornplementary motions i:r1
gniphs 5 and 6 are generated. To explain: jtist as the beginning linear
F-Eb-D, in1pJied C, so tli.e reverse pattcrt1, Bb-C-D (n1.2) implies contin11a-
tion ro Eb and perhaps beyoncl. This in1plicacion, togecl1er \\' ith rhe fact that
the Ei, fills the gap from F to D (see grapl1 3), f1elps to n1ake the Eb a con-
Material corn d1roitos autorais
vincing beginning for the second phrase. In like manner, just as the failing
F-D 2), in11llied Bb, so the rising third, Bb-D (graph 6) implies
to F-a note vluch as \\c1e shall see, plays an important role in
the rev:ersal and clostue of tl1e tu11e.
The tonal rendenC}" of the D in this context, the opening conjunct mo-
tion, and the D-Bb gap in :mea:sure 2 all imply the C rea.cl1e<1 in mensure 4,
makir1g it a strong point o.f arrival. Here, a lugi1er-level lii1ear pattern is gen-
erated (see graph +), and it, too. implies the torlic. This implication is rein.- 11ot only by the linear patterni11g (Eb-D-C Bb) begins the
second phrase {graph 1 ) , but by the parallelism bet,veen the openi11g of the
second phr'ase a11d that of the first. But .cl1e sequential conformance is broken
in measure 6. Instead of skipping d.o\vn to A, paralleling the skip from D to
Bb ii1 measure 2, tl1e C is repeated and then skips across tl1e barline to F, after
whlch descending con.j1.111ct motion leads towards the tonic.
Notice that, as indicated in Part B of Exa1nple 61. h,a:d the second phrase
paralleled the .rsr exacd)1', cl1e tonic \-Vould havre been reached at the same
poi11t in n1easure 8. But had this been the case, die n1omentun1 created by
co11siderab1e melodic ttniformit)" a11d. 11arallelism wot11d l1ave re.nd.ed to carry
the 1notion beyond tl1e Bb-perhaps down t:o tl1e lo'\V F. Io otl1er 't\rords, the
complementary motion which follo\VS the deflection in measure 2 establishes
F as an alternative, subsidiary goal ru1d thereby makes the reversal of the on-
goi11g n1otion possible. Aithougl1 t11e se.co11cf phrase is not eKactly parallel to
the first, a kind of higher similarit)" pre,rails: the breilc in phrase similarity
(the re_peticion of the C) ''' hlch begins tl1e reversal occurs at the same place
in the pruase as did rl1e defiectior1 wlucl1 presaged tl1e re\ ersal. Fin-illy, it1 this
context the gap from C to F i1ot only strongly implies linear return to Bb, but
in son1e t'surnnrarizes
' tl1e melodic .n1ocion of the nine as a \vhole.
B. The first and last eight n1easui-es of the ('Soldier's l\1arch" from
s Allnl1:lt for the Young are given i:n Example 62. As was the case
"With tl1e tune fro1n Petro11.,chka, tfl:e first accei1ted, strucrural tone is the third
of the scale. Consequently, frorn a tonal of view, descending n1oci.on to
the tonic, G, is implied. This tonal tendency does not go unrealized, bur t he
n1elodi.c pa,rte.rning implies goal'i as tl1e patterning in the rune
from Petr.oucl:ika did 1. 1ot.
T l1e main generative event is the third' B to D, in the. first measure. Two
possible con.tinu.ations are it11plied: thirds, particularly ascending Otles su,ch
as this, may function as gaps a conju11ct fill probable; or thirds may
be undersr.ood as part of a triadic pattern, .and continuation to the third note
Material corn d1ro1tos autorais
of the triad 111ay be :U11plied. botl1 of tl1ese altcr11atives are probable
depend;;, as \'\! e shall see, upon rhytI1n1ic relationships as well as 1nelodic ones.
In Scl1un1a11n's melody t11e gap-fill patterning is .realized 111 retro-
spect the .D is u11derstood to have bee11 ''proloo.ged.'' .b), the neighbor-note,
E, after \Vl1ich the melody descer1ds by co11junct r11otion, filling tJ1e gap and
nio,ring on to ri1e tonic (graph I } . At tl1e e11d of chis n1otion,, as B co.nti11ues
down to G, tl1e tonal tencJenC)' of the tl1ird to reach rl1e ronic is reali:led

- l

. I
' '


ii I '



.. ..
-:j. ..
I .
,-. _
. -F=

Jtl ' i

rf2'i : .. .

j J

. ,

. .
r ' '

. ...
... .IL .. ...
'.f j;:; I .

' '

' '
' '" ,..,
' - .'
. '

, ; I _

! .
' . . .
, ._
d ._ gl
. - . I
Exi:1111ple 62
Material corn direitos autorais
(graph 2). TI1e seco11d alterna;tive the triadic pattern \\rill lJe co1n-
pleted b}r reachi11g the high G (graph 3 )-is regenerated by the reperition
of the first t'\.'iro measures of the ru11e at rl1e beginning of tl1e seeond pt1rase
(grapl1 3a). 'fhe l1igl1 G is presented. Bt1t beca.use it forms part of a Inobile,
donlinant, ratl1er tlian a stable tonic liarmo11y,. th.e realrz;arion is
only p rovisional. The resolution 0
f this secOl'ldat)' dominant, in tum, generates
p ' ,
a desce11ding conjtrnct motion ftll.s tl1e gap that preceded the G (graph

Like rl1e G in measure +, the D in measure 8 is a point of arrival and of
relaci\re stability-a structural tone. Loo]rin.g at the nielody in this "vay- in.
ten11s Of begi11ning and ending strucn1ral tones- calls attention to the fact
that the .n1elody is triadic on a still higher level. That is, tl1e fuse pluase ino\re.s
fro111 B to G, and t!1is patterning ir11plies the low D (not shown in tl1e ex-
a,mple; meast1res r 6- l4) around which the 111.iddle pm-t of the piece ce11ters
(graph 4). Tl1e seco,nd plu-ase, moving from the Bin measure 5 to the Din
measure 8 (graph 5), reinforces the rising tria.d1c motion generated in cl1e
first and filth (graph 3 and 3a). Thougl1 implied from the first
meas11re, the reafu..arion of a satisfactory high G-one which is part of conic
harmony and which 011 a11 accen.r- is ren1ote. It occurs only at the
very end of tl1e piece (grapl1 3)
after being once again in1plied by the
repetition of the opening measures (grapl1 3 b), as the final cadential .n.ote.
As Schurnann himself wrote: ''Tt1e be.ginr1ing is the rnain th,ing; 011ce one l1as
begun, then the e11d comes of its own accord .. ,y
]tlSt how important beginnings ma)' be, c.--an be seen by con1paring rhe
it11elody of Sci1unla11n's ''Soldier's l\
Iarcl1'' \Vith t hat of the Scherzo from
Beetho,1en.'s So11ata for Violin and Pia110, Opus 24 {Example 63) . The first
eight 111easu:res of the. melodies are al1nost icier1tical in pitcl1 contour. But
the differences, thougl1 see1nir1glj" slight, ar:e by no 111eans inconsequential.
Consider the first rhytJ111Jic grot1ps. I11 Scl1uma1u1's tl1e third of the
scale, B, is an a.ccented. strltctural tone \Vhile the fifth, D, \vhicl1 follo\\-'S, is
'veak and inobile. Because the trochaic: gro11p is open and on-going, tl1e fifth
of the tonic tri11d it11plies cot1tinuarion. to G. In Beet'hoven's Scher2Jo, on the
otl1er l1ai1d, the first 11ote-the tl1ird, .A- is an. upbeat to tl1e \'\rhich is
the first structural to11e. Becar1se the C occurs as the relatively stable go:al of
ri Robert Briefe, Ne11e folg.e ( LeiJ.lZig: Breitkopf und Ha.rte}, 1S86) t
p. ).38.
'Der A.nfang die Hauptsaclie; 1'\at n1ar1 angefangent dann kon1mt Einem das \Vie von selbst engegen. n I am grateful to rt1y daughter, Gulm, foe C3.llil1g dlis
qtl.otarion to my attention for helpi11g r11e find the title for this
Material corn d1re1tos autorais
an end-accented iamb, the tttlrd (A-C) scarcely implies triadic continua
rion. --r11e ope1Ung third funcrioris 01tly as a, gapi and tl1e i1igh F it1 meastire 6
is understood as defining the area of melodic acti\rity an.d not as triadic con-
tinuation. In short, as is the case with couJ1tless n1elodies \Vl'lose first structural
to11e is the :fifth of the s:cale-parcicularly tl1ose '\'\
here t l1e filth is prec,eded
by a gap--'1vhat is in1plied is co11junct descending motion to the tonic.
Because the strl1Ctl1ral tone ti;rhicl1 begi11s phrase in E."<a.n1ple 6 3 is
tl1e fift11, che in1plications of the high-level strt1cnne are differe11t. Because
of the l1igh-ievel n1otio11 fr.on1 ch_ird (m.5) to fifcl1

seco11d. phrase
of the Scht1mann me1.ody implied tria.clic con.tinuation to the high G. In the
hoi.vever > tl1e second phrase begins and ends on tl1e fifth (C).
CQ11sequently, 110 triadic pattern is suggested; instead. the implicario11s
erated in tl1e first phrase are reinf orced. 111 co11trast, then, vvith Scl'1umrum
' 'i\tlarch,', it is not unexpected t hat, articulated by the clear closure of an
e11d-ac.-cer1ted rh)rthmic group {measure 3 2- 3 5), the final cade11ce of Beetl10-
ve11 's is on tlie low F.
One ta11gential poi11t l1a\tir1g to do '-''itl1 the relationshiI;s a.rr1ot1!$ S"yI1tax,
tempo and dynamics,. chara:cter. In a sense, Schumann has \:vritten che
Ineter ''agau1st'' t he 11atural 1nelodic-har111onic patterning: the first quaner-
t1ote ' tshot11d'' 112:1,-ve been an upbeat, as in Beetl1oven's Scherzo. rlnough the
organization of the Scherzo .is similar to rl1at of tl1e in the follo'\'\
n1e-ast1res, it invol"es no atnb,igttity; for, deSf)ite a ki11d of off-beatit1g effect.
tlie 'triple 111eter lJel11lits 110 altei11ative r11etric-rhychr11ic patternir-ig. But, ex-
cept for the fi11al n1easures, rhe l>arlir1e i11 Sch11mai111's ''i\1arch'' riught ha,re
bee11 placed one q \larter-note to the left.
I .suspec."t that Scht1ma1111 \:\
rires rhe in t1'1is '\va.y-nialcing the
rhyth1nic groups trocl1aic-becattSe to play the piece properly (as notated),
considera.ble stress mt1st be placed upon do\vnbeats. Othe1wise the ''natural''
mode o.f organizacio11-an ian1bic grouping-,'i.rill result. T his is specially the
case becattse t h.e teinpo ( J = 12.0 ) is 11ot reall}r fast. To pt1t the n1atter the
Other ' "ray around: had the tempo 'been qt1iclc. tl1en n1etric accents \vould ha\.re
been strong; and no particular stress \VOt1ld have been needed to make the
groups trocru1ic.
As it is., l1ovve,rer
t he ' 'Soldier' s tvl arch
' must be played
\vitl1 sonle\vrui.t exaggerated en1pl1asis t1pon downbeats. .. i\.nd this h.'lS an it11-
portant effect ui1on cl1aracter. For the music becon1es al most tO<J assertive
6 Se.e, f:or instance, Example 4 7.
r See the of tCl:npo and grouping at tl1e e11d. of Chapter II.
Material corn d1roitos autorais
IM -
I '



I L . + - ~ I

""' \0.

Material con1 direitos autora1s
(deciso)-like a small child's self-consciousl)' imperious and os-tentatious
wa}' of exl1ibiti11g ''n1arcliir1g bet1avior. ''
To st1mn1.arize. I111plicative i11fere11ces are possible because the regularity
and orderliness of patter11 }Jroba.ble conci11uatio11s \;vhich rhe con1-
petent listener uc1derstands and \l'licl1 tl1e C(Jnscier1rious critic atternpts tO
explain. This matter ctin also be stated objectively- as though styliscicail y
coheret1t ancl syntacticall)r structured n1elodies the1nsel,res actually obeyed, or
' 'behaved'' according to, certain basic pri11ciples. 111 terms of proximate reali-
zacior1s, the ger1era1 r ule wot1i(J the11 be: Once estahlislJeci, a patterni1zg te1ids
to be co11tmtled until a poi'fzt of reJ,1tive t01t11l-r/rJ}1t/,111ic stability is reached.
Prolongations and extension n1ay, as '\ve shall see
delay closure; and deflec-
tions may give rise to subsidiary or alter11ative goals a.s points for closure. Iri
t,erms of ren1ore realizations, tl1e ge11eral rule C01zti1iuAtio1zs ?xot
realized-or re11lized 01uy provisionttlly-before ti&rnificft,'JZt closure
has take7i place 'Will probably be so sit.bsequ<!'1Itly. Often St1ch d,e)a.yed realiza-
tion will tal{e place after a repecition of the pa.rtern l1t1s rei11forced r;l1e
implications generated v;1l1en it v\ras first preser1ted.
These ulaws;, may, in be st1bsl1mcd under a still nlore general prin-
ciple: Piittterns tend to be co1ititiued itntil tl?e)' becor11e as con1plett! md
stable as possible. Con1plete11ess ar1d stability are detenrtlned not only by the
particular of the pattern irself, but b) r r1orms of tl1e particular scyl.e
being employed-its synra;x, traditional f om1s, and cor1\renriona1
Material corn d1re1tos autorais
-----. ._.-- . rt ---"V"'"-- "-..._ __ ,.---
Melodic Structures
There are but n.vo ltinds of pitch relationships: conjunct intervals ru:1,d
disjunct ones. Though this distinction 111ay seem S<Jtne\vhat siI11ple111i11ded,.
it is fundamental because disjunct patterns may imply not only continua-
tion l)ut and rett1rtl.. Our cot1cer11, tl1en, will be with the
'\\rays conjunct and disjunct patternings, and their interactions, generate inl-
plicative retationslups on different hierarchic levels. Tl1ough so111e rnelodies
are primarily conjunct,, and those \,\
hicl1 are triadic- are
primarily d.isj onct, 111ost tnelodies involve botl1 kinds of morion. Furthermore
a rnelody rnay lle conjunct on one l1ierarchic level, disjunct on another.
For both these reasor1s, a rigorous, systematic classificatio11 of 111elodies is out
of tl1e quesrio11. In what follo\1rs, tl1e t11elodies atlalyzed l1ave been grouped,
generally spealcing, according to what seems to be the main hierarchic levTel
generating u11plicative r elationslups. Thongl1 some ${)ft of dassificacion is
necessary as a \Vay of ordering the discussion, \vhat is important is the analysis
of the individual melody.
Llne;ar patter11s are scales- diatonic, chromatic, or some mL"{tUre of ti1ese.
The basic implicati,re principle, to repe-at the point n1ade at the end of the last
chapter, is once a linear, conjunct motion implies c.ontinu.ation to
a point Of .relati\re stabilir;r. To turn. to our fust example.
1.11e ope11ing melody of Nlozart's Diverti1nento in Bb tvlajor (K.z.87;
New 2 7 r b) for strings a11d t\VO horr1s consists of rwo similar phrases
an1ple 64). As graph 1 sho'\cvs, both phrases begin on che .fiftl1 (F), and
de.scend by co11junct 11100011 tovvard the tonic (Bb). T hough it co1nes on
a weal< beat, the D in m.easure 3 ( a.nd the one in measur,e 7) is analyzed as
Material corn d1ro1tos autorais
a strl1Cttrra1 tone both beca11se ir is the resolution of a. cadential harmonic
progressio11 (II :-v j \ T- \ T
- J' ) and because, particularly in retrospect; tl1e
simplest way of t111dersta11ding tl1e over-all n1oti-0r1 is as a conju11ct pa.ttern.
The l
-l: -V
progression in measure 4 is reso},red to tonic harmony in
5. Btrt in.Stead of n1ovir1g to tl1e implied Bb, tl1e melody 111oves baclc
to the fifth, as the second phrase begins. Tltls time the authentic cadence is
complernented by a clearl},. end-accented rl1ythm and b,y melodic c1os1.1re,
'vhen the Bb is reached in measure 9.
' -
' "''''"
. J ... -, P s:x l.
i\.i - - : a ' -"
- Jiil. '
.. <I
f ,
5 f -c . ,_ - ,_. __________ _
rfl1ot1gl1 tl1e in1plications of tile mai11 n1eloclic n:1otion are cle.arf tl1e phrase
structure is complex and equivocal. When the n1ovement begins, \:\re assume
that the f otte cho.rds part of tl1e first pluase. Tl1e cadenria1 progression in
i11easures and 3, hovvever,. s.eetns to articulttte a half-phrase "'' hich 'vill be
answered by a second t\vo-n1ea.sure group r't!aching closure in rneas\ire 5.
Thot1gh harmo11y cade11ces 011 the tonic in measure 5 the repetition <>f the
opening chords it clear that is also the beginning of a new phrase:
the motion from ronic co subdon1inant 1nakes the har1nony on-going, tl1e
trochaic g.ro11ping creates rl1ytl1n1ic mobility, tl1e melotiic F is
and all this is einphasize.d by tl1e ct1ange in dyna1njcs and te>.."tt:ire. Be-
1neast1re 5 ft111cti<,.ns both as the of the Ml: pluase a11d the begi11-
ni11g of tl1e second, it has the effect of an interruption. The resulr is tlliat even
though there is a cadence 011 the to-rue, the first plu-ase sot111ds tike an ante-
When the second t)hrase reaches in 9, Gttr feeling that
che basic pl1rase structlire iiS i + i is confirr11ed. Bue even in retrospect, the
funcrion. of the chords in measrrres 1 and 5 is equivocal. Though measure 1
begins the main melodic pattern, it is at the same time se,parate from the basic
mor1)l1ologicill strucn1re-botl1 because of the organization of the f ollo\ving
phrase and because of the marked co11trast in dynan'lics and betweet1
Material corn d1roitos autorais
measures r and 1. Consequently, it is also understood as i11troductory. Tlle
witty play on function is even n1ore co1nple..x it1 measu,re 5: it is not only a
beginning and ru1 introduction_, 'but also an er1d.
Because tl1ese measures are set off i11 dy11a1nics arid tenure, separated
from what follows synta.c.'tically, and functionall)r, tl1ey are par-
ticularly promir1ent. \.Ve are a\.vare i1ot only of the descending conjunct 1no-
tion from F to Bb which begins here, b.ut of an alter11ari"V'e possibility. As
in graph t , t he low-level conjunct n1ocio11 from F' to G suggests linear
continuation to the high Bb. Both. t he tnobility of the trochaic r hythm and
the on-going i1armonic motion st1pport the implicario11 of a melodic A
monized by a d-0minant, followed by a melodic Bb complemented by tonic
However, the high Bb never occurs as a stable goal harmonized by a
tonic chord ir1 the exPosition section. Whe11 it occt1rs tO'\\<"ard. the end of the
recapirnlacion after measure 2 3 8- it follows descending morior1 :frorn C. For:
recapitulation begins not \Viti1 the melody we 11ave bee11 discussing, but
with the moti,res \Vhic.h f ollotv cadence in measure 9. The opening mel-
ody lioes not recur until the coda, where, as Example 6 5 s}10"\l\'S, it
tlu-ough a melodic A. harmonized as part of a dominant s,evenrh chord, to an
accented high Bb the note on \vhich tl1e moveme.nt en.ds. Not onl}r is the
co11cinuation tl1e one implied by t he opening ti1eme, but t l1e relationslup be-

li.'X'.ample 6 5
tween the chords of measures 1 and 5 and this remote realization is empha-
sized by t he fact that in both pJaoes the violins play triple-stops.
T hotigh l\llozart,s n1oveme11t ends ot1, t he higt1 B
, t:l1e main linear 1nociot1
- the one understood as being tlJe melody-is w1d.oubredly the descending
one . . And if the examples tmalyLed in t his book represent a, fair sample, it
se,e111s that descending melodies are considerably 1nore cornmon in tl1e
tory of to.nal mt1sic t[tan ones ,,,r}1ose mai11 111ocion rises. One important
for this is t hat ascendi11g melodic n1otio1is ll'lOlvc a sense of effort and con-
Material corn dirc1tos autorais
cor11ita11t tension (probably bec,it1se of 011r O\.\'Il kit1esthecic n1otor bel1a.vior) ;
fallil1g melodic lines represe11t r
elaxarion and are n1otions tO'\vard rl1e repose
required for closure. Partly for tl1is reason r11elodies \Vhich begin on che tllird
and the fifth of the scale tend to clesce11d;
and, further , gap-fill melodies
t1sua.lly begin with a rising skip which is follo\l\ted by descendir1g conj unct

Needless to there are exccpriot1S. The Scl1erzo from Schubert's
String Qtlartet in Eb Nlajor, 01)uS r 2 5 66) is a ve11r strilcing 011e.
The n1oven1erl:t begins witl1 a cleaily defined t'flOtive ( tn)- an an1pl1ibrach
rhythmic group in "vhich the first Eb, acti11g as an upbeat and creating ai1
octave gap, is follo"'' ed b)r rising conjl1nc-r inorion, Eb-F, rhat St1ggests tl1at
the gap is goi11g to be filled. The linear part of the. 111otive is co11ti11ued
the Fin 111easure 3 n1oves to G .i11 nJeasrue 4. Tl1e co11junct rishlg mocior1, botl1
\\rithin and between motives
generates the .irnplic'titions sl1ovvn in grapl1 3.
The Eb tttJbeats are imJ>licacive not only because tl1e gaps they create
st1ggest linear fill., b11t also because they are poterztial st1'ttct:ztral tones (see
graph i ). Though a\irally conspicuot1s, tl1e Eb ,.s are \Ve.a.k struc-
tural it11portat1ce. Tl1e incongruiry betiveen funccio11 and prominence is er11-
phasiz-ed by tl1e reite,ration of tl1e Eb's, \\rl1ich see111 uriaffecred b)' ;:iti.d. co,nse-
quently, separate from, the risir1g motion of the 111elodic li11e .. \t\Tl1at is implied
-111ore strongly vvirl1 each repetition- is that Eb livill becon1e an actualized
srructi.uaJ to11e, as it does '.vl1cr1 it cor11es as the dovv11beat in 1neasi1rc 8.
Tl1e arri\1al of the Eb in me;ast1re 8 actualizes the precedin.g potential
rones a11d is a realization of rhe i1nplicacions of the preceding scale (see gra1)h
2). Bur .it does not constitute a sarisfactor3r realizacio11 Of tl1e ge11-
erated by the litiear n1ocion of the first foltr n1easures. For the satisfactory
realization of atl imptie:atio11 is by \"irhat 111.ight be c-alled tf1e law of
l1ierarcl-Jic equivalerice: an eve11t is an adequate realiza.tion of an in1plicatio11
01tl)' if it is on a 11iera.rcl1ic le\rel which is tl1e sa.r11e as,, or more exte11ded tf1an,
the level of tl1e patrer11 ''' hich generated the in1plicacions in question.
\Vhat is 1equiredt if rhe irr1plicacior1s generated by the openir1g 'n1&1st1res
of Schubert's Scherzo are to be reafrz,ed, is the arri\ral at a goaJ-
probably one of the t1otes of the to11ic triad- ,;vhich f ollo,<\rs fron1 and is on
tl1e same luerarchic level as the lir1ear patter11 of n1easures 1- 4 (graph 3).
rhough it contir1ues the morion in1plied l}y the o:pening n1easures, tl1e scale
This tendency is also related to tl1eir proxirr1ity to tl1e lo\ver roruc. This is obviou .
in c:he case of tl1e third. In. d1e case of the fiftl1
the thir{i, actir1g as a poinc of il1ter-
mediate stability; is proximate a.11-d inHtiences r:l1e probable direction of rnotiot1.
Material corn d1ro1tos autorais



:I :i

.. ..
.. ... ....

,. " .I

l .
.. ,:



H !.!:: L1

. ' '

f f


...... .
. -




it' a.
' .
f1' >- r

:: -.
> I
( - ' .. w ..
.! ....___. .,


- '.i s i

, .
" .
.,j .1
' ..




,_ .
. '

ii .




i. L. '
' if::::.
- - -

j '
- ... "" ,.
M: i
- '


. . .:
. - -



- .
. i .
._ .
.. - w ,
,... -
- - - - -


- . -., - .


f , , \ir

.. .


.... .. c


l "

. [
j p

i 1.
' . f
-:. j


i '
f .


;; t:i :
t< '-

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- i



. .

' . .

Exan1ple 66


.. .



.. ..,


. ' I
"""' f
& I
..... ._._ ,

Oi' ..

- i

t i
Mater al corl" tos autora s
i11 1neasures 5-8 is not on tl1e sar11.e i1ierarcl1ic tevel as the earlier pattern.!! For
in the first fou.r measures, the fundan1ental of n1otion is a t'\.VO-measure
l1nit, \-Vhile in n1eas11res 5-8 the motion is at t\vice as fast. F'o.r this rea-
son, che scale is ortly a provisional realization of t he implications generated
b}' tl1e earlier lu1ear pa.tter11. at c:he end of the ti,rSt part of the Scherz.o is de.finire and un-
mistakal)1e: the "''l1ole movement con.clt1des \Vith almost exactly the same
cight -meastire phrase . . Harm<)I1icaUy, there is a full cade11ce. Rhythm is end-
accented on the lo\-vesr level and on the highest one, v.
hich is a clear a11apest
group of z + i + 4 rr1eaSl1res. Melodicall)r, tl1e scsJe creates foregrot.111d clo-
sure. However (and tlus point \.Vill concern us later), thot1gh it e11ds on the
tonic, the linear rriotion is qt1ite t1niforrn- li\ritl1out reversal or significa.nt arric-
ula:tion-and, for this reason., furt her mocior1 seems probable. must be music. This for t\.\lC) reasons. First, because no
digression from ti1e stability of to1lic harmo11y arid col1esive ptitter11ing has
taken place. ' hat is needed is the tension of tonal contrast ai1d morivic
change; so that the return to stability cai1 create a sense of arri\ra1 and con-
clusive fi11ality. Second, a11d ou.r primary co11cer11 l1ere: the implicatio11s of
t l1e n1ain n1elodic n1otion gene.rated. in the fust rr1easures ha,re been realized
only provisionally. .!\dequate realizatior1 is still to co111e. Boc'h these require-
ments are mer in tl1e secon.d part of the n10\1e1.nent.
Tl1e li11ear processe..c; of the :first part of the Scherzo contint1ed in the
second. As g.raph 3 ii1di cates, the rnelod}r n1oves seqt1encially fro1n the G-
th.e poi11t reacl1ed in t11casure 4-t1p to the D in 111easure r 6. In bolh the first
four measures and in these eigh.t, the linearic}r of the \'ioli11 1nelody is sup-
ported by parallel motion in the cello. Both lines-and the l1art11onic motion
as well-could have go:ne clirectl)' measure 4 to measure 9. Observe, too, tl1e 1nobility of tl1e pattern is partly a result of the inscability of the se-
quence of first-in,rersion harmonies.
Tl1ere is a. cad.ence in meast1re 16. But it is by no means .c.i.ecisi''C. TJ1ot1gh
the rhythm is end-accented on the level-meas11res 9- 16 are .a pyra-
1r1ided anapest: 2 + 1 + ( 1 + z + 2 )-tl1e lo\\r-level group is a n1obile a111-
phibracl1. Harrnonyt too, is on-going: both the laclc of root motion an.d t.he
progression i11 G strongly imply contini1acion. T he lo.w-level, fore-
2 Ic ni.ight be argt1ed that tl1e 'Vvhole scale-plll"aSe is a prolon_gacion of Et> and 011 the same level as the previous patterning. Bt1t in, th::it th.e lc>w Eb i11
tneasure 55 is t:J1e tocie The rest1lt would be a high-level neighbor-note
n1otion, Eb(in.r )-F(n1.3 )-Elt(m.5 \Vhicl1 is s.c.-uccly a satic;factot }' conili1wition for
the strongly linear pattern of the first four n1ea.sures.
Material corn direitos autorais
ground melody creates a degree of closure., for tl1e skip of a diminished fifth
from G to C# resolving to D is a cadential gesture. (As sl1own in graph i,
this cadential pattern makes the G, a potential structural tone like the earlier
Eb, part of the melodic-rl1ytlmlic strt1cn1re.) 011 the higher level of melodic
motion, however, the unifor11lir}r of the c'hromatic line from B oo implies
continuation. Thus, while the cadence it1 rneasure 16 has son1ewhat checked
the goal-directed mon1entu.n1
arriving at a kind of tension within equilibrium,
the implication of continued morion is still strong.
But the implied continuation of melodic 1nocion from the leading tone,
D (measure r 6) to the tonic, Eb, does not follo"\v d.ire,ctly. The D is pro-
longe:d (and thus en1prl!:lsized) from rn.easure 17 to 111e<.:tsure 30 (see graph 3),
ibut in a context tl1at is u:nstable an.d hence itnplicatlve. Har1nonically, tl1e D
functions as part of an alien tonality ( G minor rather than Eb). The har-
monic .rhythm is. open and mobile because the temporary tonic (G) comes as
the weak part of the rh)rthrnic patren1, rather tl1an as a g-oal. In addition ten-
sl<)fl an.d n1obility are a result of d1e "'realcening of the 111elodic-rhythn1ic
sha,pe. Tl1a.t is, the reiterated D's a11d the repeated low-level iambs of the
melody do 11ot give rise to l1igher level And this lack of palpable
patterning also implies change.
An octave transfer at the end of 111easure 2 2 brings the melody b:ack to
the original register. Because t11e srur1e 111oci,re is repeated an octave lov,rer, it
is, I tl1itll{, a legitimate instance of registral transfer. That is, it is legitimate
to analy-ze tl1e melodic line as contir1uing i11 the lower octave. Often, how-
ever, tl1e situation is 1nore problematic. In generalt analysis 11as sucl1
transfers \vith unwarranted casu,alness. This is, in. n1y judgn1ent, a n1istake.
For tl1e implicatio11s of melodic patterns in principle specific not only with
respect to pitch-elass (Cts, Bb
s, etc.), but "'rith respec..-,: to register as
well .
. At 1ne}tslue 25, D is h.armonized as ti1e tlilld of the do111inant-seventh of
Eb. The fo.reground pattern rises through that harmony to the Bb \Vhicl1 is,
so to speak, left hanging in mid-air-without explicit connection with t:l1e
follo\i\r:ing pattern. Th.e progression through the dominant to the tonic con-
stitutes a reversal of the hannonic i'>ro-ces-s and ere-ates high-level closure.
1\11elorucally i the arrival of the Eb in ,measure 3 1 represents nor only the
arrival of tl1e stability of tl1e tonic, but the realization of cl1e i111plication
generated in th.e opening n1easw:es of the Scherzo. T he processes begun
s See Meyer, E'tl'UJtion and in Miu-ic (Chicago: University of Chicago
Pressi 1956), pp. 160-196.
Material corn d1ro1tos autorais
there f1ave 1110\
ed (with a11 octave tra11sf er) in li11ear f ash.ion from t he Eb
in meast1re z to the one in meast1re 3 1. Since the first part of rJ1e move1ne11t
endecl \vith a full cadence\ the realization in measure 3 1 is .remote. l\ilelodic
and t1arn1011ic closure, as ,;veil a.c; the returc1 to stro11gl)' structr1red rl1ytl1mic
organization, are comp]eme11ted by clost1re. For the repetition of the
.6.rst part of the Scherzor follovving the harnflonic, mel()dic, and rhythnlic
tension of tl1e iniddle pru::tt enhances the feeling of clost1re by pro,riding tl1e
satisfaction of return.
Bltt che first part is not repe:ited exaccl)' Tt1e Eb 1najor sC'ale (m. 35-
36), wl1ose linear cor1cint1atio11 ( n1. 7) ir1 tl1e :first part "''eakel'1ed tl1e se11se
of closure, is bro1<:en off and 1ei1laced i11 1neast1res 38 and by a disj unct
cade11rial gesture. cl1a11ge accomplishes tl1ree t11ings. First, it
a, conformant .relationship bet\ee11 the cadence of the middle (m. 14-
1 6) a11d the final closure. Second, it provides a continu11tiotl: for t:l1e Ab and
Bb "'' hi ch \-Vere left ''ha11gi11g in 111id air)' at the end of tl1e second part and
leads them to tl1e ca,de.nce .t\11d t11ost important of all, by re'\rersing the linear
n1otion of rl1e precedi11g n1easL1re it creates deci,,'ii. e clos11re.
Rotlnded bin.aryr forms, as raise an in1po:rrant analycic-cricical
question. If a particular patterning of events- for instance? tl1e 1110tion
of n:1eastues 1-4 ir1 the first part of Sclluberc's Scl1erzo ii11plies co11riuuation.
\Vhen first presented, \7i"hY isn't the restate111ent Of the patterning in meastues
29-33 even afce.r tf1e second ha.If } been 1epeated? H ov. v can the
piece e11d satisfacro.rily? Fro111 a11 aestl1etic-theoretical point of vie\V, 011ce
an, implicario11 l1as bee11 adeqt1ately realized, the resolution of tl1e tensions of
t l1e middle par t, togerl1er vvith the sAtisfaction provided l))' return., seen1 to
crea.te a psycl1ological sin1atio11 in whicl1 closure cakes precedence over irr1-
plicatio:r1. Ot1 the practical side1 to er1111l1asize the cloSl.Ire of the secor1d part of
tl1e forrr1, the composer may" extend t11e final cadence, as l\1ozart does in rhe
Then1e of J1is A-1\lf.ajor Pia110 Sonata {see Ex.arnple r. 7) . At runes a final coda,
follov\ling tl1e repetition of tl1e \,rh.ol-e first part of a (!a c.1po form, serves to
create a, sense of finalit)r. Thjs is the case i 11 t'he Menuetto 010,rement of
Beethoven,s Stri11g Quartet in C J\
{ajor, Opus .59 No. 3. The performer, too,
ofce11 helps to make closure clear by slowir1g cl1e cempo or perl1aps cl1angi11g
d;rnar1ucs.. A11d, finallyt the co1npete11t lister1er k110\vs, as a result of his
stylistic experience, l10\:\
such fornlS generally '( behave - t hat tl1e secot1cl
part of a rou11ded, bit'lllry strt1crure is, bt1r onl}' 011ce.
Bec.'lt1se it is tl1e stable goal ard wl1icl1 all other tones tend to move,
tl1e totlic (in co11trast to t he third ar1d. fifth) i111plies tlO part ict1lar direction
Material corn d1ro1tos autorais
of rnocio-t1. Conseque11tly. if the n1au1 melodic patterni11g begins on the to,nic,
ascending and descending nlotions are eqt1all}' probable-at least in terms of
tonal But a sense of ,direction t11ay l>e pro'\rided b)r other means. For
instai1c.e, a prefatory gap n1ay i11dicate cl1e probal)le direction of mocio11, as
the t1pbeac u1 Scllube.r.t's Schen:A> does. Or, the probable directio11 of n1otion
may be suggested by otl1er means. Ox1e of these is register.
T'he n1elody of the ''Nottur110,, fro111 Borocli11
s String Q11artet in D
Nlajor) for instance, begins with the to11ic, A,, played softly l:'Jy the cello (Ric-
ample 67). The to11ic hannony provides 110 clt1e .as to tl1e direction
.of 1nelod.ic motio11. Because the cello enters on the seco11d beat of th.e i11eastue,
ov,er a gently sy11copated acco1n.pani111ent, there is a suggesti.011 of instability.
But ttle parricttlar feeling of poigtlant tension, whic.11 tbe slo'>\' ten1po enables
us to savor from tl'ie very first note., arises ir1 large part because, though it is
rhe tonic, t .l1e A is 11011etheless implicative.
... '" __..,,,. ... _..
Example 67
It is so, because timbre a11d register serve as substitutes for tonal tension.
Relative to the. O\rer-all range c)f the cello, tl1e A is qt1ite high. Consequently,
simply from a statistical poi11t of descending n1ocion is probable. Had
the (fsame'' A been played on a violin-sa.y, or1 the D-string-no clear direc-
tion of rrlotio11 would ha\re been li11plie(f. Bur ti1e sense of implie.d direction
has a11 C\t e11 1nore im1)ort;1nt kinestl1etic basis. e understand a11d respond to
the effort jn,
olved in pla}rii1g tl1e {'high'' A with ot1r 'vhole being- l\.rith our
bodies as. \Veil as our n1inds. feeling of tension is heigl1cened by the fact
that the 11ote is played softl}' Let n1e explain. and are asso-
Cl<lted \\tith one another: not only is there a ren.denc)r to plgy 101.ider pitch
rises, but even wl1en intensity ren1ains co11sta11r, loud11ess increases
as pitch rises. Because tl1ey reqt1ire s1Jeci3l effort a11d co11trol, we are particu-
larly sensitive to the covert rensio11 of high, tones. Througl1 sym-
pathetic idenci.fication \vitl1 the sound itself, tl1e listener experiences tensio11-
as tl1ougl1 l1e were performing or sil1git1g tl-1e n1usic 11in1self- and, co11se-
que11tly, he not only kno,vst but feels, that descending n1otion is. probable.
Tl1e in1plicarions of the A, thougl1 pers11asiile, are general. Reg-
Material corn d1ro1tos autorais
ister, dynamics, and timbre are, so to speak, protogene.rative. There is a.
sense of diret.'tionality, but 110 specific g-oals are defined. V\Then the partern-
irig does generate l)articuJar implications, these prove to be both Complex
and ambiguotis. The motion froin .l\, t!irot1gh G# and E, to D implies ()On-
tinuatio11 of tl1e descending line; the ascen.ding pattern in measure 3 st1g-
gests a retur11 to the to1uc. Arid r1eitl1er of these is clearly dominant. Allore-
o\rer,. bec."ause IJlelodic rehir:io11Sl1ips st1ggest ir1odalicy as mt1ch as t:onalit)
neither of the implications is particularly f orceft11. Though the stress created
by tl1e gr;1ce-notes to tf1e first of rr1easure :z. helps to clarify the meter,
tl1e.y also rhe effect of malcing tl1e G# seetn orna1ne11tal rather tl1a11
sttiicttual as tll(}t1gh it fu11ccioned fir5't as aJJ. appoggiattua to the F# and
then as 3.11 ecbappee. This VleakenJng Of the leading-tone, the dt1ratio11fil
e1npl1asis of the E and and the absence .of a strong defining a tria(lic
tonal cot11plement one a11other in tl1e 111elod)" its modal,
quasi-pent1tonic flavor. And the com.bination of alrernative goals \Vitl1 tl1e
some\vhat atter1t1ated and a111biguous i1np1ications of modality is to a cor1-
sidernble exte11t respox1sible for the st1bily static and contern1)larive lyricism
of the melody.
In .Borodin's melody, as weIJ as in Scl111111a.nn's ' <f\1I,irch" (Exarnple 62)
and i\lfozart's Diverci.r11ento (Example 64), different aspects of the melodic
J>attcrnit-ig irnplied alternative goals. B11t this need i1or })e the case. Different
r-r1elodic processes may in1ply a single cor11n1,on goal. 1"'lu.s is trt1e of tl1e sub-
ject of tl1e fugue tl1at is tl1e second mcJ,rement o.f Handel's Concerto Grosso
ir1G1\1finor, Opus 6 No. 6 (E.IDt111ple 68).
, . .
'- .. : .

c .. ,.,..4, 1e,..:c
t'Ulc'"',,.. .... ""-"
' :

- - .
Because ic is in a n101e or less nor111al register for violins, the con.ic on
which tl1e begins is implicati.\1ely net1tral. The uniformit}' of tl1e
Material corn direitos autorais
ir1itial chro1t1atic pattcr11 is strongly iinplicarive of .conti11uationi as graph, 1
indjc-ates ..
After the first measure, tl1is motion is abr11prly brol<.en off, and a
econd pattern begins on Bb. T lie forcgrou11d 1nocion of this pattern is
patently linear, rno,ring up to Eb. T-Jo"ve,rer
though the second level of mo-
tion (grapl1 2)-that of half-nc>te groups begins as conjunct motion, im-
plying continuation to D, it skjp from C to Eb. The gap thus created not
only closes, but revc.rses the preceding rising pattern. Thus both lines con-
verge to a comrnon. goal, D. St1c.l1 co1w.ergence, articulating structural poi11ts
of importance, is common in bili11ear 111clodies.1:1
As is ofren the case vvith linear, descending fugue subjects, the last note
of the subj.ect becomes t he first note of the at1swer.
The ans"ver, pla}red by
the second violins beginning on D ( n1CaSllfe 3). not only concir1ues bot re-
ne,vs the implications generated by the patterning of rhe subject. The alterna-
tive lir1es converge on A, whicl1, l1arrr1011ically" as well as rn.elodically, implies
rnotio11 to G-at \vl1ich poi11t the vio.las and a solo cello conti11ue th.e li11ear
r11ocion as they restate the subject.
Not onl)r can bilinear melodies that con\rergc be disti11guished fron1 those
that do not, but bili11ear patterning should be differenrjated from \Vhar might
be called ''bjlevel'' ones. The subj ect of Bach's Fugue in C# Major from
Book I of the ' ell-1'empered Cla\1icr is a clear example of a bilevel melody
(Example 69) .

As the analysis sho,vs, the t\! o 111clodic strands are parallel, the
upper one related to the lover one by latent fourth-specie counterpoint. Tl1e
''st1spensiotis" are resol\>' ed '\.Vhen both voices move to a The tonal ten-
dency .of rhe fifth to descend to t he tonic is the framework "\' ithin which
patterning cakes place. The first generati\re event, the slcip of a six.cl1 to E#,
both esta'blishcs a secon.i strand of rnelodic activity and, at tl1e same time,.
1' In th.ese respeccs alld ochers, Har1del
s fugue subject is in rncirked contrast to
Borodin's melody.
See Exan1ples 70
92, and 10 5.
a See Bac.h' Prelude and Fugue in G Minor ( BW\ T 541) for Organ.

Mater al cor'l" dire tos autora s
implies the desce11ding rnotio11 of a fu.I. '"fh,e main ger1erarive eve11r. ' luch
tno,res th,e l1armony away fro1n rl1e tonic a11d sets the coL1nrrapuI1tal patter11,
is the n1otio11 fro1n to F# iJ.1 th,c lo"''er line, Because the t1pper strand
(grapl1 2) is cor1trapt111tally depet1clent upor1 tl1e lo\\rer 011e (gra,pl1 1), ther,e
is 110 co11trar)r or obliqtte rnotio,n. Therefore, tl1ol1gl1 botl1 r11ove to tl1e
sa111c pitch-class ( there is 110 11r-ielodlc convergence. Incidentall)r lil{e the
Ha11del fugue, this one is li11early continuous: the ansvver begins o.n the
lo\ver C# ('iVl1e:re the St1bject ended), an.d, mo es dow11 the scale to G#, at
'"' hicJ1 piccl1 t11e subject is repeated.
Convergence 1na)r not rake place as directly a11d im111ediately as it does
il1 Hat1del's ft1gt1e stibjecr (ExaoJple 68). The therne \Vhlch begir1s the expo-
sition section of Beethoverl,s Se,1er1th Symphony illusr.ra.tes tl1is point. 1'"'11e
111elody, given in ExatTif>le 70, consists of at1 antecedent ar1d a conseque11t
phrase. Tl10.ugh it is adequate, closure at measure 74 is scarcely decisive.
Mostl;r it depencls llpon rhytl1r11ic rela.tio11shi,ps. As the rhytl111uc analysis
u,nder the in.dicLltcs} part is e1Jd-a,cce11ted on the lev,el
t l1e cor1sequent phrase is so o.r1 the Jo'\.
lest le,1e.l as "'' ell. TJ:1e antecede11t phrase
e11ds on a '\veak heat (B), but. because tl1e weal{ l:Jeat is longer tha11 the acce11t,
closure is eni1anced. Tl1ougl1 tl1e chen1e is a.lso closed it is not
forcefully so. For tl1e cacler1tiai progressio11 lacks empl1asis on the
ina11t. Generally speakittg, ther1, rt1ythrruc ar1d han11onic cl.ost1re are low-
level, a11d tltls is the case 1nelody as "''' ell,
&r . .... .._ ......... ...
- - - - -
Example 70
lv.1elodicall)r, t11e foregrot1nd sm1cn1re is col1erenr and con1plete. But tl1e
high level .is not. Like t he I-landel thcn1e, this .is a bilinear i11elody. As the
graph a,bove 70 both the desee11ding line, E-D, an cl the rising
line, G#-... A\.-B, imply COlltinuation to a comn1on Becat1se it is an appog-
giatu.ra, r1ot a st.ructural to11e, tl1e Cl u1 n1easure 70 cai:111ot co1111t as a rea1izi11,-
tior1 of the io1plications gerler;:1ted b)r these linear e\rents. T l1e oot1sequent
Material corn direitos autorais
ph.rtse r.eaffi:r-ms the .i:rnplication, but the ci in measure 7 3 is even weaker.
T11e in1plication generated by che first cheme proper is povverfully re-
inforced in the f ollo"ring n1e;lsur:es. After a six-n1easure prolo11gatio11 of rhe
ronic (measures 75- 81 ), e1nphasizing A and E but not there is a passage
011 t l1e donrinant (Example 7 1) . This n'loves r'hrough the triad to the seventh,
D, and in. the same register as tJ1e D of the theme. Tl1is dorninanr-seventh
chord, empl1asized by fortissi:tno d)r11amics and a fern1ara, uneqttlvoc-ally im-
plies a resolution to ro11ic harmo11y \i\r:ith C# in rhe lipper liI1e .
. '
.. ' \
But Clt does not f ollo"' In fact, no satisfactory, structural Cl occurs
until tl1e recapitulation. One can loolc through the transition passage, tl1e
second key area, the closing section, and. the "'' l1ole of the devclopme11t and
not find a single C# \.\
hich earl fun.ction as a stable, goal tone in the appropri-
ate 11armonic context a11d in the right register. are, of <.-ourse, so1ne
important 'C#'s. o-ccurs it1 th.e tra11sicion passage of the exposition sec-
tio11 at n1easure r 1 .1 (Example 71) . Howe\rer, thot1gb it comes at the end of
a sequence, this is not a satisfactor}l" realizacion of the implications generated
in tl1c first then1e gro11p. As tl1e l1arn1on)r sketched under E.ircatnple 7 2 sho,vs,
the tonal context is nor the proper one. Instead of funetioning as part of
tonic harmony. this Ci is the fifth of an triad whicl1 itself ft1ncrions
as the subdorninant of C# minor .. i\4oreo\
er, this Cl is in the wrong register
- an octave lower than that specified by the ge11erating eve11t.
Onl)-r it1 the recapulacion, two i1t1ndred and thirty measures after it '\-Vas
first implied, is C# realized as a satisfactory sm1ctural to11e. And perhaps be-
ca11se it l1as been so lorig delayed, it is en1phasized again and again. The
Material corn d1ro1tos autorais
im1-1lication is regenerated by the return of the first theme group at the be-
giruung of the. recapitt1latio11. This time, however, the
ferm,at:at D, is resolved to (Ex.a.rn,ple 73A). And th.e resolution is specially
strilcing-marked by the preceding rest, ti1e sL"rteenth-note upbeat, and tl1e
change in instrt1met1tation a.nd d)rnamics. Though the melodic C# is clearly
strucrural- in t he right 1.egister and part of tonic harmony-tl1e cl1ord itself
is a rnobile secondary domina11t, \ ! of 1\T.
When it occurs at the beg.u1rut1g of the second. ntne in the recapitt1latio11,
110,vever, the C# is StrucroraJ a11d the harn1ony stable (Example 73B) . The
plrrase also e11ds on the third. of tl1e scale, but as p:art of a si."X-four cltord. In
a. tlus is a function it sl101tld 11.ave liad in the opening theme-as is the
case, for instance, at the end of t11e anrecede11t phrase of the Then1e of
i\if.oza.rt's A-Major Piano Sonata :('Cl1apter 2, &uinple 17). This sL"{-four
chord receives its nlain resol\1tion when the Cl moves t11rougl1 B t<> A in
346. Subsequently, a strongly in1plicati\1e, se,quential pa.<>Sag,e, reaf-
fuming C# a.s a goal (Exa:111ple 74) is followed by a cadential progression,
N-O- \ f-I (n1ea..sures J.68-370), 'vhich also arri es at a forceful srruct'ural
And tl1e movement ends '1vith th.e third of the scale as the .melodic note.
I '
(:1 t tc. t"' Q.. !" - - - - - - - - - - ... ff
Exan1ple 74
Disjunct patterns nia)' be implicati' e in tvvo A disjunct it1terval
may be undersrood as a ki11d Of i11com.pleteness a gap-wluch implies that
the note or 11oces skippe,d over ""rill be prese11ted il1 wl1at foll o'\vs. 0 .r, when
u11derstood as .Pru-t of a triad, a disjunct h1terval-sucl1 as a third, a fourtl1,
Material corn d1ro1tos autorais
or a fif'th may imply continuation .of the triadic pattern wicil a point of
relative sta.bility is reached. A single disjunct interval n1a}' im.ply l>oth these
possibiiities,.--as was the case in Schumannts l\Jlarch
' (Example
62 ).
Gap-fill 111elodier
Gap-fill n1elodies consist of two ele111ents: a disj'al- the gap-
and 0011jt1nct i11tervals which fill tl1e gap. As a n11e, gaps are not larger than
an octave. Given this qualification, it is generally the tl1at the larger rl1e
skip, the 1oo:re strongly co11ju11ct fill .is ir11plied. A skip of a, for in-
stance, is more forcef11lly i111plicacive tl1an a skip of a third. For the larger
the disjunct the n1ore noticeable the incompleteness it creates, and
a triadic continuation of a large disjunct interval is not probable because the.
melody \vould be carried beyond the octave,
\Vhich would be
particularly in the early period of chis style. Rising gaps are 111uch n1ore
co111111on than falling ones
- probably because it is naniral for the teosjon
of effort, associateli '\;\fitl1 both rising and disjllllCt interv'als, to .precede tile
relaxatio11 associated '\vith d,escending conju11ct n1orion and with the ap-
proach to\v:ard closure. I11 Sl1cl1 rnelodies, it is not c>nly tl1e disjunct gap
which ger1er,ates implications. As with other linear patterns, the conjunct
motion functions as a gene.ratitre event in its ourn right a:n.d, once begun,
tends to be continued l1ncil relaci,1e stability is reached .. Fin.allyt an important
exception 1nust be mentioned: an upheat inrer,1al of a perf,ect tnoving
to the tonic, does not necessarily function as 11 gap, but niay be und.erstood
as a rhythmic-harmonic event emphasizing the tonic on which the melody
proper begins. Let us nO\V consider so111e
The subject of the fugue fro1n Gemini.ani's Concerto Grosso in E Minor,
Opus 3 No. 3, is an almobt archetypal instance of a gap-fill xnelody. As Ex-
ample 7 5 A the main gap consists of an skip. Because it is an
U()beat to the lower E,, the B emphasizes this disjunction. a.nd ar the san1e
time acts as a subsidiary gap to the upper E. These gaps .are fallowed by
iminterru pted descending conjunct 1notior1 to the tonic.
Fo.r in:stan.ce, the triadic continuation of a sixth
E to C, would. cake d1e pattern
oo the G outside tbe oc.ta\re above the initial E ..
s Though there are notable for instance, the melod;r of Schubert's
Scheno ( E."<ample 66) .
I have the shortcon1rngs of such nnin1peded conjunct Il'i(}tion in Aifrtsi c,
the Arts and Ideas ( Chicag-0: Un.j,rersity of Ch1cttgo Press, 1967 ), Chapter :i.
Material corn dirc1tos autorais
A. B.
Exac11ple 7 s
The only anal ytic problen1 tl1at arises it1 connection \vith cl1is exarnple
is that of luera,tchic eqt1ivalence: is tli.e n1otio11 f ollo\11it1g t11e B ir1 ir1.easttre 3
linear or tria.dic? In 01)' judgment, it sl1ould be anal yz.ed as both. Tl1e tones
on the primary and secondary ac.c.-ents- the B,. G, and E-are strucn1rally
n1ore in1portant than the A and FI v;
l1ich con1e on \Veale b,eats.. On the
orher l1a11d, the i1iitial octave gap is so scrongly i111plicative of corr1pletioc1
that the fill n(.>tes acqt1ire a11 importa11ce '\Vhich they \\tould nor otl1en:\'ise
f1a,re. fviore i1nporra11t still, the preceding linear motion tends t<)
s'hape our understandll1g of later events; it leads us to hear the conj u11ct rno-
tion as a conti11Lting patter.11. Consequer1cly, the conjt1ncr of the pattern
seems a sacisfactOr}" realization of the in1plieittions generated by the ante-
cedet1t gap.
Because ic is a single e,1ent "vitl1out n1arlced inter11,al aroculation, this
gap (E-E) :is ancillar}f: thot1gh it generates and gives direc.'tion to tl1e follo,v-
u1g C011jt1nct .motion, the ' 'real>' n1elody is Utld:erstood to be cl1e co11seql1e11t
d.esceI1ding patcer11. G:aps can be even 111ore clearly ancillar}r than this-
empha.sizing the probable di:rectiot1 of but not really bec<>n1ing part
of the esser1tial patterning. 1"'his is tl1e case, for instance, tvit11 tl1e octave
llJ)bettt to rhe melody of C11opi11's Prelude i11 E Mi11or;, Opus 28 No. 4, the
first n1easUies of wl1icl1 are gi,1en i11 7 5 B. As the abst1action give11
abo,re the example tl1e melodic motion co11sisrs of a. conjunc.-r
descent, by repetition a11d di,rersior1
fro111 B ro E. In addicio11 to
empli.asizi11g the direction of rnotio11, the gap sen
es co define the basic area
of melodic activit)r. Partl)r for this reason and partly because of the re-
strai11ed .n1otio11 of the melody itself, the stretto marl<ed b)r Chopin in measures
16 and 17 is felt to be a ' rbu.rsting our'
-a gesrure releasing pre\
iot1sly t1er1t-
up tet1Sion. That the is a11cillary is shown it1 tl1e fact tl1at tl1e accorn-
t)anime11t do,es not begin until the do.wnbeat.
a ga1) is i1nciUary or is part of tl1e 111aiii n1clodic m<:ltion de-
Material corn d1re1tos autorais
pends, thet-i, upon \vh.ether itS r:ones are structural. This distu1ction can be
made clear by comparing rvvo menuetto melodies by wlozart both of \hlch
begin with. triadic gaps. 1"he gi\1en in Chapt er 4, Exa1nple 56t is from
the Flt1te Quartet in A Major. In tins case, the gap is a.n upbe"3.t 'vl1ich pre-
cedes the first strucrural tone of the 111elody- the high A. The gap is an-
cillary, fo.r our t1nderstar1ding of the structure of the co11junct fill, which
consiscs of an. antecedent a11d a co11seq ue11t phrase, is not depe11dent upo11 tl1e
presence of the gap. Tl1ough the melod)' "''ould m1d()Ubtedly have been
poorer '"'ithout the ga.p-for instance, l1ad. it begun witl1 a cha11ging-note
ll p beat, A- the ance,cedent-consequent structure

nevertheless ha:\re
1nad.e musical ('sense.''
But in the melody of the !\1.enuetto f ro_m cl1e String Quartet in D Nlinor
(K. 42 1), .as Example 76 shov;rs, the ga.p-a D-minor triad-is made up of
structtual tones. Because rl1e descending fill is on th.e same hierarchic level
as the generatic1g gap, and because tl1e repeated A's in 3 act bottl
as the end of tl1e gap patter11 and as the begin11filg of the conjunct motion,,
the g-ap is of the fnndru:ne11ta1 melodic strucn1re. Tl1e conjunct fill does
not form .an independent pattern, understandable in its O'\vn right-as \\ras
the case \vith the from the Flt1te Quartet (also see Example 54).
Once be.gun, tl1e triadic motion is both of its O\Vn continua-
tion to the high A and of descending conjunct fill. The lower A i11 ineasure
1 performs tt'\' O important ftmc'tions. It esrablisl1es tl1e lower .limit .of melodic
a.ctiviry, and thereby makes it probable its octa\re in measure 3 is the
upper li111it a11d., therefore, a relatively stable goal for che triaclic morio11. Also,
it empl1asizes tl1e disjunct char.acter of the higf1er-level triadic piitte.rn (gra,ph
i). Indeed, gaps i1nplying ftlrtl1er mot.io11 occur throughout the inelody: the
A to F in n1easure 1, the l(>w-Jevel triad, D-F-A, fron1 n1e-.dsure 2 ro 3,
and the falling fourths and risi1ig thirds in n1easures 4 and 6.
Because the descending conjunct: motion (gr-aph 1 a.) :is botl1 srrongly
goal-<directed a11d qt1ite regular-ai1d tl1e sense of unifor mity is heigl1rened
by th.e chron1acic bass line-the melody generates cor1Siderable n101nenturn.
F'or this re-aso11 direct 111ocio11 t o the toni.c ' voi1ld :r1ot create satisfactory
clost.ue. T he on-going morion m11st be slo' ed ,down. This, the reversal .in
me-asure 8 does. Wl1en the foregrou11d gap (E to C#) is filled (by D) ; t he
direction of motio11 changes f ron1 des.cending to ascendll1g. This change of
direction is Strengthened b;r the primary patte,rning (graph 1) and the sec-
onda11.r ljne {graph 1) converging ii1 this n1ocion. At rhis pointt too, rh)rtbm
becomes relatively closed: previously the '\\reak heat.s had been highly n1obile;
Material corn dirc1tos autorais

,. ... . t:""',
.. :iii

' '


' '


' -

1 ,......
.. - It.... a.
' I -

I .

but here the eighth-note morio11 ar the bcgi11ning of the 111easure creates a
closed ciactylic grou,p ( J l J J J ) a11d, as a resl1lt, rhythm is consider-
' -- y ../! I
ably less 011-going impJicaci\
e. The clos11re of the \vhole part is assured
by the arri al of the implied tonic, by the gap-fill strt1cture
co D) i11 ci1e 1niddle-grou11d r11elody, b. cl-1e 111ocior1 of tl1e tertiary voice
(graph 3) to rl1e tonic, and, finally, by the disj t1oct cade11cial morion of tl1e
f 11 the preceding exainples, di junctiot1 \\a explicit and ob\rious, and the
in1plicatio11 generated by eacl1 parcerniog ''' ere basically sin1ple. Ho"vever,
a gap of strucruraJ to11es 111a)' lJe embedded i11 conjt1nct fore-
ground i11orion, disjunct parrerns may Le con1plex-impl)ring a number
of co11ti (1uatio11s. St1bject of tt1e D- li11or l?ugt1c from Book II -of tl1e
' i\f ell-Tc.111pcrcd Cla,1ier is a case in i1oint mple 7 7). The sixreenth-l1ote
triplets at ri1e bcgi11r1i11g create foregroL1nd conti1111ity. B11t they are essen-
riall)' orname11t:al ratl1er thar1 structural . s sho\.vn ir1 grapl1 r, there is a
cl pattern: tl1e eighrl1-11ores on beats 1, 2, a11d 3 are strucrural to11es
ot1tli11i11g tl1c ro1lic D-F-A, a11d tl1e. c are connected b)r foreground
})assit1g-toncs. Tl1e in1portance of tl1ese strttctural cones is due not only ro
Mater al cor"1 dire tos autora s
their nJetric position, but to their functio11 in the patter1Un.g: the D is em-
pkasize.d because it is the first 11ote of the :melody; th.e Ft because it begins to
repeat tl1e motive just presented; and the A"' becattSC it ends the triplet motive
and is follo\\
ed by the first disjunct mocio11 in the foreground.
Tl1e triadic pattern rrtight seem to lead to rl1e octave, D, on the second
half of f)ett 3. Ho't\rever, thoi1gh the D ni. 1.lks the exte11t of the over-all mo-
tion-the probable area of 111elod.ic activity-it does not follow from or form
part of tl.1e preceding tti.1dic patterr1. Becat1se the 0 , F, and A occur 011 rnaU.1
beats, not on \Veak eighth-notes., tlte D enters at the "'rrong point (too early)
to .fit tl1e triadic patterning on the hierarcluc level on \vhicl1 it was generated.
The A represents tl1e end of tl1e triadic pattern. I ts n1otion is continued. in
the nein: measure "vhen A moves to, G and the11 to F.
The co111plecio11 of
this C011jw1ct til l does not occur until the penuJrimate cadence of the fuglte
-f ou.r measures before tl1e end.
Th.e high Dis implied .nor by the tri'ldic n1otion, bt1t by the less patent
gap-fill pattern showx1 in graph 1. This pattern consists of che series of
eightl1-notes "'rhich skip up a fotirth, creating a gap, a:r1d tl1en d.escend a
seco11d- irn.plying funher linear motion. There are three statements of th.e
pattern; eac1'1 begirming on. the last i1ote of the previous tl1at is., D-G-
F, :Unplying continuation .do'vn to E and D; F- Bb- A, implyi11g descending
morion to G, etc.; fina.Jly, in1plying a still m,ore exten-
sive linear fill .. A1:; the conjunct :motion descends from D, and the gaps are
filledt the several lines converge and n1erge into a single r11otion.
,,..., .o:- , -
Example 77
If th.e richness and. complexity of tl1ese i11tertwirring irnplicative suu.c-
rures .is to be perccived
the fugue should be performed as ' 'net1trally'' as
possible. For instance, it \Vould be a mistake to rl1irik of tl1e second triplet
The last .eighcl1-note, A
in 111easure :a is tiot part of this line, but a11 o:pbeat
leading to the statement of tlie answer.
Material corn dirc1tos autorais
as a11 trpbeat to the F, bt1t it also be to tl1inl{ of it as grouped
tl1e preceding tri,plet thereb)r tl1c triadic structure. Because
none ,of the subpa,tterns should be tl1oughr of as t)eing do1ninant, 110 special
artict1lation or pl1rasing is callee! for. Either of tf1e nvo basic lcinds of pattern-
ing embedded i11 this subject .n1ight fonn tl'1e basis of a separate melody,
it is instrl1ctive to see "' J1at happens v.hen t his is the case.
1"be first part of the aria ''Se ,,uol ballarei' frorn Nlozarr,s Le Nozze di
Figaro, like the patterning of Bach)s fugt1e subject sl10'\vn in gra.pl1 1 of Ex-
ample 77, is a triadic gap-fill 1nelody. Tl1e first eight 1neasures :are 1nade up
of rvvo f our"measure phrases related to each other b)r c
7 8) . Tl1ot1gh each contai11s linear rnotio11, tl1c. lnair1 patterni11g is t1neqtu.vocall}r
triadic (see grapl1 1) bec:ause of tl1e pltrase the first begins on
F and moves to A, tl1e secorid begins on. A and rnoves to C, and tl1e tl1ird-
that of the conjunct-fill-begii1s on C. This !ugh-level triadic Strt1cture is
emphasized byt the foregrt1t1nd parter1u11g; lJec'1use the first phrase returns to
F an(l the second to A, rhe major-third relationships ben\
een is
aurally explicir. And because tl1e criadic parrernit1g is so strong, the G in
nleasure 3 and tl1e Bb i11 measure 7 are as high-level to11es
I";;\tl1er than as srruett1ral The triadic, structure of tl1ese first pluases
in1plies linear fill.
The second part ,of tl1e 111elody realizes tl1is it111)lication.. It begins b)'
des,ce.nding conjunctlyt fillu1g the precedit1g gap as far as the G (graph 1 ).
Thot1gi1 the descent to G takes only four 01easures-tl1e gap-creating pa,ttern
"'' as twice as long-tl1e filling-in is a satisfactory completion fron1 a 1r1elodic
point of \ri.e\\
For nor 011ly is e-ach of t he co11ju11<..'t steps explicitly empha-
sized by rhytl:1m and tl1e articulation of the sequential pattern, bt1t rl1e first
ru10.-beat group in each of these rneasures ( tl1e falli11g third) is related by
conformance to rl1e important pointS of structural arri,ral in measures 4 and 8.
From. a ternporal point of view, 110\.vev,er, che ciescent is too sl1ort. To
bala.i1ce the morphological Iengtl1 of the fust half, four m.ore measures are
needed, B11c ' ve are gi,ren nvice nt1mber. This is r1o t beca.use the text
needs more music-the tvords of meastires 15 and ,16, ''le Sl1.onero, sl>'> are
sin1ply repeated in t be last four me,asures. Rather t t1ese ''extra' , 1neasures are
l l T he third phrase begins \.Vith the sa111e rwo not es, C :111d A, which ended the
second. Ho\vever, though tl:ie inter\ra.I is che sruTie
th.e rhythmic placement a.nd func-
tior:1 of the 11otes is differe11t. An end has becon1e a begi11rting. When, as .is the case
here, a single '{idea" is made to do do11ble dut)' d1ere is the plecas\1re of psychic
eco.uomy rner1tioned in 0 1apter 3 (pp. 67f.).
Material corn d1re1tos autorais
I ..

I rtl
I ~ ~
Jr ,
I ,
I ~ -
I "'-
~ I ,
..... I
I ..


I ,
"" ' I
~ I ~
... H+tt..I
~ .



Material corn d1ro1tos autor a1s
appropriate because tl1e descending 111otion of measures 9-12 is so }Jate11t and
direct thar a cade11ce af cer 011lv four as is l?i\en in Part B of
. ....
78-\JlOuld have seemed flat an.d unir1teresti1ig, a11d closure 'vould
l1ave bee11 " ' eak and ineffective.
Tl1e last eigl1t 1neasures, \Vhlch fro1J1 011e point of \rie\1,r are little more
than a prolor1gation of the G i11 n1easlU"e I 2, subtl;r combine an intensifica-
cion of implication "'ritt1 a11 equally effective feelitig of closure. The sense of
i11lplication arises nor C) nly because tl1e preceding descent stopped short of
its goal, F, b11t l)f(.'"aUSe t.h.e lo"' er-level echappee figt1re. sho\Vll in g:raph 3,
vvottld, if continued., ha,,e ino,red fron1 G-A t ( F. At1d this possible con-
tit1uation of the set1t1ence i11 r11easures 9- 12 is repeatecily suggested i11 t he
last eigh.t measures. Seco11dly, tl1e sl<ip to C in n1easure 16 and to :B" in measure
1 B te.nds to rhese n.otes seen1 i111plic'tl.ti,re and mobile. 1\ s the analysis ii1
grapl1 z sho\.vs, the motion from A to C in1plies F.
Tl:iouglt aurally prorninentt the lugi1 F is m1derstood i1ot as a potential
structural. tone. but as part of the caden.tial process. Here context is crucial.
Becatise it cornes to'\vard tl1e e11d. of a pattern, the F nor only provides
stability cluough octave definition (see Example 78), but is u.11derstood as
part of t he cadeotial pattern-o11e com111on in t he style of Vie1111ese classical
rnusic. For the cadence at the end of the Nlini1etto f ron1 Ha.ydn's
' 'Lot1don'' Symphor1y ( o. .104) (Exarr1ple 58) er11plo)rs almost the same
set of pitch-rime relationships: the tonic, D, ir1 n1easure 44 on a beat,
111ovi11g to the second degree of tl1e scalel E, in measure ;,'f. ], on an accent-
an<i then t o tl1e lo'Vver tonic. Clost1re is also e11hanced by t l1e fact t ha,t, despite
' ' ital difiere11ces in fut1ctio.n, these measures are a kind of rett1m. As i.nd.icared
by the brackets over tl1e exa.tnple tl'tey are tl1e same as, and
melodically similar to, tf1e fust four measures of tl1e melody.
A no11triadic g<1p-.fill patterning-tl1e sltip of a fourth followed by de-
scer1ding 0011junct motiol\ as in z of Lxatllf)le 7 7-is t he for the
openin.g melodic pattern of the song ' 'Das \ IVandern'' :frorn Schubert's Die
sc/Jo1ze Mullerin, Si11ce tl1e s<1rne meloclv is t1sed for a num.ber of different
' 'erses, so t hat pros.o<iic patterns vary from one stanza to a11otl1er, the te.ict
can be disregarded for purposes of analysis. And since 0 1Jr concern \vill be
'\vith 111elodjc implicatio11 .ratf1er tl1an \.Vith higl1-le\.rel rhytl1n1 and form,
tile repetition of the first fo,ur meast1res will not be considered. The n1elody
is given in 79.
1-11e first 111elodicall )' generative event is the skip of a. f from F
to Bb. When .1. 4,. follo"1-s
contint1ed conju11ct desce11t, fillic1g i11 tl1e 111.issing
Material corn dirc1tos autorais

' .. ,._
' I Jiii
.++61 '

, ,
@ ~
IC! l
a ., I
l:W )


J .r
'' -
. '-
I r
Mater al corl" d 1 ~ c tos autora s
tone G a11d returning to F, is in1plied (g1aph 3). This patterning is analogous
to tl1e first eigl1tl1-note rnocio11, i11 Bach's fugue subject. Al> i11 tl1e
Bach, this itnplicacion is not re--alized directly. Instead, rJ1e gap pattern is
tli.e A skips ro Eb vvl1icl1 r11oves dov.rn to D. Conrint1ation
C to Bb is i111plied (grapl1 1 ) .. 'fl1e second gap-fill patrern is rnore f<)rcef11lly
i111plicative than rl1e first, borl1 bccat1se tl1e dir1Unished fifti1 (A-Eb) is
l.1arm.onicall)' goal-directed and because the over-all n1otio11 fron1 F to Eb
rna]{es a progressior1 to the tonic, Bb, ' 'ery 1)robable. This motion does fo1-
Jow, as graph 1 indicates. But it: does so only after a dela}r of three eighth-
11otes: tf1e Bb comes O'll tl1e seco11d beat of meast1re 3, ratl1er thar1 ot1 tl1e
second beat of me-asure 2 .
Tl1is delay creates a in \.vhich l1as importat1t consequences
later in the .n1elody, but it need 11<>t hai' e occurred. TJ1e implied Bb r'l1ight
follo,ved directl)r, as sl10\.\' n in E.xample 80. this direct descent to
- 11 -I
Bb taken place, contu1uarion of the lin.e:ar patter11ing would ha,re been prob-
abJe. And .suci1 continuation would 11ave led to the realizatic)n of the fi1st
irnplication ger1en1ted: the Bb A of measttre 1 would have .. n10\red tl1rougi1
' N"l1at is crucial here is the relationshi11 between rh yth111ic structure
n1elodic p:1tter11ing. As tl1e an}1lyses t111der botl1 these exarn.ples show, the
groupi11g of the seco11d rh)rtl1mic level is an anapest, r + 1 + 2, vvl1ich is
c.ompieted 011 the cl1ird eigh.t'h-note of meast1re 2. In tl1e spurio11s version
(Ex"arr1ple the rhyth111ic closure created by the end-accented anapest is
complemented by partial melodic closure 011 tlie Bb-the i111plied goal of tl1e
secor,1d geT1erative e\rer1t. Bt1t i11 Scht1bert's rnelody rlus is 1xot the case. The
rune is deflected a\:vay f rorn by t'he prolo11gatio11 of tl1e D, "'' lucl1
rnoves tlrr<;ugh the Bb niajor triad to the lo'''er F. In other words, ch;ough
tl1e rhytl1mic grot1p it1 Scht1bert'..s sor1g is closed ir1 111eastire 2.
tl'te 1r1elodic
pattern ren1aJns to be completed. 1l1e .res't1lt is rl1ar tl1e 1l1otive (D-C-Bb).
which realizes the im:plica.tior1s noted in graph r, sc>unds both lil<e a11 e11di11g
''tacl<ed on' to t11e first phrase a11d lik.e n beginning of a ne\v event. It
Material corn direitos autorais
sounds like an e:nding because from a melodic point of view it is related to
and closes the previous phrase. It see1ns like a beginning botl1 because the
rh}rthmic closure in 2 is quite strong and beciuse the two-rneasure
mo.rpl1ological lengtl1s. established rl1e piano introduction a11d the first
phrase suggest th,at a. ne\v unir should begin here.
And for of
morphology, this seems abo:rrive: a second meast1re of melody
is \vanted. Inde,ed,, this need is such that , as indicated by the pare11thesis .Ut
E.xai:nple 79
one can easily it11agine cl1e pia.110 ecl1oi11g tl1e motive in the
follo\.\>ing measure.
This noncongrt1et1ce o.f .rhjrthm and melody is .. itself implicari,re, as graph
2 indicates. What is implied is a patterning in '"vhicl1 the n1ocion fro111 Eb
to Bb occllrs 'vithout a defieccior1 or break .. In tl1e last t\\
0 events o.f
the melody, this implicacio11 is realized: melodic 1notion and rhythmic group-
ing form a single cohe,rent pattern. 1"'he rhythmic grouping potential in
measures 3 and 4-an amphibrach on the first level and. a trochee on the
second-is actualize.d in rneasures I 3 and r 4 (and mea.sures 1 5 and 16), and
the echo potenriaJ ir1 th.e earlier measures is made manifesr in rt1e higher-level
organization. As Schubert,s marking of pia-1iissitno sh.o,vs, measures 1 5 and 1 :6
are an echo of measures 1 3 and 14.
On the highest level, the second part of Schubert's melody {measures
9-16) 11.1oves in t\<\ro-rneasure u11its. As grapl1 4 of Exan1ple 79 sliovvs, botl1
tl1e prinIDY line, D--C, and the secondary line, 'Bb-A, imply Bb as a point
of closure. On a lo\ver }e,rel, the G i11 meaStu-e r o and the F ir1 meastlte 1 i
are reiliz.arioos of the implications. generated by the first melod.ic event of the
song-tl\e gapfill pattern, F-Bb A (graph 3). Because they are g,oal-notes
h11rn1onized as ten1porary tonics ar1d because they occur on a luer:a,rcluc level
eqtnvalent to that of tl1e generatitig eve11t, ti1e G and F are satisfactory reali-

But this is not true of the n1ain linear n1otion of rhe second l'an of tl1e
song. Th.e Bb's in measures 14 and 16 are riot on the sa1ne hierarchic level as
the conjurJct n1orio11 fro1n D to C. Nevertheless rl1e melody does achieve
satisfactory closure. This is so for five r11ru11 reasons. First, the ecl10 repetition
ar the end of the song acts as a sign of relaxation and hence of clostire. Sec-
ond, t f1e .restatement of tl1e Bb ernphasizes its functio11 as a goil-tl1ot1gl1 it
does not change its hierarchic level. Ftrrtl1ern1ore, the slcip of a seventh, F to
Eb, represents <.."-Ondensation of tl1e n1elodic n1otion of the first measure,
and measures 1 3 an.d 14 (and their repetition,) are, in like man11er, condeJlS'a-
cions of 111easures 2 ru1d 3. The sense of return thus created enhances tl1e
12 And suc!1 lengtl'is are tlortnative u.1 this st. le.
Material corn d1ro1tos autorais
feeling of closure.
Fourth,. tl1e harri1oruc 1)rocess-the cycle of fiftl1s pro-
gressio11 begun in n1easure 9-react1es a f till cadence i11 measures 14 and r 6.
A11d, fi1ttilly, the high-level rhyth1nic strt1crtue, i11clt1ding the repetition of
tlte first four measures, is closed, as Exam,ple 81 sho'''S;
. I , ! 4 .,. u 4 ' 'I . I -f 1 o Yt tL ,, 14 14 tt
' i ' - ,, ' ' ' ,, t'
,, ' t f ' i
1 5
4YJ \Y"C '9e' ,, _ ,...._ --h' 'I f..--: nr- tJ '1t: _t
\, ' ;
z brs I J l z
I \
1 " 0 0 4 s ,I '+'- . -
\\--==;:__- --- ----- 'tr.:! .. . ---.. -'' "'- " __ r/

s a f
Example 81
T11e a11alyses !'>resented in Examples 79 an.d 81 indicate that rhythmic
and n1elodic closure con1plen1e.t1t one a.r1other. The lo\v-le,rel r11elociic sn'Uc-
rure is closed, but tl1e high.est level-the D t c> C rnorion generate<i i.11 the
second part of tl1e SOt1g- is not. C.()nverse:iy, the rhythmic patter11 is closed
end-accer1ted-on the level, btlt on lO\\"er levels the last grot1ps
are mobile, et1ding on "''eak pa.rts of the rl1ythmic group. \t"\Ti1en 011e con-
J h h" h h . h . . f '' d .
sic ers t .e t:e>..i:, w . Jc ' emp asizes t e co.nt1nu.anon o wa11 er1ng,. t.1e
strophjc of t he song, \\1l1ich must rct11aii1 some'\' hat open to allo"'' for
repetition,, a11d the fa.ct that tlus is tl1e first so11g i11 a cycle- then tl1e< of
absolute and unequi ocal closure see111s entirely appropriate.
Other points rnerit consideration in co1111eccio11 "'rirh this song. At tlle
outset, two different gai')fill itr1plications generated. The secorld of these
-tb.e co11ju11ct t11oci-011 fro1n Eb to Bb- is realized, after a brief clelay, before
the first cadence. It is proxin1ate. T l1e first generaci\
e evet1t is realized re-
n1ocely-in the second half o.f the melody. 'Thtts t he realization of gap-
ge11erated implicarioris 11111}' as was tl1e case v\
ith li11ear pa:tter1ungs, be sig-
nificantly delayed. Also, thougli large sl{ips, like octaves ar1d sixtl1s, te:ncl to
be inore forcefully in1plicative than sn1aller ones, even modest disjunctions
may ft111ction as gaps in1plying fill. This is true not o.nly of the fourths '\Vhich
begin tl1e n1elodic pa.tter11ing of ''Das \ anderr1Js; it .is also the case '\.vith
some of the t hirds ir1 the 111.elod1r (Exar11ple 82). For instai1ce, t l1e closure
Despit"e cl1e gap of se\' enth, motion b,eyond the is not i111plied. Partly this
is th.e F can be 1.mderstood as mo,ring "harrr1onically .. ro the Bo-as do.n1i.Ila11t
to tonic--mld more importantly because the irnplications generated by a con1patable
earlier even't (in measure I) have alread}' beei1 reaiiied s-atisfacrorily, and, as noted.
abo'ltC (p. c 38) . once a set of it11plicarions ltave heer1 adequately realjz.ed, closure takes
precedence over .implication.
Material corn dirc1tos autorais
011 the Bb in measure 3 is enl.1anced by rt1e preceding skip of a third from
C to .. /\. As g:rnph i indicates, this is a gap- albeit: an unobtrusive one-wl1ich
the Bb fills. the C merely been repeated as a sixteenth-note, closure
would have been slightly \\reaker. l\Jfore important: ii1 the seco11d half of the
melody, tl'1e descen.ding 1notion Of ttleasure 9 is given i1nperl1s by tl1e skip
from the preceding Bb (grapl-1 3a) .. Similarly", rhe follo"'ing third fro.m A to
C implies motion do\vn to F (graph 3b). rrurdly, the in1plicacions gen:erated
by the opening fourtt1 and those ge11erared in tl1e second half of tl1e melodj"
converge on the G and the F (graph 2 and 3a and b) . Tlus convergence
facilitates the penultimate closme. Fi11ally, despite the dominant sense of
linearity (st1own in graphs 2 and 3), tt1e 111iddleg:round structure is triadic
(graph 4) .
Triadic 11wlodies
Som.e disju.nct interv"ttls-sucl1 as tl1irds> fourths, and are impli-
cative "vithin the style of co11al n1usic, the}
are understood as poSr-
sible parts of larger, sy11ractically normative 1>-atter,nings-namely, triads.
111ot1gh tl1ey are unco1nn1011,, otl1er regttlar, disjur1ct IJatterns do oc,cur. For
instarice, in rr1easures 5- 8 of Scl1ubert's Scherzo (Exaxnple fc>.reground
linearity includes a higher-level disj unct motion: the two adjacenr tetra-
cl1ords, Eb-Ab and {see graph 2) . symmetry of the relation-
ship, reinforcing tl1e tendency of the Eb scale to continue itS linear motion,
evidently implies the high Eb. However, beca,use triadic patternings are by
far the most important in generating i111plicacions i11 the repertory of tonal
music, no11triadic disjunctions 'vill not be considered l1ere.
The extent i1nplied triadic morion-\\rl1etl1er a .Pattern will 111ove to
Material corn dirc1tos autorais
the octave abo\re and, if so; vvhether the octave "'' ill be a strucroJal to11e--
depeI1ds upon tl1e parcict1lar structure of the generating ever1r. A pattern
tl1ac begins on the root of a rria.d may continue only to the filth, toucb1ng
the l.lpper e as a ' ay of defir1i11g the area of melodic a,ctivity, but not
as a structu1"'al to11e. This; as \Ve l1ave seen,. is the case in 1\
1ozart s aria, ''Se
\ri.101 ballare' ' (Exan1ple 78) . l"'. Ioweve.r, .some triadic rnelodies begin on tl1e
root a11d imply <. -oncinuation beyond tl1e fifth to th.e tipper octave as a struc-
tural ton.e-the 111elody o.f tI1e second n10\1e1nenr of Tele1nannts Suite for
Flute ar1d Strings in A l\tli11or is an example. T o con.sider wh)r the tipper
oct ave is irnplied. as a strtlCtl.ltal tone in Telem.ann's but not in
l\1!ozan's is i1ot onl)
ii1srrucrive, but a clear instance of the need for a,t /Joe
i\l!ozart>s n1.elody begins with two sirrular phrases: the first on t 11e root
.of the triad, F; t tl:e seconci on tl1.e t lilrd, 1\.. As a rest1lt
the tfrird of the tria,d
receives the sa111e emphasis, is on the same strucn1ral level, a.s tl1e root. 1"'i1e
fifth of t he triad, C, is structurally important 11o t only for t11e melodic .rea-
sons co11sidered earlier, but for rl1}rthrnic .ones as ' vell. Because of their filn1-
iliarit}J', the first t\vo phrases are un.derstood as elen1ents il1 a high-level anapest
rhythrn: 4 + 4 + 8 -plus a. four n1easure eA,'tension. C-0nse-
V "'-' -
' 7 7 - ? __ fl
quently rhe C, \\rl1ich begi11s the ' 'accented>' phrase, ft1nctio11s as the goal of
the preceding 111otio11. Because each ele111et1r in rl1e triadic r11otio11 is stable,
with C (in n1easure 8) as a point .of closure, cootit1l1aciot1 to the octave as a
strU(.'tl1ral tone is r1o t strongly irntllied.
In Tele111a1m's n1eloclyt on t he other ha11d, the tor1es of the triad. are not
structurally equal (Exami)lc 83) . Ti1e .root (i\ ) tl1e fi:fth (E) \ Jt
come on .Prir11ary on a higl1er leve] than the third (C) . As the
proximat e goal of both lit1ea.r and triadic patterns, and the acce.nted fifth
of tl1e scale, cl1e E is pote11t'ially stable. Bt1t tl1is potential is ciimirristled l)y
three circun1Stances. First, because it is rhyt'h111ically iln(i is x1ot articu-
la.ted as a separable patternii'lg, tl1e C is mobile much more so th.a11 the third
in Iozarr's rnelod)r. Si11ce soine of tfus 111obility is, so to speal<, carried over
to the E., ch ere is a tendetl.C)T for tl\e triad to be cor1tint1ed. Secon.d, i11stead
of closi11g an. end-accented rhyth1n_ic group or beginning a\ ne\v e\.rent, the
E 1noves 011 to a weal< 0 11 the lo\\' A. The stabili ty of tl1e E is so redt1ced
t hat there is a strong possibiliry of cortti11uatior1. 11d third, the Strt1cn1ral
in1porta.nce of the. root and fif tl1 emphasize the pentachordal relationships
in,1plicit in the root-position triad, tnaking ir proba.ble t11at the tipper tetrci-
Material corn direitos autorais
' '
' ~



" I

. I
. I
t-H.I .
' .....
u_ _

. ~



- ~

, .....
@ i ~
- .
. ' '
(9 .. ..

. ..

~ ~

> )

. I ...
' l
.;. to(
Material corn d1ro1tos autor a1s
i6o EA.'PL1\INING 1\tiUSIC
chord will lJe c<>n1pleted. For ail tl1ese re'lls-Ons, continuation to tl1e high A
is Strongly in1plied.
The high A is noc) holrvever. realizeti in the first part of tl1e move1nent.
l t1stead, t he moric>n to the lo'\ver ro1uc., iruciaci11g a series of gaps of "vhicli
the SL"!tl1, is t:l1e most tl1e r11otio11 do,Jimv\.ra.rd
(graph 2) . This, together ' :vith t he te11sio11 created by rl1e internal extensiont
leads co co11j t111cr r11otio11 a11d closure on tl1e lovv .. /\.. The high A is realizecl
01lly ren1otely- "1l1e11 tl1e n1elody is restated at ct1e er1d of t11e movement. As
in i\i1ozart 's r11elody, the arrival rlf the octave contribta. res to tt1e sense of
closure .. The realization of tl1e preitio11Sly impliecl A is marked' melotiically
b}' the disjunct n1oriot1 ,;vhicl1 surrottnds it. Rl1ychmicall)r it is emphasized
because it is both tl1e l)egir1ni11g and e11d of ai1 u11equivocal e11d-accented
Both Mozart
s melod)r at1d Telen1a11n's reacl1 the octave abo\re the first
suu.ctw'al tone .. Bue c:llis is n.ot: alwa;
s the case \Vith triadic patten1s,.._even
those that begli1 ';\rith the root, The n1ai11 melod)r of Sn1etana's J7Jtava (The
(Exarnple 84), for insta,nce, is similar in a n11mt)er of ways to t he
one from Telemann's Suit:e. T11e first structural note, tl1e t:otuc, is follO\\red
by cor1jt111ct foregr<Jund n1otio11 to tl1e fiftl1. nd on tl1e sec-011d the
,pattern is triadic. But conrinttacio11 to th.e upper to11ic is not

,..,... c1111"0>.o I'_,, .....
,..... <.
. .6) .

. '
r-t Telenlalln's melody is si11illar, at least in general inoriont to the folk fror11
Bart:ok>s Fifth St'rin,g Quartet (Example 59). In t11e Qua:rtet., the 111,elody is repeated
beginning on the higl1 A of meas11re 1 ; - and agilin beginning OL1 Bb. In this final
statement, B:artok taltes care co arti<..ulate t l1e leading-tone to tonic so tl1at
clear closure is assurecl.
lt1 all these cases the n1atte.r is one of relative probability. It is more probable
tha,t Tele1na,nn
s n1elod)
will rnove to tl1e upper conic tl1atl. that S111eta.n-a's \WL But
Sn1emn3's r11elocJy might ha\-'e done oo anyway. I-lad this been the <..-ase, our undet-
smnding .of the earlier events w.ou.ld be cl1ar1ged i.n retrosr>ect. Our understanding ,of
t!1e begh1ning of the Telen1ann tune is also changed in retrospect w.hen the implied
high A is ren.liz:ed. For the

generated by the pltlern has now

Material corn d1ro1tos autorais
Bec1use of the phrasing and the structure of the acco111paniment figure,
the third of the tria .. d (G) receives so1ne articulation as a separate event.
TI1ougl1 the articulation is not 11early as forceful as .in .f\1fozarrts 1nelod)r, it is
stro11ger tl1a11 in Teler11ann>s. Tl1e fifth (.B) is a. clear stable goal
\vhich, instead of being weal{ened by a femj1line e11djng as in Telemann
n1elody, is reinfo.rced t)y prolongation. More-0ver, the neighbor-note pa.ttern
-f ro111 fi.f th to sixtJ1 to fiftl1 ir1 tl1e rni11or desce11dirlg cot1jl1nct
motion probable. Finally, and per1'1aps 111ost i1nporrant, rhe fifth of triadic
morion is ar1 octave abo\1e tl1e initial \1pbeat. Conseqrienclyr, "'r.h.en the upper.
B is reached, the nlain area of melodic activity is understoocl as: defined, and.
contirrt1ation to tl1e higt1 Eis 11ot f eJt to be prob:a:ble.
The first .melody fron1 Richard Strauss, Till E1de1ispiegel is also triadic
(Exa:mple 85). Like Smetana's 111elody, it begins \Vith a skip of a fourth and
n101;res through the third. of th.e scale to cl1e fifth; \Vhich is the goal of the
preceding t11ocion. However, despite these surface sin1ilarities, the tunes are
ob\ri<Yusly very different. 111 tf1e ul\11o1da.u'
rne.lo.dy, the triad f11nctio11s as a
gap implying fill. The n1orion to the fifth is smoothly regular and is
a.ccomplished without significa11t delay. Wha.t delay there is occurs in the
''main'' pa.rt of tbe melody-the ,descending conjunct mocio11. I t1 the Strauss
inelody, on the other ha11d, a triad is t l1e l>asis for tlie patterning of th.e whole
event. It is a. note of the triad- the fifth, C-\vhich .is d.elayed. And wl1at the
disjunct pattern in1plies is not complementary co11junct fill, bt1t conr.inuarion
withi11 the triad.
Till's tune begins \.vith a skip of a fourth, C to F.
The probability of
triadic conti11uatio11 is si1ppo:rted by tl1e a.ccon1pa11ying toiu.c harmony, v.rhicl1
is sustained throughout the melody a11d which helps to emphasize the struc-
tural importance of all the cones of the triad,, The implied continuation ro A
is at once d.elayed and srrengthenecl by tlte ''interposition'' of the G. It is
delayed beca\1se the A might ha,re followed th.e F directl)r; it is strengthened
because the linear inorion, F-G, is itself .Unplicacive of A. In a similar way,
the following GI perfo1--ms a dual role. But, because of its greater dura-
tion and its function as an appoggiarora
the delay is so emphasiz,ed that we
ome explicitly a\var,e of tl:1e fact of in1plica:cion.
ie This is m exrunp1e showing tll:at a upbeat fourtl1 need 11ot function as a gup.
As i11 Smetanas melody, the fonrtt1 is a.dju11crive: it is understood. as part of
triad, but not as a gap. GotnpGre these adjunctive fourths \Vith rhe one wl1ich
begins the first nielo<ly of tl1e second movei11ent of Beetl1ove11's Second Sy1npl1ony. In
that melod)r, cl1e foUtth is not an upbeat a.nd is not adjunctive. It functions a:s part
of the melody proper and, as a gap implying linear fill- a,n implicacio11
realized at the end of the phrase.
Material corn d1ro1tos autorais
ii '
' I 5 - . ii .... -
Once the A is heard, ft1rther contint1atioc1 is forceft1ll)1 in1plied for three
mai11 reasons: the urtiformit)' of the chromatic motion creates no t.1ea.r point
for closure; the A co1nes 011 a '\ eak heat is y i11obile; and
ascending triads '\;\rhich begi11 on the :fifth te11d to reach closure on the upper 'NevertJ1eless there is partial closure-becatlSe the A is part of the
harn1011)' , which G and are 11ot; a11d becatise the A js follo,; by a
marked pitCh disjt111ctio11. v\ heL1 the pattern is repe1ted, the triadic in1pres-
sioo is stro11ger. For the F no'" comes on a second,ary accent. Not 011ly are
melodic irnplications reinf<>rced by tl1e btlt a clear sense of higher-
le'lrel .rl1ytl1tiuc srructltre e111erges, and this, toot is implicative. 1"'11e sirililarity
of the t\.VO phrases, a and a', r11al<es it lil{ely that tl1e followit1.g pl1rase will
be t\vice as lo11g-an anapest 1 + 1 -1- 2. Ancl tho11gh the 1nomer1tum
of i11elo(lic motio11 carries the b p'hrase be}1ond the <'predicted', lin1its; rhis
is the basic patterning (see the analysis under Exan1ple 8 5).
The third staten1ent of the motive not only takes the linear n10.tion be-
)rond A, but it does so chromatically. B.ecause the uniformity of the pattern-
ing creates 110 i11herent sy11taccic stopping f)lace, a break a11d rev.ersal of
process is nec.essary if the C is to COtlstitute a re!.atively stable goal. St1c11
articulation is creared by tl1e disju11ccion- tl1e gap frorn B to D-wllich the
C fills. Arid liarn1011y conttil:>t1tes to tli:e stal)ility of tl1e C, wl1ose
structural force is also rhe rest1lt of rhe fa.ct tha1: it Ls the first goal tone
cornes on a pri111ary tlcce-t1t. Tl1,e tension of the asce11ding tri-
atiic motion with its conjt1n,cr delay is, so to speak, :released '1-Vhe:11 r:he C is
reached- is realized as cl1e goal .of the precedu1g p1ocesS=--and its Ino11lentu1n
car1ies tl1e 'pattern throt1gh the descending triad and beyond the confines of
'vt1at \VOt1ld l1ave been irs iwrrnal length.
In the ar1alysis over: , xa111ple 85, nvo levels of tr.iaclic r11ocion are dis-, thol1gh the}r are not really as distinct tlle graphs n1ake the111
appear. The first level (grapl1 1ti, b and c} consisrs of tl1e patterni11gs \<vhict1
Material corn d1ro1tos autorais
itnply the C in measlue 1 o. Th.e second (graph 2) is a hlgl1er-level, yet
ho\\' less forcef1tl, motion. fr,orn A ro C ro F. Tl1e foreground pacterning has
already been. discussed. The h:igher-level n1otio,11 arises because the A and C co11Siderably more importa11t structl1ra11y than tl1e F's in meas:a.res 6, 7,
and S.. T he importance of the C has already been considered. vVhile th.e
eighrh .. note F's are parts <>f the 1()\V-level triadic motion, they clearly
subsidiary pou1ts 011 ti1e \vay to tl1e A.'s. T11e latter are more irnporta11t not
only because they goals at1d ends of phrases but because they are em ..
phasized by appoggian1ras. Tl1e F's in measur,es 11 at1d 12 are Strt1cturally
important for botl1 tonal and rhyth1nic reasons.
Despite cor1siderable foreground complexit)'"-rhythmically, becat1se each
phrase begins on, a diff.ere11t part of the beat; rr1elodically, because of the
.and tlle long ap1)oggiamras-the Strll'cture of Strauss' melody
is essentially sirnple. T11ere is a singlet basic patterning, a single primary
goal. Alt11ough evet1 more patently triadic, tl1e first part of the th:eme o.f tl1e
slo"v rnovemenr of Haydn's Syn1p.ho11y No. 97 is much more complex. For
u11der decepri,rely sin1ple foregrot1nd relationships, analysis reveals an intri-
cate J1envorlc of alternative patterrk') ai1d goals (E.x:_ample 86).
The first motive ( m) is (.'<>njunct on the lo,iiest level, and perhaps
plies linear descent. On the next level, the A-F is part of a triadic patter11
implying continuation to the lovv C. Tl1ese in1plicatio11s are not realized until
measure 3, \Vl1ere a return to F is follo'\!ved by conjunct foreground motion
and second-Le,.rel triadic motion to the C in i11easure 4 (grap'h 1a).
motive is repeated a third hlgl1er (in' ) , and again., after a modest dela)r; the
implied patter.n.iugs are continl1ed-the co11j unct n10tio11 0 11 the G at tl1e
e11d of i11easure 2, and the triadic n1otion on the F of measure 3 (grapl1 1 b).
A third versio11 of the moti\
e., beginning on the lugh F, moves triadically
frorn cl1e F ru1d li11early fron1 tl1e D dow11 to the C at the end of the 11Iirase
(graph 1c). All rhree linear and rriadic con\rerge as they ap-
proach the C.
The 1irst nvo statements c>f the rnotive ( m ai1d m') create an alterna-
tive, higher-le,rel patterning which is alc;o triadic (grapl1 za and ib). The
stru.ccural tones of this patterning rnove f:rom F-A to C. Because it is the
chief accent of an anapest rhythmic grot1p, the ,C func..'tions as the immediate
goal of tl1e l1igl1-level triadic patter11 (sl10"\Vt1 as un.filled notes i11 the a11al)"'Sis).;
Both. lugl1-le\rel triad .and ir:s atixiliary pattern (graph 2.a) i111t1l)r co11-
tin:uarion to, and completion at, the i1pper octa,re. But arrival at goal is
is Because cl1ey follo\V from t11e prolonged t o1tic triad of mea.sare 10, the F' s
s:e>Cm to be octave o:ansf ers, as sho\Vn in the analysis.
Material corn d1roitos autorais
dela;Ied u11cil tr1e lower-le . el implications i.lre realized (graphs 1 a, 1 b, ai1d c) .
The co11ve.rgence of the descer1ditig co11junct a11d triadic i1:atternings in
n1easures 3 and 4 is accompanied by the first harmonic changes tl1t1s far.
Tl1e subs.eque11t inelodic mocior1 to tl1e goal, C, is co111ple111ented by a strong
cadential progression ('\ / V- V) . As a result, the C a strucrural
tone o.f such n1ajor in1porta:nce thai: it not 011ly f L1nctions as the e11d of the
first pl1rase,. but, as grapt1 3 shOV\'S, it also participates in t he triadic patter11-
ing of the second phrase. And, once tl1at triadic motion has tal{et1 shape, a
structural C an octave lligher is impliecl. But jt1st as the realizatio11 of the
lugl1 F was delayeci in o.rder tl.1at the altern.aci e descending patternir1gs might
be continl1ed, so 11ow cbe realizatio11 of the triadic n1otio11 f ron1 tl1e lo' :\! C
to the highe1 011e is pt1t off so that a11otl1er; i11111lica-
tion can be realized- na1nel)r, that generatec1 hy the bigl1-level triadic motion
of the first plu-ase (graph 2a and b) .
-- ---....-)'--- - -
la. .-... ..... ______ ...

' '
- . ' ' -
Y- ,
,.... ,,.c--"'"
' '
-' QJ - 7 -
Example 86
\i\Tl1en tl1e l1igh A a.nd F are reach.ed i11 tl1e second plirase, tl1ere is i10
doubt that the opening motive, here displaced an occa-;re (n1'''), implies and
is followed by conjt1nct descer1cli11g rnocio.n to C. 'The irnplication of con-
junct desceodi11g motion is reinforced by tl1e l1igh-le,rel gap from rhe A in
measure 5 t o the F in 6. Tl1e desce11ding conjunct 111otio11 not otil)'
tl'lalres patent and direct "\i\
l1at "''as latent ar1d delayed i11 the first pa.rt of the
melody, bt1t it also co1lStitutes the realization of a f<>regrr>11nd irnplication
generat ed earlier. For , give11 tl1e conj1111ct motio11 witl1i11 the firSt t\:\' O n10-
tives, the skip .fron1 F to D at the end of measure c is un.derstood as a fore-
ground. gtip. The l1ighly cor1junct moci<>n from F to D it1 measl1res 6 a11d 7
fills t hjs ga11 and thereby co11tributes ro tl-1e sense of clos11re created by th.e
cade11ce in measure 8.
The closure of tl1is first part of Haydn s is assuretl not onl,y
Material corn dirc1tos autorais
by tl1e strong harmonic progressio11 to rl1e dominant, but by the convergence
on C of the ltlgl1-leve.l fXittemings-that is, by the fact of .realizatio11 itself.
Of .course this is nor rf1e end of the ti1en1e. Retu.rn to the tonic is in1plied-
both melod1caJly and harmonically. And. iI1 contrast wirh the intricate and
predomina11tly triadic n1ocion. of the first pan Of 'the 111elody, the second co11-
siStS of r.elacively si111ple conjunct n1otion1' so1ne\. delayed, from tlle C
reached in measure 8 down to the tonic, Fi in measure 14-
In tl1e abo,re examples of triadic 111otion, disjunct morion took place
Vlitltln a single triad. But this need not be the case. Because triads a third
apart share a cotnmo.n inter,ra.l of a il1sta11ce, th.e third F-A be-
lor1gs to both tl1e F major and the D 1.11.inor triads-different triads 111a)
low one another yet create a single disjunct patte.rning. T \VO kinds of triadic
overlapping may be disringuished: linked triads and conti11uous triads.
1. ) Linked triads occt1r u1here the patrer:nuig co11taii1s both thirds and
fomths in alter11ation. The '''ell-kno\.vn melody ''and He sl1:all reign for ever
and ever'' from the Hallelujah Chorus of Handel' s itlestiah illustrates this
kind. of overlapping triadic patterning (Example 87). The fore.ground mo-
tion consists of three rising fourths separated from one anothe.r by falling
sixths. The pattern's convi11ci11g coherence co.mes fro1n this patent inter-
vallic (-whicl1 is significantly dt1e to rh)rthmic strUc'.t11re) and from
the orderliness underlyi11g tl1e of disjunct intervals. For when
the pitcl1es of the melody are vvritten as g single "line'' - \\Tith the si.xths in-
verted to thirds, as in tli.e first staff of t11e ana1)rsis it is e\ren more e'rident
tl1at tl1e .Pattern is one .of o,rerlapping triads: tl1e D and F# of measure I are
not only part of D major, but of B minor; ar1d the B and D <t:> f measure 2

, _
Material corn d1ro1tos autorais
are 11ot only part of B n1inor, bur of G n1ajor. The forceful ,patterning of the
n1elody comes not onl}r fron1 tl1is triadic linking. but from tl1e higher-level
r11orion whict1, as indicated in g.raph .1, is also, triadic. On this level
t.U1t1atio11 to cl1e lo\ver D is ir111)lie'Cl.
Though 11ot directly relevant to t he problern at ha11d, rwo aspects of
this melody merit consideration. Though rising f 011rths
whicl1 begin on
weak beats need not function as gaps, impl}ring conjtmct fill, they d,o so here.
For, u1sread of beir1g like the t1pbeat ir1 Sn1eta11:1,s rr1elody (.Ex-
an1ple 84), the fourths .in this case are part of the n1ain tnelodic patteri-1. Tl1 e
nn,,'t t\\ro are

as it '\\'ere, by proA.7 \vhe11 t l1e fourtt1 from D to G is

f ollo'\\red by descendi11.g conju11cr motio11. Perl1a:ps to cor11pensate for tl1e lack
of fill for the .precedi11g fot1rths
ar1 extension the con; unct mo-
tio11. For the t\;vo .similar iambic groups of t he beginning i1nply rl1a.t the
lugher-level rl1yrhm will be an a.napest group of four-beats duration. Had
this been the patterning, the D \Voold ha,re come on tl1e first beat of nleastire
3. -r11e nvo-beat CA'te11sion 11ot only ser,res to en1pl1asize the conju.nct fill, but
to syn1bolize the r11ear1ing of the texr. It is clearly appropriate tha.t the wo1'd
'(ever'' is coupled with rbe srrecching of the phrase create<l. by a.n exte11sion.
T he fort:hrigl1t, SJlirited cl1aracter of jubilant affirnmtion de-
.rives hoth from its 1narufest regt1larity a11d from the en1phasis created biy
disjunct 111otion as ' :vell as hy rern1)0 an<l dyt1ai1-Ucs. Ho\v n1uch t:f1e f or111er
contribute to the ethos of the melody rrlay be seen b)J' comparing it \Vith
one 111 the same fundamental structu,re is en1bellished by foreground
connection and li1 tl1e impressior1 of regularity is vveake11ed by rl1yth-
mic displacen1ent. T hough it is hard to believe, the first m.elody of Mahler's
Fot1rtl1 Symphony (Example 88), 1neet. '; these specifications.
. '
- '
f ' -
.,,,,,.. )
' .
I' .. fl'
Exarnple 88
Material corn d1re1tos autorais
As the abstractioi1 O\rer the ex.ample sl1ows (graph 1) , the b11sic tria.dic
sttt1cture is exactly that of Handel's melod)l ! I11deed, eve'n the
falling-sixth pattern is the same. But this simple orga:nizatio11 is veiled in
foreground embellishme11t. The:re is bu.t one explicit disjunct motion-the
falling-sixth n1 i11easure 1. All cl1e other inter\7a1s are connected by conjunct
motion, emphasized by a. pluasi11g wluch calls for smooth continuousness. As
a. res11lt, tl1e fundamentally end-accented organization, so empl1acic in Han-
del's mel<>dy, is much attentuated. i\tloreover, the rhythmic-formal organiza-
tion is complicated by the fact that the G in measure 3 is an accent, not an
upbeat conforming with tl1e prececli11g patternu1g- as \Vas the case \vitl1 the
equivalent D in Handel's tnelody. As a result, the C is so much less emphatic
than is t he G in Handel's version of this schema t hat tl1c analysis n1ay seem
' 'forced' > in order to en1pl1asize the similarity bet\veen the nvo themes.
Bttt tliis is r1ot, I thlllk, really the case. Mal1ler mak;es it clear tl1at he

thinks the C is importa11t b)r em-phasizing it \Vith an accent and calling atten-
tion to it ""vith t he grace-11ores. tho11gh it c-0mes ot1 the downl)eat,
tl1e G is unstable because it .is harmonized by a six-four chor d wllich n1oves
to and is ' 'resolved' , on cl1e dominant l1arn1onizes tl1e C. Finally the C is
brought out because it is the turning p<>in:t in a ttaditional and familiar caden-
tial gesture . as a comparison ben,1een tile last measure of melody
and rhe closing moti\
e of the slo\v movement of l\
f,ozarc's ''I-:laffner'' Sym-
phony makes clear (Example 89) .
:t ...
.i } Contim4,fFZIS Triads cor1sist otuy of tl1irds (or, t>y inversi(>11, of sixths)t
r:at her rl'lall of an alternation of thircJs with fo11rths or fifths. The melody
which begins the second key area of the first: 1novement: of 1\1.ozart,s. Sonata
for Violin and Piano in A Major (K. 305) is a <..."'Onspicuous
but by no means
instance of this sort of orga.nization (Example 90). The Cl
in 111easure 14, \\
hich begins the patterning, is followed 'by a s11ccession of
Material corn d1ro1tos autorais
thirds: so 011. As staff A of the example shows,
tl1is creates a series .of overlaf)ping triads:

(The s11per-
script '<o>' mean.s diminished; lo'\.ver-case letrers desigr1ate minor triads; upper-
case letters, 111ajor triads).
This disju11ct, f oregrol111d patterning is the basis. for a higher-le\1el CQnM
j11nct morion. The groups of f ow: eighth-notes create an implied bilinear
organization, shovvn in staff B of the example, As the ('tie'' in the analysis
indi cates, die fallit1g se,e11tl'l (Ct do\vn to atl in1pliect dissona11ce
sucl1 that the following B acts as the resolution of an imaginecl St1spcnsion.
In otl1er \>vords, the patter11 is one of late11t co1111terpoint-as,
for instance it1 :Example 69. Both the f oregroUild ar1d higher-le\1el patter11-
h1gs are co11ti11ued to tl1e Ft in measure 27, after which tl1e rno1nentun1
created by uniformity is slo\.ved. down, an.d brougl1t to stability by a reversal.
The 11oncongruence of nieLodic motion :mcl metric structur.e makes the
passage con1plex and. eqtlivocal, creating subtle, yet effe,cti,tet te11sion. As the
braclcets and belo\>v tf1e mt1sic ma1<e clem-
tl1e 1nelodic pattern C(ln-
sists of of four eigl1th-notes, while tl1e rneter is .in threes. For this
t11e relationship between melody and merer L;;; conth1i1ally changing.
Tl1e first n1elodic patten1 begi11s 011 tl1e f ou.rtl1 eighth-note of n1eas11re i 4
the second begins ,on the second eight l1-note (B) of the nex:t n1easure,
and the third begins on rhe last eigl1tl1-note (A) of mea:.swe i.5. Even rvvhen
the original r elationship between i11eter and melody is :reesmblished t1t the G#
, - \;-:vv ..
'-- - -1 - - __,/

, .. ,., .. r; I,, .. "''"'
5_ZiLJ , ,,, - ,
V' "'""'
Material corn d1re1tos autorais
in measure 26, there is little sense of stability and re;turn because the Gt is
not a beginning, preceded by ru1 upbeat figu;re (as the Cj in measure 14 was),
but is part of an on-going process. Tllis noncongruence of melody and 1neter
s.hould, I think, be brought out b7r the performer: the low-level triple meter
must be made evident by slightl}r stressing the prin1ary arid secondary metric
.accents--beats i a11d 4-witl1in each 1neasure.
That the passage is without accolnpa11iment u.ntil the second half of
111eas:t1re 2 7 is irnportant, for this a]lo\?1.TS the metric-melodic conflict to be
f.ully eff eccive. Nloreover, l'>ecause no accompartln1ent emphasizes one of the
triads latent m th.e u11if orm succession rather rhan anotl'1er thus creating a
sense of progression, the harn101lic stru.cture of the passage is ambiguous.
Because rnelody st1gges.ts one patter11ing and meter a11other, wt1ere harmo,nic
events begin and ,end is nor certain. Fron1 a melodic point of view for in-
!>i:at1ce, t:he D# at rl1e beginning of n1east1re 2 5 is part of the precedit1g pat-
terning, Iargel}r beca.use it is separated from vvhat follotvs by a larger dis-
jtmction-the skip of a. sixth. f\,1etticall}r, ho\vever, the D# is the begintnng
o"f a triad and should be grouped with the weak that f ollo1>v it.. Sim-
ilarly, the follo\ving B a11<l are pa.rt of one harmony from a merri.c point
of but n1elodicaJly tl1ey begh1 ne"v harmo1tlc ever1ts. 111 other
the triads are truly co11tir111ous, follo\ving or:1e anotl1er "'ritllout clearly de-
fu1ed boundaries.
Though rhe lo-vv-level dactyl grot1pi ng indicatecl in the analysis \Vil1 be
clear if the passage is played as I ha\re Sltggeste-d, the lack of lucidly articu-
lated hartnonic pro,g.ression and tl1e shiftitig relationships between melodic
and metric patternhigs prevent higher-level rhythnuc groups from arising.
Above tl1e f)rirnary level, rh}
tt1m is an"lbiguous or at least it1choate. And
fr:on1 this of arrival at a n1ore cle-arl y articulated higher-level pat-
terning is implied.
lelodically, the passage is eqlu,rocal in the sense that neither tb.e fore-
grot1nd rhirds i1or the hlgl1er-level linear pattern in1ply an unambiguous
S}''1ltactic goal. Like any successio:n .of thirds 'vithi11 a tonal framework, th.e
series of triads in this tnelody is potenti.illy endless. It is .tepe.ated (in a
metric context) begi11ning '"' ith the Cj in n1easure 15 and might have con-
tin.ued .U1 this established wa;r after the C#- A-Fj in 111casures i.6 an
d 27.
On the lu.gher-level, the it11plied fourth-species. counterpoint is also ambigu-
ous. Not onJy is the connection between substantive tone, dissonance, and
resolucion veiled by the intervening thir(ls,
but the metric placeme11t of
1& Compare: with Exan1ple 69 this is 11ot the case.
Material corn dirc1tos autorais
dissor1ance and resolutio11 l"eeps sl1ifti11g. here
is implied- at: least for anotl1er 011e a11d a l1alf n1easures at '\\ihicl1 poi11t a
cade11ce to the totlic \vottld he quite strongly im11lied ..
Becat1se botl1 th.e foregroltncl and higl1er-level nlelodic patter1li11gs, as
well as the rhythn1ic-111etric organization, itI1pl}r co11tinl1ation, a decisi\re
and u11equi\ ocai re,rer'!>'a! of -cl1e 011-goir1g n1otion is reqltired if tl1e pl1rase is
to :reach stability ai1d closure. The reversal .is .t11ade clear b)r a nurnber of
cl1a11ges in t he musical organiz:ation. T'he 1110St import ai1t of these is t'he et'1d.
of tl1e tri.'ldic 111ocio'!'1. \tVhe11 the foregtot1nd becon1es conju11ct in 1neas.ure
2 7, tl1e t'\:\' O strands of the melody are connected b}r a scale a11d converge
to the E in meastue i S. Second, tl'1e ar11higuity of tl1e rh}
tl1n1ic structure is
resolved i11 i11east1res 28 m1d l9i \Vhere the fo.t"eground dac.'tyls beco1ne part
of a higher-level arlapest group. Fir1ally, tl1e .entrar1ce of the violin and piano
accotnpani111e11t in 1neasttre 2 7 not only defi11es the harn1011}r, but clarifies the
rhythmic relatior1sl1ip bet\:\,ee11 tl1e })recedi11g rneasl1res a:11d the cader1tial ones.
Tt1e domitla11t-seve11th cl1ord ft111ct:ions as an i1pbeat to the tViro-n1easure
group. arid partly through this the anacr,ustic ftr11ction of the earlier r11easures
is n1:-l.(i e explicit.
The reversal is en1pl1asized or signaled-by the trill. o:n the Djt as welt
as by the cha1lge ir1 tenure and the begin11ing of rhe accom.panin1enr in tl1e
violu1 and pia:r10. The t1lcimate cl0S1.1re of the plmse is a..c;sured botl1 by tl1e
etid-acce11ted rhyth:nuc group a11d by tf1e srro11g explicit 11.armonic pro-
gression to the dorninant. the is a sacisfac,cory goal because
it has bee11 in1plied by cl1e precedil1g gap of a tl1ird, E- G#l and is delayed
and e1npl1asized by a11
A contint1otts triadic scruc..'tt1re t1eed 1101:, however, be patently tmiform
and a1nbiguous in process. vVhen l1armonic fur1crions are cl.earl)' defi11ed and
rhycl1nuc-melodic orgar1izari-0n is decisi ely patterned, a st1ccession of fore-
ground thirds may lJe rl1e l1asis for a scroiig and unequi,
ocal n1eiodic struc-
ture. This is true of tl-te r11elody \\' l1icl1 begit1s the first rnoven1er1t of Bral1ms
F ourtl1 Syrnpl1ony (Example 91 ) . Not only does the t'h)rthmic structu,re dis-
tit1gt1isl1 ber"ve.en srruct11ral a.nd orna111enral rones. on se,reral levels, bt1t tfiis
di:ffere11tiarion is supported a clear and normative harrnor11c progression
(see cllor d t1nder part B of che example). As i11 f\1101,art's melody, t l1e
foregrot111d successio11 of thirds is tl1e basis for higher-levels of melodic par-
terr1ing. The highest level (tl1e ' <half-11otes" il1 graph 1) .is lir1ear- a scale
moving f rorr1 G in measnre 1 dowi1 to B i11 n1easure i wich a lo'"ter-le,rel
0 fiad the pattern been continued, the tonic, E, \'Yould occurr.e<l on a dow11-
bea.t at the begi1' of measlrre it does in i\ifoznrtjs musi<:.
Material corn dirc1tos autorais
concint1arion to E. The middle-level 111ocion begin.s u a. series of falling
fifths (or rising fourths), G C-Fl-B; bt1t th.e process is altered in 1nea-
sure 4 after \vhich the patter11 consists of rising fif tl1s an.d falling
E- B-D-A- C.
This alteration is the result of a change u1 both the direction a.nd th.e
timing of cl1e underlying triadic organization . . As line A, of Example 91
s11ows., tl1e first four measures are ba:sed upon a descendi11g series of thirds
(x), and the second JX?tt of the n1elody (beginning in measure 5) is based
upon a11 ascendi:rzg series of tllird.s (y). vVhe11 tl1e second part of a n1elod}'
has the san1e basic patter.tung as tl1e first bt1t cl1anges tl1.e directio11 of motion.,
the first part "ivil1 be called the n1odel, tlte second the complement. The
whole p.attern \\rill be referred to as a complementary melody. Such melodies
\Vill be co11sidered in the next section.
The m.anifest m.elodic organization
ho"''ever, is :not essentially comple-
n1enrar)r. For, despite the change in rl1e directio.n .of triadic s11ccession from
falli11g to rising (see li11e A), tl1e n1ain aural patternitlg- the lugh-level con-
j1111ct n1otion -continues in the second part of tl1e melody. F:or tl1e coi1junc.'t
pattern to continue, the rate at \\rhich triads succeed one another must be
n1odified, a11d this e11tails a co11comitant change in tl1e mjddle-level pattern.
Instead of a rate of four di:ff erent pitcl1es in eight quarter-notes as in tl1e
fust part, the octave repecitio11 of tl1c D, and C across the barlines slo\VS
dovn t l1e rate of cluinge so tliat t'here are 0111)
tluee di.ff erent I>itch-elasses
in eight quarter-notes. 011 the high level ffi,e consequence is greater emphasis

x - - s - z
Example 91

Material corn d1ro1tos autorais
on n1otion. 011 the rr1iddle level, though the alternation of rising
and falling ian1bs continues
tl1e i11tervals are changed fron1 fourths and
filths (as in che first part) to fiftl1S and sixths .in tf1e second.
Tt1ot1gl1 tl1e cl1a11ge f ron1 falling to rising triadic n1otion is sig.nilica11tly
rnaslced by the dor1tinant conj t111ct rr1otion, explicit c.01111}len1entary relation-
ship is not entirely abse11t. 'fl1e line, v;1J,icl1 was static {a sustait1ed E,
over '"' l1icl1 tl1e l1arn1011y chru.1ged) it1 tl1e firsr pare of the 1nelody, begins to
mO\' e in n1east1re 5. ft ascer1ds tl1rough the cycl.e of fifths (C-G-Di.-A),
corr1plementing the rr1iddle.-level cycle of falli11g :fiftl:1s of tl1e first fo11r rnea-
sures in the melody. Had the series of fifths i11 tl1e bass con.tinued, t he next
bass 11ote '\vould ha,re been an E, bt1t tlus possibilit}
does not f:ollo\v directly.
Instead. tl1e seqt1ex1cial clis}t1nct fifths are f ollo\ved first by a. chror11aric risirig
line i-11oving from 0$ to A (measures 9-14 ivl1icl1 are onl)r sketcl1ed i11 tl1e
aria!)tsis) and tl\en by an a11t:l1e11tic cadence. IV-0-V
/ \ '-l!-\ T7-I,, at the
enci of which the implied Eis realized.
A11 an.alogot1s delay occ11rs in the ttiadic 'n1otion \Vl1icl1 underlies tl1e
n1e!ody. Just as tl1e first four measures of the n1elo<ly move rhrot1gh a series
of thirds from B to B (see line so 011ce the coi11plen1entary n10r.io11 start-
ing on E is con.ci11uation to cl1e structural stabilityr of tt1e octave-to11ic
is stron.gly suggested .. Bti. t the me!ociic E; like the i1arn1onic 01.1e, is put off:
first by the ea."tension-reperition of the C (measures r 0-1 2, indica.ted b)r the
fern1ata. in the exa1nple), and tl1er1 by bilevel co11jtu1ct nlotion fcJllO\.\' Cd by
straight descen(Jing scales (tneast1res 13- 16, not gi\ren in the example). The
E, in1plied b)r rhe triadic pattern, is reached i 11 rneasure 19, .fol-
l<)'1ving a melodic reversal empl1asiz.ir1g the B of t he rnait1 melodic line ..
The second p<1t't of tl1e inelody raises a:r1 interesting question: is the st1c-
cession of co11jut1ct n1ocic)11s follo\vi11g the prolonged C l1ierarchi-
call)1 e,qt1i\
alent to the l1igh-level linear p'.lttern of the prec:edi11g ni11e m.ea-
sures:. Jn other words, the 'Nl1ole r11e111e b.e an.alyzecl as a linear rnelody
nloving dow11 from the G in n-ieasure t to the E ir1 111e-JSt1re 19? Altl1ough
none of the individt:ial conj\1nct patter11i11gs in mea!>--ures 1 3- 19 are on the
sanie hiera,rcilic level as the preceding pattern, \Vl1ich rnoved in two-111easu:re
unics, several aspects of tl1e :passage st1ggest tl1at these measur-es are a stroc-
turall).r eqt1i,rale11t co11cinuacion of t'he first part of the n1elody (Examt)le 9,1).
a) The prolo11gacio11 of the C delay1'ing tl1e previotISl)' generated process,
lends IlsychologicaJ i111porrance to tl1e linear n1ocion i11 tl1ese measures.
b) The cadenrial n1otion in rneasures 17- 19 beg.iilS with a marked ga,p
Material corn d1roitos autorais
"'hich strongly implies and thereby calls attention to th.e descending

COllJUUCt pattern ..
c) The iambic rhythm and bilevel melodic organizacion of measures 1 3 and
14 rela.te this part of rl1e melody to tl1e opening n1easures, as a kind of
\faried dimin.utio11. The patter1ung is linear and, as indicated in line A
of tl1e ana]ysis, botl1 the primary and secondary stra11ds Sl1ggesr conjt1nct
morion con\
erging to t11e E in 1 9.
d} Both strands-particularly tl1e subsidiary 011e-seem to be continued in
measures 15 and i 6"-tl1ough 'to nonsubstantive E's. The succession of
descending linear motions toward E, li as a cumulati\,.e, summationill
effect-as thot1gh a single desc. -ending line \Vere spread ,over these five
meast1res (arialysis line B) .
e) This suggestion is not as fancifttl as it migl1t at first appear. For had the
conj un.ct motion in t\vo-measure units ( the rate of motion in the first
ni11e measures) been continued in the second l1alf> then, as line D shows,
the pattern \vould llave r,eached the E precisely as it d.oes ii1 the acrual
then1e. Accompanying the t1nderlying triadic patt erning is a funda-
mental and consistent rat e of pattern change.
Thougl1 Brahms' 111elody cr eates a stro11g and persistent sense of linear-
ity, the two-measure units of the second part do not, in facr, m.ove con-


- - .

- -

. . . - .
' -- ' I
. ,..,,,.,


. .

-- .
t "
- r
' ' I
\Y 11 (r/J)







. ' .
.... !::;t' ' .....
' .
.. . ' '
i .
. . . ' : . .
. .._
Material corn d1ro1tos autorais
juncrly .. Rather, as graph C (Example 92) shows, tl1e momenn1111 of the
conju11ct 1r1otion wlucl1 lecl to tl1e prolonged C is cl1ecke(l b)
11 re\, On
both the middle ar1d the high level, a ski1) fron1 C to A not only breaks the
preceding lit1ear pattern., b11c a gap ir11plying cor1junct fill. The fill
follows \Vhen th:e A 01:0,res clu-oma.tically (tl1rough A# in r11easure 16) to
B-tli.e first high-le,,eJ asce11di.l1g 111otion in the t11elod)
011 tl1e high level,
the B tJ1en inoves i 11 disj unct motion dO\l(rn to the tonic. Tl1is arri.culatian of
tl1e melodic process is accom1)anied by a reversal in the 111cJtio11 of the lJass.
1""11e chro1natic li11e l)egt1r1 in measure 9 e11ds ii1 rneasure 14, arid a clarifica-
tio11 of th.e l1a.rmo11ic syntlx is f ollo\.ved by art a1,ichentic cade11ce.
That this melod)1 is })ased 11pon a pattern of con.tinuou.s triads is si1own
u1 tt1e r,ecapirulation. In the restaten:aent of the firsr part of the n1elody,
BraJ1'.l11s elimirl.ates t he bilevel patter1ur1g, as \.ve!l as the ia111hic rhythm
which it '\Vas associated in the exposition. As a result, the underlying triadic
stt1.Icture is t11ade i11anifest in tl1e audible foregrou11d (Exaxnple 93).
' \.. - .... - .. ... .... - ..,. ._ ..... - .. ... ... .. .,., ... ... J
In n1ost of the melodies C'C>t1Sidered t hus far, successive e\.renrs \Vere re-
lated t<> one axlothe.r by: reperitior1--as in the lll1ear 111elody from l\
Divertilnenro (Exan1ple 64), or tl1e triadic rune from Strat1ss' Tilt E1:tlenspie-
gei (Exanriple 85); cor1t.inuati.011-\'\il1etl1er co11junct, as i11 tl1e Scherzo from
String Quartet (Exa111ple 66), {)f disjt1ncr, as ii1 the r11elody frotn
Handel's iVi essial:; (E.\:a111ple 87); and contrast of ft1nction, as in gaf1-fil l melo-
dies like the su'bject of Bacl1's Fugue in D i\1u1or (Example 77) .. In S)r111-
metrical melodies, the relationship l)etwee11 successive e1r,en.ts is .st1ch one
ent 11nrrors the patterning of another. 111 other '\vords, there is a balance
of motion and, counr.er1not:ion. vVhen st1cl1 cou11t ertT'l.otions are primarily
the dual of critical explno:atior1s is clear. For, though rule
reasons were freque11tly en1plo)1ed iI1 the analysis of tl1is melody, con11Jr1o:n-sense
ad hoc reasons "vere ind.ispen.'>able.
Material corn d1re1tos autorais
.melodic, st1ccessi,re C\rents are similar in it1ter,rallic relationships, and often in
rhythm as \veil , b11t opposite in direction of morion. This is true of com-
plementary and axial melodies. Or, the nurroring n1ay be primarily harmonic.
Then the e\.re11ts invo.Ived may i11ove in the sa111e melodic directio1i, but they
have an 11ar1nonic patte.rn of, as a rule, I-V, V-I. at1d a n1elodic
stru.cture r11oves by conjw1ct i11otion :'l'\\' <lY fron1 and back to on.e o.f
the notes of the ton.ic triad. cl1a11ging-11ote melodies are of this type.
Co1't1plernenta:ry 111elodies
Tl1e first ther11e of Braltrns' F'ourth Sympl1ony is based
as we have seen,
upon a symmetrical pattern of two continuous triads n1oving in opposite
directions ove1 a rwo-octa'\e rarJge (Exa1nple 9 I). However clearly setised
this ,complementary relatio:nship n1ay be, i:t is not explicitly presented. The
111ani.fest lnotion is p:redominanrly linear. Bu.t con1plen1entary patterns can
be explicit and manifest. The cle-arest iristances are those li1 vvhich one melod-
ic event is an exa.ct inversion of anotl1er, and in '\vhicl-1 durational relation-
ships are the san1e for both. Anorl1er n1elody by Brah1ns tl1at '\vhic.h begins
tl1e third movement of hls First Symphony- is such an unequivocal instance
(Exan1pie 94).
The analysis shows tl1e main {Ycltterning of the first phrase as being linear
-a coi1jt1nct morion from Eb down to Bb (grapl1 I). Because the C is the most
important in measuxes 2 and 3-as the i\ b :pedal in the second clarinet
and the bassoon, and the cotmterpoint in tl1e horn celli, mal{e clear-
there is also a hll1t of triadic motion. But rl1e metric position and repetition of
cl1e Db, as well as the en1pl1atically oonjt1nct r11otio11 of tl1e foregrou11d and of
t11e bass tine, suggest that the is essentially. linear. Both this linearit}t
and the prototriadic strtlC'ture (Eb-C, \ tonic harmony) srro11gly imply
continuation do"rn to Ab.
The second an exact inversion of t.l1e first employing the same
d11rational t'elacions[1ips, rises co.11junctly frorn C to F (grapl1 2). This pat-
terning, too, i111pJies conrint1acion-ro tl1e upper tot1ic. Hovvever, because the
interval fto111 tl1e first note of the C, ro the potential goal, Ab, is a
sixth (rather than. a fifth as in the first phrase), in1mediate conti11uaci-011 is
i1ecessary if the ends of tl1e t"vo phrases are to correspond; th,a.t is, if the
second is to reach the leadir1g tone l>elow Ab, as the first reached. the super-
tonic a.bov"'e it. Tllis continuation, '-''l1ich takes place ''' hen tl1e next pl1rase be-
gins on G, reiitlorces the implication of motion to t:h.e high Ab.
Material corn d1ro1tos autorais
. (MO
Exa1nple 94
T'hough t l1e stabilit)r of tonic harmony is reached ar the end of the \\rh.ole
tf1erne ( meast1re 19) a11cl a,t the beginning of its re1Jecition in rnea.w:re r 09, the
melodic Ab's., implied by the opening phrases and by their St1bsequent repeti-
tions, are delayecl t111til the beginr1ir1g of the coda (measure 1 54) . Th.ere, as
tl1e example boch lines 1no,1e li11e.-irl)' tl1rough octave transfers to their
respective goals. Yet eve11 11ere, tlle rhythmic place111ent of tl1e t1pper Ab
ke,eps ir; fro111 flmctio11ing as a srrt1ctural tone. Only in. the final cad.ence, as
a st1stained G moves up to the tonic, is there closure and con-
grt1ent arri\val at i1nplied goals.
Tt1e n1elody wl1ich begins the exposition se.cti()n of the first n1oveme11t
.of i\do.zart's t'Linz'' Syt11phonyr (K.4i 5) consists of cor11plemencary phrases
which a1e linear on tf1e lo,:\1est level and triadic on the next (Ex.a111ple 9S).
Despite its see1ni11g simplicitjr t it is so corr1plex tl1at to do it justice \\rould
require a disci1ssion of the \Vl'lole rnoven1ent of v\1hich it forms a })art. ' ;v'hat
follo'\vs must, there:fore, be regarded as illustrati11g a type of organization,
rather tluu1 as an aclequate analysis.
The melody begins vvith a foregrou11d pattern of conju11ct "'/hole-11oces
{moti"Te x) . Because tonic ham1ony persists rhrot1ghot1t the first four mea-
sures, 11owever
the E and G u.nderstood as structural, 'vrule the F func-
tions as a The main patterniitg is t herefore triadic {graph r ) -
in1plying continua.tion to than lit1ear. But the C \Vhich f ol}o\VS in
meast1re 2 2 is not a s-Atisfactor}' realizatio11 of the irnplied triadic motion, for
it is n-0t on a hierarchic le\rel equivalent to tllat of tl1e lengt.hs
wluch the patterniI1g. Because the melod.ic prominence o.f the C
is not matched by its sttucturaJ imporra.11ce, it is a potential strtlcttiral to,oe
(grapl1 3) \;vhicl1 stre1Jgthens t he in1plication of a structural Ca
Tl1e C in measure 24. '\vhich occurs in the rigl1t register a11cl at the rigl1r
point in time, is a satisfactory realizacion of the implied triadic patterning.
Material corn d1roitos autorais
Ne,rertheless, it is only a temporary goal. For, thougl1 the triadic patterning
is confirmed an.d thereby reinforced, the C is not srable, either harmonically
or rhychimcally .. Consequently, tria.dic continuation to
and. co1npletion ont
the E an octave abov:e the first note of the tune is a strong possibility. At the
same time
rhe C ft1nctions .as tl1e beginou1g of the second pl1rase.
The descendit1g, co11junct, and \vhole-note n1otion (r) '''ith the
t1ew p.hrase begins is a C"<>11formant in\rersio11 of the opening pattern (x), and.
as a
. the complementary rela.cionship bet'\veen the phrases is clearly
audible. The bass, moving in parallel tenths the melod}r, strengthens the
impression of foreground linearity. The harmonic progression
- V !
/ IV- IV
establishes the C a11d A as stable, structural tones and creates the comple-
mentary triadic pac:rerning ( 1a) 'vhicl1 implies cunr.inuacion to F, and
perhaps beyond. This possible patter1ur1g is t1ot, llowever, realized im-
LJ d h (( d''. b l . 'bili . h l
ei1ecte . -or per aps an:racte y a terr1at1ve posSl . nes- t e me -
ody cha.oges direction, rising conj.unctly fro111 the A in measure 26. The E,
implied 'by the triadic patternu1g of t11e t11odel, is reacl1ed in measiire 27. It
funccions as a r elatively stable goal, 11ot only becat1se of the satisfaction of
octave but because it is preceded by a gap-fill pattern (graph 4)
which articulates closure.
' ..
. . '
' .. - J
E."(ample 95
Material corn d1ro1tos autorais
A desce11dir1g tr:iadic pattert1 follo,:\'S t11e E. Its n"Iotion is both n1ore ex-
plicit (the linear connectio11s o,f the f oregrot111d are l:tnequivocally orna-
mental) and rnore rapid (tl1e structttral tones occ11r l1alf-n1east1re,
rather tl'1an ever)' other nieasure} than tl1at of the 111odel a11d t l1e begit111ir1g c>f
rt1e co1n1,le111e11t. Tl1ese two rn.easures (27 and 28) join n1odel a11d comple-
ment in a single f ro.m E wluch belongs to rhe model, to C
\vfucl1 is comn1on to 111odel and co1npler11el1t, a11d tl1e11 ro A \>vhicl1 belongs
c>itly to tl1e comi'Jlemenr. The F \\
hich fc>llo,vs is the of the tri-
aliic morio11 of the cor11plen1e11t begt1n in n1ea.sure 24 (graph ra) .
The p1obable co11tint1ation of rhe rriaclic p,attern begt1n in tl1easure 24
is to C ir1 the lo\li'er But this C is not reached in th.e a11tecedent period.
Instead, .the motio11 continues t o D, where the appoggia.rura progression
to the senucadence creates tempot'ary cJost1re.
1"'he COTtsequent period (of '"' hich only the firsr me1\sure is give11 in
Ex:imple 95) begins \\
ith an octave transfer to the ttpper . This tra115fer, as
'veil as the octave tnotion of the n1odel phr:lse, is made expl.icit a,ncl, t\S it
were, con1prehe11ded by the ocrave leaps u1 the first of tl1e period.
In the consequent periocl the snucn1ral C wl1icl1 begir1s the cornple-
n1en.t is delaye.d b)r a varie,d repecitior1 of the pattern in 111east1rcs 2 2 at1d 2 3.
This is unpo.rta11t because the reiteratio11 of tl1e pote11tiaL structural tone and
the extension of the pl1rase le11gth rr1ake tl1e C a m.ote emphatic and stable
goal. As a resLilt. continuatio11 to the higl-1 E is 11ot strongly im1>lied.-and
cioes not in fact follo1,v. Instea<l of bei11g deflected, as i11 the at1teceder1t pe-
riod, tl1e tria.dic pattern begun 011 the C co11tii1ues down. to the D i11
40, and perhaps even to the B i11 4 1 .. A re,1ersal of the n1elodic 1110-
tion in r11easure 41 le.ids to the stt1bil.ity and clostrre of :i c+ade11ce on the
tonic, C -a goal implied not o.nly by the triadic n1otion of the con1ple-
n1entary phrase, but by the highest level of tnotio11 (graph 5), a li11ear pro-
gressio11 from the third of tl1e scale, through the second (meastires i.9 and
40), to t11e tonic ( me-,isure 41) .
In the rY1elodies fro111 1\1ozart s ''Ll11z'' Syn1pl1or1y a11d f ram Brahr11s'
First S)rrnphon)rt ti1e co.n1plen1entary relationsl1ips are evident: t1ot or1l)T be-
ca.use dt1ratio11al relationships are esse11tiall;1 the sa1Tie in n1odel a11(i comple-
111ent. t>ut because the inrervallic strticrore of tl1e several hie.rar.ctuc levels is
basically pre.served in tl1e i11versio11 of tl1e pattern. But this 11eed 11ot al v ays
be tl1e case. Fo.r the salce of cotnparison, let tis consider at1orher melody by
Mozart- tl1e 011e ,;\frlucl1 begins i:he Me11uetto of the Strii1g Qua11'.e't ii1 A
Nlajor (l{.464). It, too, is complen1er1tary (E.xan1ple 96) .
On the l1igl1est level-that of t\:vo-1neasure units-the risirig conjunct
Material corn dirc1tos autorais
morion (A--B) of the first part of the phrase is apparently mirrored by the
descending oonjunct morion (E-D) of the second part. Even on a lo,ver
le,1el, the beginnings ru.1d endings of the nvo-measure eve11ts (x and. r) .com-
plement one another. Each of the first rwo e'\
enrs ends on a '\Veale beat a
perf e.ct f 011rth abo,re its 6.rst note, and in the seconci pa11'. each e,1ent closes
on a. vveak beat (but tl1e. third beat rarl1er than the seco11d.), a perfect fourth
below its first oote .. Tl1ere is anocl1er sort of symn1erry as V\' ell. For, if tl1e
pattern is cor1sidered to consist of strllcturall)
equivalent tones, then the
second part of the phrase .is a retrograde o.f the first, and the whole phrase is
synID1ettical around the E: i \ - D- B- E / . E-B-D- ... i\.
Th.ese relational similarities tend to be n1aslced, 'hovvever, by differences
in fo.regrou11d patter11ir1g. Melodically, the motives (x.) of the n1odel create
an ir11pression of triadic rnotion, 1-vl1ile those of tl1e c,0111pleme11t seem pre-
don1inantl y linear. Rl'iythnncally, tl1e differences are even more striking. On
the lo\vest le,rel ( 1), t11e rl1}rthmic grot1ps of the model are unambiguous,
beginning-accented trochees;
tl1e g.roups in th.e co,1nplen1ent are 1nore
dor1btf11l. For the 11armony suggests that tl1e groups are begilu'ring-accented
dactyls, but the re1)eated notes in the first measure of each pattern te'od to
become anacrustict creating 1.atent ( ;w = w " - , ) end-accented groups. On the
second level (z) the contrast bet"''ee:n model and compleme11r is clear. The
rhytl1rri of the tnodel is beginning-accented; tl1at ol the co
mple111ent is end-
accented. On the third level ( 3 )-V{here pitch synunetries are most apparent
- the rhythmic org-anization is ttocllaic in both parts} so that the impression
' = , -.....:
- "" i '

4 .
)ti ' -:". *-' \. _, J \,;--z' -Q
' t t f "
, mJ 'a _;
lrl' -
"- -...... z rod \ 2

Example 96
22 This S}rmmetry is preserved eve11. if the ne.n l.ower level is in.cluded.-i.e., if the
notes given \vithont ste111s in the analysis are counted.
23 For a discussion of the 'basis foi: this atulysis, s:ee l\11eyer, 8'fflOtiot? and lY!.eaning
in Mtaic, p. ro7.
Material corn d1ro1tos autorais
180 F..xl'LAINING l\i!USIC
of con1plementary structure is certaitll)r felt, if not consciousl.j:r recognized.
is anotl1er difference bet,veen this linear, con1ple111entary melody
and tl1:e one fro1n Brahn1s' First S)rn1phony. ln Brahms, melody r.he plirase.s
ir11ply alternative goals: tf'le 111odel n1oves conjunctly tCJV\' ard the lo\i\fer
hile the co111ple111.ent n1oves the Ab a11 octa,re higher. In such cases
-a11d the n1e.lody f.ror.11 tlle ''Linz,. Sy1n1)hOO)' is similar in this respect-
the compleme11tary motions may be divergl!11t i:r1 the sense tl1at they i111ply
no comrnon tnelodic tr1eeting point. I11 the inelody from Nlozart 's String
QuaJtet, on tt1e other hand
model and. complement <.to imply n commo11
meeting tone, the Cl assuming tl1at for the mon1e11t "ve n1ay disregard t11c
fact that the linear motio11s occl1r in differe11t octaves. Such cotnple1ne11taryr
n1elodies ought be Cliled CO'l:l'Verge1z&e types.
The si.nillariry between tl1is converge11ce melody ru.1d one. anal}rL.ecl
earlier-the theme Vl' l1.ich begins the exposition section .of t.l1e .first move-
ment of Beethover1's. Se\1enrh S)r111phon)r (Example 70 )-will not have
caped. the rea.cler. Not: only are cl1e .higl1-level patterns very similar, l).ut even
the keys are the same. The obvious difference is that in M<)Za.rt's inelody
the asce11ding conjunct morion (A- 13) precedes the descending motion
(E-D), while il1 Beethoven's rhen1e tl1e opposite order A-B) pre--
In i\ilozan's Menuetto, as in Beethoven's movement the arri\
al of the
implied is considerably delayeci. No satisfactory, stable C# either
i11 the re1nainder of the first part of che row1ded- binary orn1 or .in the sec;0nd
part- the recapitt1la.tion. Onl)r at rhe begiru1ing of tl1e after tl1e
return of tlle n1elody l1as rege11erated the implicative process, does OCCllf
as a structuraJ tone (Exa111ple 97).

Exarnple 97
Because the n1odel an.d cornpleme11t are pre..ll)ented in different octaves,
thcre is a q11esrion \Vl1ether the C# in n1easure 6 5 is a satisfactory realization
Material corn direitos autorais
of the implications generated b.y rL1e immediatel)r preceding patterning and
by the original presentarion.. Three cc)nsid ..erarions su,ggest that it is sads-
f actory. First, the relationship between tl1e end of the inodel and the b.e-
ginning of the comple1nent irr\rolves a tninsposition to the tipper octave
i..vhicl1 ch.e change of register at measure 65 appropriately
beca.t1se t he recapitulation of the melod)r, beginni11g in measure 55, is an
e liigher tl1an tl1e u1icial t l1e registeY ()f the C# is medial,
linlcing earlier and later staten1ents of the melody, The C# is in the proper
register ir1 relation both to tl1e co1nplen1entary pattern (E-D) of t he initial
statern.e11r Of the melody a11d to the model patter11 (A-B) of tl1e recapirula-
tio11 version. Finall)r, and m<JSt importar1t of all, the diminished-seventh
chord in n1eamires 63 an(l coming as the en<1 of a. relatively unifor1n
seql1ence, is both tinst:able and strongly goal-directed.
Conseq11entl}' ; when
it moves to tonic harn1ony in the follo,\'111g r11easure, the satisf action of
resolution n:1alces registral 111a.rrers seen1 of slight irnporrance; and the ability
of the C#: to function as a stable goal is co11Siderably enhanced.
That tl1e is a .satisfactor)' re..'llizatio11 of tl1e in1plicatious ge11erated.
by the pr:e-0eding statements of the n1elody is also indicated by the '"rajr in
wluci1 cl1e harmon}" is treated. For the dit1tinisl1ed--se\renth chord in1plies not
a r,oot -position triad, bl1t otle i11 the secoo.d i11version4' T he . tonic harmony
whicl1 follo\vs .is not, ho.\\'C'ler, u1 the SL"{--four I11 otl1er words,
Mozarr is careful to arrange the h,armony so that the c, .can function as a
relatively stable, srruct11ral goal before it becomes part of the implied and
n1obile !:1 progressior1, moving through B to tl1e tonic, A.
Disjunct as well as conjunct cornplen1entary patterns may be con-
vergent. The antece.dent-conseque11t n1elod.y ' v-hich begir1s the first move-
ment of Haydn's Scri11g Quartet in Bb i\llajor
Opus 55 No. 3, has trus kind
of organization. T he theme is strocrur,all)' complex, and an adequate analysis
Of its it11plicative processes \\rould entail a discussion of the '\Vl1ole n1o:venle,nt.
Onl}r the imtnediate and essential oon1pleme11taI)' and implicative relations.hips
will be consid.ered 11e:re (Rican1ple 98).
Tl1e antecede11t plirase consists of t\vo pans: the model and its COm-
ple:mei:1c. As t he graphs 1 l) and 2 b sl1ow, botl1 are predominantly triadic, and
in both the direccic>n of motiot1 changes covlard the end of the 11attern. At
this point,. too, both model and complement become linear. T his pa.rallel
Tl1e C in these measu.res is basically part of the co1nplement pattern: coining
f.rom D, it act5 as a lower ueigllbor to the followiag i\t the san1e tit11e:, there is.
a slight that it acts as. a chrom.'ltic passing-torte bet\\
een B and C# in the 1nod.el .
Material corn d1roitos autorais
change l1elps to make the structi1re at1dible and e\r:ide11t.
l r1 addition, as tl'fe
anal)rsis tinder cl1e example sl10\;\ , the rt1ythmic Strti.ccure of the t Vi' O parrs of
t he plrrase is' i.de11tical. A<> a resl1lt, tl1e con1plerne11rary relation-
ship bctweet1 the pirch patterns is }1aten.t a.nd palpable.
Because tl1e root of rl1e triad does 11o t begin tf1e patterning of the n1ociel,
concint1ation ro the stabilit)r of octa\re identity on the t1pper Bb is probable.
Bue instead of mo\1ing directly on to rh.e upper B
, tl1e pattern is deflected
down co E.
As t lie ar:u1lysis it1dicates, tl1e implied Bb is realizecl only at the
end of tl1e cor1seqt1enr }Jlrrase-afcer tile generari11g triadic pattern has bee11
repeated (grapl1 t a'). Tfle triadic of the complen1er1t, st1ggesring
hannony, also in1f1lies Bb (graph zb) . T he tonic follo\VS
-0 Tl1ottgh it is obvious!){ conj 11r1cc tl1an the model, cl1e c.onlJJlenlent is
written so tl1at the disjunct aspects of the first two measrue.s are Cl'l)l)tlasized. rrt1e Ei,
at t11e beginning of the con1plel'nent is strong I y stressed b;1 the large skip, tl1e
nores, and the fcr'te dynarnics. As a r esult., tl1e trochaic grollp in tnellst1re 5 is closed;
t h.e D is understood as coming frO'lll rl1e Eb ratl1er tl1an ilS inoving to the a11d the
irltpression of linear-it}' is tl1e.reby rninimized. l "l1e rhyclln1ic group of tlie nex't rr1ea.'iure
is similarly closed. Not onl;r is tl'le C stressed bjr the rrlll, bur che potential li11ea.r fl.o'l:v
is brok:en by che echappee, D.

Tl1e E is equ.i'i
ocal. On the orie ha11d, the linear n1otion leading to it iin.plies
cor1tinuscion, and, after an occave transfer, a11d conjunct foreground morion. foUo,1ir.
T he chron1acicism Jntent in tllis relationship ( and eA'Plicit i .11 meas1tre 7) has COll-
requer1ces later io the rnoven1ent. On tile otlier h<tr1d, tl1e in1pressio11 tiu1t :E ls tfie
.le1tding tone of a doirnnanr ( V / \ T) suggem that it ' vill \IP to F-as it
does f)to,risionally throl.tgh th.e at tlie begiru1ing of rcneasure 5. Tltis possibil-
ity, c:oo, pla)' S a part it1 ru.bsequent ever1cs.
Material corn d1re1tos autorais
as the consequent phrase begins, but in tl1e

register. Tl1e realizatior1

is only provisional. A satisfactory realizatio11 is delayed i1nril the e11d of the
co11seque11t in v;rluch the version of th.e con1.plen1ent also implies tl1e
conic. For, tiw11gh their order is cl1a:t1ged :1rJd they con1e 011 \reak he.:itSi the
tones of the con1plen1e11t are nonetheless present and emphasized in measures
1 3- 1 5- t\VO .of the tones, C and Eb
are resolutions of seconda.ry domio.antst
and tlle A resolves the ,dissonance of a progression (graph 2a.'), Thus the
implications of botl1 111odel at1d complen1er1t converge i11, and. are realized
by, the Bb whicl1 closes rl1e 111elody in measure 16.
Axial 1ne/.odies
Axial melodies, as the name i11dicates, consist .of a main or axis-cone
embellished by neighbor-notes and belo\v,.
They do not, as a rule,
occlir on high structural le\rels. Like compleinentary melodies,. they 11ave two
parts: a, model a11d its inversion or

.Both the model aJ.1d the mirror

n1ove from the axis.-tone (A) to the neighbor-note (N) and back:
?'a:A A
n1odel 111.:irror
1.""hough the foregrot111d patterning of tl"1e axis-tone and irs ncigl1bors n1ay
suggest probable concii1uatio1is, tl1e relationship between model ar1cl 1nirror
is, as rl1e diagran1 sho\.VS, pri1narily fornial- that of reperition by in\
rather than processive.
The artiet1lation of the parts of rui axial melody is
partly th:e result of rl1e. lovv-level closure vvhicl1 t'.lkes place {IS eacl1 neighbor-
11ote renuns to the stabilicy of tl1e axis.
On the highest level, ho,vever, closure is we.ak and implication absent.
In1plicatio11 is abse11c becal1se, since melodies are essentially prolonga-
tions of a single tone, no high-level processive relationships. are possible.
Closure is vvealc bec-ause, wicl1out itll})licative processes, tl1ere are no goals
to a.ct as of stabilit)r and con1pletion. 111 sh<>rt, continuati.011 is likely,
because of the lack of established Points of closure rather than because of the
ge11eration of specific it11plicacive relario11ships. Axial melodies., the11, are
ar Much more migl1t be said. about this rnelody. But th.e continuity of the general
discussion must take precedence over detailed a:naly!>is.
as J anl inde,lJc:ed to Professor Eugier1e Nar1tlOttr botl1 for calluig Ill)r attention to
tl1is kind o.f or,ganizario11 a11d for the t:e1i11 ''axial..,,
0 See Chap:cer IV, pp. 93-94
Material corn d1ro1tos autorais
r,elati\rel)' st:able eve11 static- patter11ingsl yet, a:t the s:ame titne, n1ore or
less open-e11ded.
Tl1e firSt t.he1ne of last m<)ve1nent of D'rofak's ''Ne':v w orld>' Svm-
phony is an axia.l melod} (Exan1ple 99). The essential elemei1ts of the pat-
ter11 are established i1,i tl\e first fo.u_r As graph 1 r11alces clear, the
tonic, E, is e11lbellished by an 11ppe:r F#, a11d a lo\ver i1eigl1bor, D.
Each of these is in ttirn en1bellished b)" a neighbor-tor1e on a lov;rer hier-
archic level: tl1e F j by and tl1e D b)r B. The melody is repeated in 111ea-
sures r4-17, bt1t the penultir1mte measwe is varied, e1nphasizing closure.
The wl1ole eight-111easure I)eriod is ti1er1 rest.'lted .. A single two-me.1sure 1110-
rive has thus becon1e the basis for a dot1ble period of sixtee11 rr1easures. And
there is n1ore to come. But before guing on, let us consider tl1e in11)licative
relatiorisLups '\vitl1in this period.
rf}1e n1elody is tlOt rnarlcedly Ot only d(JCS each . plrrase
begin a11d end on a tOI.L:"llly sta.ble t<>nic\ bu.t, as the harn1on}.r ir1 the other
instrun1e11tS of cl1e orchestra (see score) rnake:S clear, tl1e Il() tes i11 betvlee11
are essentially ornan1ental. This is obviot1s in the firsr two r11easures for tl1e
FJ and G are botl'1 noncl1ord tones, a11d it is also clear in mea..rrore 1 :z, Be-
cat1se they are understood as mirroring, a11d functio11allj" analogical to, the
so Unequivocal incStances of axial me1o<lies do not, as far as I been able to
O'Ccur in the .repe:rto11r of tonal tTius.ic before the middle of the nineteenth
century. vVitho\1t pretending to account for dlis in an adec1l1ntc the follo .. ving
observations seem perrh1ent.
During th.e rm1eteen:th centuI)1; t lle size and of the concert au.dier1ce
C)nsi,ierably. In.<:li idual concens tended to have larger, bllt rather n1or.e
hete.roger1eoust al1dienc<-.s tl1an: (fid those of the eighree11r.t1 ce:11tl1r'Y. Tl1is c}mnge, com-
plemen.ted by the literary preclile.ctio1:i,s
pl'lilosophical inclina.tions, artd aesthetic taste
of l)om co,nposers and their audiences. led to a growth in scale and length of p\tbliett
compositions. ( C-0mposers conci11ued to \Vl'itc sl1orcer, r110re ir1timace \vork:s .for
const1n1prion.'') The larger instrumental fom1s ( as sonam-forn1 n1ovements)
tei1decl to beco111c, if r1ot n1ore cottlplex, qltite a bit longer. Probal:>Ly, as the size and
hete.rogeneit)' of tl1e audie11ce increased, the general level of musical traini11g and
sophlstica.tion declined. Greater length coupled \Vith less 1nusical experience created
,the need, mentioned i11 CJ1apter III, for Striking a.r1d e'3.sily ren1embered th.en1es.
A..nal rnelodies have t.he of co111bining lengt:h and memorabi:lir.y. Be
cause they are not decisive\y closed., tl1ey are easily repeatetl-eitl1er at the same or
at a. new pitcJ1 level. In rhis \Vay four of n1usic ca:n be exten_ded to eigllt,
sixteen., or. even 111ore. Yet the amount of n1aterial- t he nu.01ber of <li.tfer.eo.t
sl1ips-to be perceived and re1r1embered is relatively small. Not only is tl1e relaciorlship
bet'\.voon st.atements of tl1e n1elody .reda11dant
btir so are tl1e relationships wit::lll[l state-
tl1ents. For on a high le,
e.l, tl1c pattern is reducible to a single tone, and on the lo"ver
one, th.e second part of the 111elod)
is understood as <ill :inverted repetition o:f t:l1e first

Material corn dirc1tos autorais
. '


. ..
, H i
, .. .._
.! .t
lI 'f

r+-+tl. i .
. ..



. .. '



I c
I 1 Olf
I .
: (:'cm

. 18
I .
J .



' .
I ' .


- ....


Mater al cor"' d1c tos autora s
aL1d G, '\.Ve take the D a11d B to be or11arner1tal. J\
loreo\rer, though the
D arid B are chord tones, the harrn()ny \vh.icl1 accompanies tl1erl1 is itself an
e111belLishiI1g cl1ord ' wl1icl1 immediately returns (at the begi1111ing of i11easttre
1 3) to tl1e tonic ha.rmon}' and tl1e sr)nori ry v.
hich preceded it. Evert ii1 r11.ea-
Stire ' vhere more patent i111:plications ar e ge11er,1ted
the se11Se of tnotion
to diff erenc goals .ist so to spealc, by tl1e cadential progression.
The predornir1ant etl1os is one of assertive a11d assured stability. A.nd
the unpression that cha11ge 'tvill follo\\ t he seco11d state1ner1t o,f tl1e period
is as much a result of tl1e feel i11g tha.t ftirther repetitio11 '\i\'Ould be supereroga-
tory as of rl1e strengtl1 of specifi c implicati,,e processes generated b)r tl1e
fJilttei1ling itself.
Yet specific relationshi ps ar e J1ot e11tirel)r absent. As graph
i11dicates, the linear of tl1e f oregrot1nd i t1 111easr1.res lo and r 4 im-
plies continua.rion:-though not \.'\
it l1 sucl1 urgency t hat the varied re.petition
of t he parten1 a11d the restat emet1t of tl1e period ere-ate a11y real tensio1t.
On! y after bei11g restated arid rei11forc.ed in 1neast1res 2 6 at1d 34 is t11is im-
plicative relationsllip .realized, ' t1e11 t11e meloi::l)r moves cc)njl111ctJy frorr\ E
up ro B in 111east1res 3 B and 39.
The patter11ing of 111east1re r 6 is inore patent ly 11nplicative. En1phasized
b)' the 11ovelt}' of disj t1nct lnotion artd the greater spee.d of the triplet .figure,
both the foregrot1nd triadic pat tern and t11e second-level re-
latio11Sl1ip imply to che 11igl1 E (gra11h 3). T11ere is, in addiri.on,
as grapl1 4 indicarest son1e sense t hat the pot e11cial of tl1.e B-which is pro111-
inenr i 11 itself and l1y the precedit1S' disjur1ct-triplet rnotion- .has 11or
bee11 ft1ll}1 acttlitlli.ed. It is acrualize<l after tl1e repetition of tl1e first t'>eriod,
wl\en it beco1nes t he axis-tone i11 a sligl1tl y varied version of the n1elo<ly.
Arid tl1is creittes a still 1'1igher ie,rel of n1orior1t a m-0cion of
t1nicts, in .,,,hich tl1e pentachor<lai relationship beNreen t be a.-<ls-to11es E (in
m.easures I 0- 1 7, and tl1eir repetition) and B (in measures i 6- 3 3) imply con ..
to the l1igh E (gra1)h 6) .
Tl1e state111enr of tl1e axis 111elody ot1 cf1e l1igh E is tf1e
ti on of the passage, for a nt1mber of reasot1S. The i1nplicatior1s of tl\e high-
level, f)eriod n1otion (gtfl ()tl 6) of tl1e n1iddle-.level and lO'\V-
level triadic patce:rr1s (grapl1 3), at1d eve11 of tl1e .foreground linear 1no.tion of
n1easure 26 (graph 1) are all realized \vl1en tl1e octave is rea.ched. Botl1 the
goal of preceding n1otion and ctS a point of octa\re den11itio:n, tl1e E is par ticu-
larly .stable. The serlS:e of arrivttl is l1eigl1te11ed ar1d sigr1aled by a ci1ange in
so11ority and texnue. Violir1s a11cl vvo-0dvv.i11ds play the melody in unlson,
Material corn d1re1tos autorais
while the lo't:ver strings enrich the texture with figuration .. The role of the
brass instruments is initially ha.rrnonic and rl1ytlm1ic .. But just whe11 th.e linear
co11cin11ation in1plied in tl1e first period is realized- \vl1en the melody t110,res
bejrond G to A a11d B (111eas\1re 39, see graph 2 )-the first hor11 ru1d trum-
pet, accompanied b)' the otl1er brass itlStifuments, joi11 in playing the melody,
a.nd in so doing, they ernphasize the continuation implied at th.e beginrling of
tl1e passage. The high B can act as a stable goal not (Jnly becat1se it is: the
fifth of the scale and _parr of a closed trocl1aic rl1)r-tl1111; but because, as the
note an above cl1e upbeat which begii1s this

it defines tlle litruts of melodic 1norio11.
To baJa11ce the greater motion of this
version of the n1elody a11d t f> emphasize t.he closure of tl1e \vhole section,
tl1e cadenrnil pattern '"'hicl1 follows tl1e B is extended for three me.'J.SU!es.
But the E to \.Vhich it rr)oves, tl1ough I1ar111on.ized correctlj', is in the '\vrong
register. Not until the coda of tl1e 111oveme11t is a C'flde11tially sacisfactor}r E
presented in tl1e right register.
One final poir1t. Despite the syr11111etry o.f tl1e patterni11g
in '\1Vl1ich n10-
rion above the axis is ba!a11ced by motion beloV\r it, \vhatever implications
there are seem to be gener11ted by the p;atterning rather tl1m1
belotv, the axis tones. Three reasons help ro explain tllis. First, be.cause the
axis-tone is the tonic
the neighbor-note below is understood as part of a
cadential patten1. E'ven thougl1 tr1e D in 1neasure 11 is a \vhole--step, rather
than a half-step, .below the tonic; its leading-tone funccion ( emphasized and
strengthened by its O\Vl1 motlo11 to the do1ninant, B) is clear and unequivocal.
Second., because the n1odel is neitl1er strongl}
sllaped nor clearly closed
111irror is as a dependen,t reflecrion-co1npleting a.nd halan.cing
the pattern-rather than as e11city in its O\Yn right. And t:hlrd; the psy-
chology of patter11 perception may lJe such, generally speakit1g, motion
abo\re a }Joit1t of refcre11ce--for i11st.111ce, atl gxis-tone-see1n,s more im-
portant, more Iltarked for consciousr1ess, than n1ocion belo"'r it. The sig-
nifican.ce of these ad J1oe reaso11S will become apparent in the analysis
The main melody of the seconc.i l<e}
a1eti (Ab major) of tli.e first n1ove-
1nent of F ranclc
s Quintet in F Mit1or for and Strings is also an axial
1nelody (Example 1 oo). It co11sisrs of a pair of sli11ila.r eight-111easure periods,
eacr1 tna>de up of fot1r-measwe pllrases. These are related by axial sym-
metry. 111 the m.odel, the fifth of tl1e scale, Eb is en1belli.sl1ed by .a succession of
upper neighbors-a half-step, F b; a "l'l1ole-step, Fq; and a di1niniSl1ed
31 In clUs connection, see 'Example 84.
Material corn d1roitos autorais
fotrrtl1, Abb (see grapl1 i ). As the ru1alysis below tl1e exa111ple sho,vs, the
r t1yrh111ic group is a.n anapest ( ,v-....,,_-, ) . Fron1 a formal pou1t of vie'"',
the pattern is a bar-for111 (n1-m.'-n). In t he mirror phrase, the E is em-
bellished b)r lower neighbors a.t tl1e sa1r1e i11ter,ra!lic dist a11ces. It, too, is an
aru1-i1est/ bar-forr11 stn1cture. The second i)e.riod { 1neasure.s i 3 2-1 3 9) is like
the first, except tl1at tl1e tliird i1eighbor-note (Cb) in tl1e model phrase is
11oticeably furtl1er a\.va;r fron1 rl1e axis-tone-a minor sixtl1, rat.her tl1an a
diminished fourtl1---..tl1an \ Vas previously tl1e case (in m.easurc 1 z6) . Both
beca11se it is marlredly separated frt)1T1 the a.xis-to1J.e, and because the li1rge
skip stresses it (<l fact reflected in Franck's ciyna111ic rnarkings); t:l1e Cb, though
structural ly 01nan1enta.l, is rr1elodicall)l pron1ine11t.
Tl1is pron1inence calls attention. to the chief basis for i.r11plication in che
theme as a vvhole: t he neighbor-notes are all potc11rial StrlICtlual tones. ln
bo'tl1 model and nlirror tl1e first nvo 11eighbor-11otes (d1e Fb an{i Fq in tl1e
model, a.r1d tl1e D a11d Db in tl1e rnirror) are stressed weal{ beats_, emphasized
by their relati\re duration and b)r the anticipatio11 I>recedes ther11.
J\Jlelocli.cally, t he)r are pro111iner1t bec:at1se they e,-ome at t he encl of a. r l1)
pattern. The melodic salience of tl1e tl1ird neigl1bor-notes (the Abb in tl1e
xnodel, and the Cb i.11 the rrrirror ) is even. inore parent. For tl1ey rnore
noticeably sep,irated. fron1 tl1e a.nd, t11.ey approached
by disjunct motioni receive additional stress. But "vhat ma.lees the neighbor-
nores the co11tinuing focus of .atu-al actention is since the structural,
atlt;-tone does 110 .n1ore than l)ersisr, they create tl1e ortl )' melodic n1ot:ion, and
that rnoti<)n takes the for1n of a strongly shaped a11d r111rtl1mically regular
li11ear pattern. Yet, though the patterning is pronounced, \Ve are aurare that
it is niade of orna.n1entat tones. And this benvee11 audible prom-
ine11ce and syntactic f u.nction i1nplies contit1uation to an actual Str11ctural
At this point, two diff ere11ces bet\.\1een this rr1e:lod)' a,nd cl1e one from
''Ne"v S)' mt1hon)' should be noted. In this melod.y the
a."tis-tone is not tl1e tonic, but tlie less sta.ble fi.frh -of the sc..'ale. Conseqt1ently,
motion to the tonic is implied b)r tl1e tonal orgartizarion of the pattern. Sec-
ondly, in Francks n1elody, both 1nodel and :rtutror are rh)rtlunically closed
and clearly structured from a forrl1al poil1t of view. As a result, though t he
mirror is related to the 111odeI b)' m\
ersion, it is relaci,,ely autonomous. For
both thes.e reasons, mocio11 belo\cv the axis, as well as motio11 abo,re it, shot1ld
be im plica:tive.
Material corn d1re1tos autorais
.._ <iillil!i; .... ...... -
- -
.. - - -:i.-.. '
-.. --
Ex.'tmple I 00
thougl1 rhe descending pattern of neigl1bor-notes 1nay be irn-
plicative. it is not forcefully so. Probabl)' this is because mocio11 belo'v .an axis
to11c is aJ.\\
ays less pronot1nced tltai-1 11o tio11 above it. Possibly, t oo, beca11se
descending patterns ter1d co 11ave less urgenc;r-to seem less goal-directed-
than asce.nding c)nes, Nevertheless, ihe C in 139, and the Cb which
in 1ne1\Sure i40, can be considered actualizations of tl1e implications
generated hy the preceding patter:n of or11amental (graph 2b)
a nun1ber of .reasons. First, and n1ost iinportant, the linear patterning of
potential to.nes is so patent cJ1a:t a1n1<>St an)-r strucrural tone -vvhi-ch firs into
tl'te conj unct patterning '''ill be interi)reted as an acu1alization,. As the first
sttt1ctural tone belov-i the uis-line \Vtnct1 l1as n1ore tl1ru1 an auxiliary function,
the C fulfills this conditio11. A.nd even thougl1 it enters bel"'' the whole-note
'\vhich ends tl1e repetition of the rrurror, the c is pronlinetlt beC'3.U.S:C it
begins both a new voice and a oe'v patter11mg---{l dialogue, throt1gh inver-
sion, between the first and seco11d \riolin (supported by t he cello and \>i.ola
respectively). Second, tl1e foreground n1ocion Of tl1e viola in measttre 141,
'"' l1ich co:r:1denses and sum..r11a.rizes the patt ern of ornamental tones, le{lds to a
structural Cb. And finall)r, the higher-level motio11 from strucrural C to
structural Cb can be understood as part of the descendirig lli1ear pattern.
If a succession of potential tooes creates a pattern implying a more or le$
speci:fic continuatio:n, then arri.val at: a stroctural tone congrue11t wirt1 tllilt pattern
wiJJ constitute a sa.tisfacto.t)r acnroliz.atio11 of all the preceding tones. Se-.e p. 197.
Material corn d1roitos autorais
After a varied repeticio11 of the dic'llogue ben,ree11 first and second ' 'iolin,
the linear patterning .is a.ppare11tly co11cinued as the pia110 n1oves cor1ju11ctly
dow11 to the Ab ( measuxes 14 3-1 45) . Bt1t the c-onnection is tenuot1s at best.
For a decisive change U.1 so11oriry, texn1re, a11d even melodic strucntre aa
111ark tl1is as the begirulirtg of a ne"v section. In shorr, thortgh the descending
on1an1ental co11es of tl1e mirror are a.cn1alized b'' a strucrural tone, t he
plicative reiationsllips are 11ot f orcefult ru1d the arrival at the goal is not
j't1st the re,rerse is the case \Vitl1 the ascer1ding of potential struc-
ru1al tones iI1 the inodel (graph 1) .. But acrua]w1rion. is dela)' ed. A11(l tl1ough
lu1ear n1ocion to structural does occur in the clevelopme11t se{:cio11 at
t11easurt-'-S 2 34 and z 38, the most sustained az1d i111pressive instance is that
which occurs at irvl1at I take to 'be cf1e begin11i11g of the coda. Tl1ere, as
. - .
- --
Example 101 sl10'\\rs, the final note of rt1e pattern of potential rones be-
comes the strucn1ral for the next statemer1t of the model (g:raphs
i and z). This relationship is ntade expiicit at tl1e end of eaci1 pattern, where
the ()receding axis-tone moves by a sltt.rred skip to an anticipation of the next
one-for in lneasure 387. As t11e seqt1e11ce contin1.1es, a higher-level
pattern of disjunct 111otion b)r n1ajor thirds, C-E-G#, is .. establisl1ed, and
cootinuation is in1plied (grapl1 .1 ) . Consequentl)r, eve11 though the third
staten1ent of the n1odel is brol<e11 off 111easur.e 393. we recogi1ize tl1ac
t he in1plicacions of ti1e patternit1g 11a,
e bee11 realized '\>vhe11 the beginning
of tl1e pattern is presented 011 tl1e high C iI1 1neasure 400.
The stat;ility of tl1e l1igh C is de}'endei1t t1por1 ,che interr'uption of the
patterning ' vhlch u11plied it. Because it is completely trr1iforn1, tl1e 111otion
by rnajor thirds establisl1es 110 po:int of sy11tactic closure and stability. It is
31J Tlwugh not in rhythn1, or even in becai.1se the pia110 part is iu the
san1e regisrer as d1e \riola at1d cello.
Material corn d1roitos autorais
circular and might continue il1defi11itely. Consequently
differentiation is
11eeded if the l1igh C is to functio11 as a go11l and point of completion. The
interr11prion creates. tension tluough delay a11d digression., so that when the
C is presented, it is understood ro be a point of realization and
A,n(l it is also for this reason that the re.-;tateme11t of the neighbor-note figure
is understood as a .rerurn and a closure, r11ther than as a continuation of the
unif orn1 patterning.
Cl1anging-note 711,elodies
,Changing-nQte melodies are st1per.ficia11)r similar to axial ones. Like axial
ones, rhey begin and e11d on tl1e sanle pirch\ w.hich is '<stlfrounded'' b)r upper
an.d lo1cver .neighbor-notes. But syntacticall}r they are ' very .different. Instead
of being foregrol1nd, t1onchord tonesi the upper al1d lower neighbors are
relatively high-Je\rel, .strl1cn1ra.1 tones. Conseq
llently, char:1ging-note melodies
are not prolongations ,of a single tone, but involve n1orion a,,;ra.y from a11d
oock to stab.iliry. 1"'h,us rhey COtnbine higf1-level, a11d at times fo.regr()U!td,
symmetry with implicative, goal-directed motion. For this reason, the)r are
generally closed in. co11trast to axial melodies. <l4
The subject of Ba:ch,s F1ig11e in l\!1inor from Book I of th.e \ell-
Ten1pered Clavier is a clear and. unadorned cha11ging-11ote 111elody (Example
102) . Though the S)1mmetl}r is one ,of paraU.elism ratl1er tl1an inversion, a
motion fron1 to11ic. tO le:ading=tOne is balancecl by Q:ne ftOlll Stlpertonic to
tonic. Both neigl1b.or-notes are structural tones. Tl:te harn1ony suggested,
though not always the harrnon)r presented, is I-V: V:.__I. Both the explicit
E.-xam ple r 02
34 Althougl1 axial are rebtivel}' comrr1or1 in d1e music of the nineteenth
century, cha11ging-note melodics not. J\1,aybe, because tlie)' are closed, they
not co111patible with the flo\ving lyrictSI11 favored at the time. 011 the other
ch..'lnging-note melodies are freq.u.e11t in the music of tl1e cigl1teenih and early nine.-
teCllth. cer1ruries. This is not, l sust1cctt because of a desire for s;rn1rnetrical,e,
but because the dran1a of tension a.nd of delay and v:ariarior1, ca11 best be
realized '.>Vhen implications are clear artd strong.
Material corn d1roitos autorais
111elodic p,attern and rhe latent ha:rn1onic progression in1ply recu,r11 to tl1e
ton.ic. As indicated in the grapl1, the se11se of 'gt}al-directed 111otion, is strength-
ened by tl1e gap from Bjf to E, wluch impl.ies co11j u11ct fill moving to the
Tl1e first nloverr1er1t of Mozart's Oboe Quartet in F J\tiajor {K.307) be-
gins with a sin1ple, u11pretentio11s melody ' vlucl1 ca11 be co1nprehended and
remembered v;rithot1t difficulty. Its to11a] n1ateria!s are con1monplace, its form
is regrtlart and its processes archetypal arid fa1niliar. Yet behi11d this a.lmost
folklike facade lie relacionsllips \vl1icl1 are botl1 intricate ai1d subtle. It is
not the orga,niza,tion of at'l)' particular level of patte:rnin.g thac is complex,
f10'\i\rever, b11t the relationships among tl1e several levels (Example l 03) .
The openi11g eigtrt: 111eastires-=-rl1e :rnelody prope.r-consisr of t\VO phrases:
a 1r1odel a11d its parallel (graph :c and The .first phrase begin.s 011 F
and closes on G; the second, \Vhich js sequentially related., begins on E
ancl closes on F. On tl1is level the t u11e is a Sj1Tnn1etrical cha11ging-nore pat-
tern. Indeed, it is an exact inversion (or a retrograde) of Bach's fugue Sltb-
ject (Exan1ple 102) . Irs h:armo1ric, like that o-f Bach's fl:tgt'le subject
thou.gl1 different in detail, js. botl'1 t1na111big11ous a11d implicati,re: 1- 11- \ T-I ..
TJ1e n1elody is Ilatentl)r a11 itlStan.ce of a c11anging-11ote organization,.
Each phrase of th.e larger cl1angin.g-nore organizar.i.011 is in its turn n1ade
tip of nvo parts: a i11o(lel and its complen1et1t. In the first phrase, the model
consists -of a rising third from F to A, ru1d tl1e comple111e11t 1everses tl1is mo-
tion; falling a tllird fro111 Eb to G 2). In th,e second phrise, the model from E up to and the corr1plem,ent descends a third- from A t o F.
Ho\vever, bec.a,use it be underst ood as a cor1tinuatio11 of the descending
triadic ,pattern of che first phrase
t he E it1 n1easure 5 belongs to both phrases
of rhe melody-functioning tis rhe end of the prececling con1ple111er1tary
plrrase (Bb-G- E) a11d as tt1e begit11u11g of the n1odel part of t t1c second
pllrase. Moreo,ver, t l1ot1gh ti1c}r are on a }o\\ l1ierarchic level, tl1e C in measure
.2 and the Bb in 6 so easily fit into schen1e that they too form
part of the patterning- making tl1e complernentary relationships fully triadic
(graph 2a).
If the E belon,gs to the patterr1ing of the first as well as the seco11d phrase.
then, thot1gh the high-level changing-note relationship and the partial com-
plen1enrary orgariizacion {graph 1) are completect in measure 8, the Iar.ger
con11)lementary Strl1cture {graph .2(\ ) is nor. Just the descending third,
a:; Because the E is r1ot a harmor:tic to11e in rela:rior1 to Bf., continued disjunet:
tnocion is not ir1Tplied.
Material corn d1roitos autorais
Bb-G, was 0011tir1t1ed to E, so the descending third, A-F, of the second
pll!'aSe, implies continuation to D. The D is presented in meaSt1re 9 (graph
2b) j and though ir is the resolucior1 of a long appoggia.tura, C#, it is struc-
turally equi,rale11t and temporally parallel to the E in meas11re 5.
This is
anotl1er instance of th.e bifurcation of forn1 and. process. The 1nelody
proper reaches in me:asure 8, but ti1e implicative processes gener
by tl1e larger complementary patterning of the seco11d pl1rase contio11e be-
yorid tl1is point of cadencia.l articulatio11.
It is now appare:nt-tho11gh perhaps largely i11 a still
l1igl1e:r-level melodic process is invol,red: a lir1ear patterning from F to E to D
(graph 3). This linear m.otion also i1nplies co11cin11arion. Thol1gl1 the linear
motion is more in the following ineasures tl1ere is no l1ierarchic
crepa11cy because the seque11tial pattern tnakes clear that tl1e C in measure 1 o
is eq.mvalent to the preceding D. An octave transfer througl1
. . ,.., -
- .

"" -,
- .
.- 1S
Exsn1ple 103
na The pa.rallelism is n1ade more palpable by the conformant relationship bel'\veen
these two points in the melody- that is, because t:he motion from the F at the end of
measure 8 to the C# and D is analogous to the pattcrtung fro:m G( m4) to
E(.n-..5) to F( m.8).
Material corn dirc1tos autorais
the tonic ttiad is follovved by continued conjunct motion through Bb to A.
after a delay of fi,,e rr1easures (during \vr1ich. tl1e ap1)oggiatt1ra pattern
of measures 9 a,nd 10 is repeated a11 oct;ive tl1e rnelody moves, as
thot1g+1 recapin1L1ti11g a11d st1mmarizing tl1e n1otion of n1eastrre 1 1; to a
strong, err1bellished G \vhicl1 moves t<> a cadential F in measi1re ao. Here
tl1e x11e.Iodic ge11erateti by cl1e higl1est le\1el of n1otio11 react1 clo5me.
This melodyr is as clear an exan1ple as 011e could "'risl1 for ()f a srrongly-
shaped J1ierarchic strt1crtlre. Or1 tl1e highest level, t11e n1otion is that of a
complete and relatively regular descending F-major scale (graph 3); on the
ne..n the patterning cor1.sists of a S}1111n1etrical cl1angi11g-r1ote relation-
ship (graph r and ra); and or1 the level of the l1alf-plrrase, the orgilnization
is patet1d1r complen1et1tary (graph 2a and 2 b) . Each of tl1ese strt;1ctur es is
an instar1ce of a well-lcnown, traditional scJ1err1a. Yet their con1binariot1 is
co.mplex and elegant. Tl1e v;1l1ole is said to be strongly-shaped because the
several levels of structure s11pport and rei11force one anotl1er.
What about t11e lo,
;rer levels of organization? The note-to-note fore-
grom1d of tl1e first phrase cor1sists of ascendi1Jg co11jt111ct motiori from
F to D., follo,ved by descending conjt1nct motion back to G. But tl'1e pre-
domin:mt patterning is clearly triadic. The G in meas11re 1 t tl1e Bb ir1 rrie-asure
2, a11d so 011, are passing-tones. This parrerrii11g is begt1l1 a11d e111phasized by
the upbeat slcip of a f oiirth. Nom1ally there wou1d be little qr1estion abc>
tl1e implicative relario11st1ips of tlus sort of patterning. when
preceded byr a11 upbeat in the lower octaver tl1e fifth would te.nd to function
as t he relatively stable upper limit of n1elodic 111ocion (se.e E.xamples 76, 84,,
85 and 98) . ln this case, 110\vever , lineru. arid t1iadic co11ti11uarion to the
octave above the tonic, F, is 11lore pro'bal1le.
Ir is so largely because of rl1e n1elodic and rhythmic position of the D
in 111easure 1. Because tlle pa.rat11eters do not n1ov
e cor1gr11er1cly, t l1e fu11c-
tion of the .D is belo11gi11g partly to prece<iing and partly to fol-
lowing eve11rs.. it grot1ps 1.vith cl1e e\rents wlucl1 follow,
.fo,r it is accompanied by a dorninant chord (V / II) \vl1ich moves
to a G-minor triad in measure 3. l\llelodic:illy it is synta.ctically
For, tbot1gh the sixtl1 .degree of tl1e scale it1 rt1e 111ir1or n1ode clearly i111plies
motion to the fifth, in the major mo(ie conju11ct contint1atio11 Uf) t o the
That tile Bl> in measure 11 and the .A in n1easllJ;e 12 are Strucrurnl tones is clear
fror11 t.l1e harm<>n)r, \Vl1iel1 is sketcJ1ed in below the example.
S$ These rrieasures. are not given in Example 103.
Material corn direitos autorais
tonic is almost equally probable.
Tltough ti1e D can be understood as ,part
of the follo\ving triadic patte:rn (D- B
ir is more part of
the preceding conjunct motion-follo\\rir1g fro1n the C, rather tha11 1noving
toward t h.e next structural tone, Bb. Ten1poral relationships, ho1'\rever, are the
cn1cial pan1n1ete.r. As the analysis under '(ample 104 sl1ows, th.e prevailing
rl1ythn1 Of the fust t\lro rneam1res is that of ai1 eighth-note f ollo,ved, by a
longer n:ote basicc.1lly a dotred quart er-note. this 1)atten1 been con-
tinued, so that the D came as tl1e last eigl1th-11ote of i, tll.en t11e D
would l1ave. been a relarivel}"' inconseqt1e11tial or1utnental tone (an upper
neigl1bor) \-vhich, for reaso11-s of proxitnity, would ha,ve been grouped as
an upbeat vvith the follo\:ving patter11. Because it enters to-0 soon, break-
ing the establishe,d iambic rhythrn, the D is not only emphasized, but con-
nected \vith. the 1pteceding C. As a result an unpression of lit1ear tnotion is,
so to 51)e.ak, left hanging in micl ait-\vitl1out satisfactory co11tinuacion. l\
over, becallSe tl1e D is a '\Veak a.ftetbeat conling frotn t11e C, the C itself is
made mobile. l11sread of bejng tl1e goal of an end-accented ian1b, it is also
tl1e beginning of a: trochaic group. Tl1e resulting mobility raises the possibil ..
ity of triadic cot1tinuation.
It '"'onld be a mistaJ{e to exaggerate tl1e forceful11ess of this irnplica-
cion or to suggest that it is accompanied by a i1oticeable sense of incomplete-
ness. Tl1e stren.gth of the. higher levels of patterning is st1ch that the melody is
felt to be satisfactorily closed in r11easur:e 20. Neverthelcss, the listener is; I
believe, someho;w aware of tl1e possibility of lirJeart at1d perfiaps triadic, con-
cint1ation to the higl1 F. And it seen1s clear that Mozart 'vas too. For thougll
long delayed, the lugh F does occur j11st be.fore t:he final cadence of the
movement- and it is reached by explicit and unequivocal conjntict motio11
from the D (ex.ample 104) .
3D Tltls differenc,e is 'probably a result of prox.i111ity .relationships. In the tni.nor
mode. the sixth is onl)r a semitone a.Wa.-}t from cl1e fifcl1 and. is separated, fro1n the
seventh by a \Vhole step in t he <'melodi,c't 111i11or a.nd by :an angme11ted secon,d in t he
((hru.,11ooicn 111.inor. lo the n:1ajor r110de, ot1 the h.'l.n(t, t l1e sixth is e.quall}t disrnnt
f r<Y1n borh filth a.11d seveocl1.
it1 exarnple suggcsrs that it1 the Vie11n.cse classiatl St)' le foregroW1d simplicity
tends to be con1plen1ent:ed bj r bienirchic and impl.ic:arive co111pleAity. In the Bt)'le of
nio.ctee11t:b..cenrury .ron1anricism tl1e oppo,sire. is the. case: f oregro'l1nd complexity-
chrom-aticisnt, extensive use of nonchord tones, and nuances of temporal organization
and harmonic colo.r--is frequently coupled ''rith hierarchic sin1pliciry.
Material corn d1roitos autorais
,, r ' r
Example 104
Context "''as not an important consideration in the rnelodies analyzed in
the preceding sections. Attention ">Vas directed to the i111plicacio11S generated
by an order in the pattern irself. \IV hat '\'\
as implied "vas. the continuation of
a process until some relatively stable goal 'vas reached even t:b.ough ar1rival
at st1ch. a goal was at times deflected. or delayed. In this section \Ve vvill be
ooncerne(l, though all too briefl)r, v:ith a different ki11d of implicative rela-
rionship---0ne in a. discrepancy bet\veen rhe stn1cn1re of an e\
ent and
its syntactical or f orn"lal context su.ggeStS that a change of functlon is i)rob-
able. In1plicacions are ge11e.rated not becatis-e a. pattern suggests contint1ation
to an internal goal, btit ratl1e.r becau.o;e; an e\ret1t is felt to ha\re a potential
ft1nction '\vhiC:h has not 'bee11 satisfactorily actt1alized.
PoteTitial tones and r}J3'thms
A potential structi:tral cone, to repeat the de.finicion given earlier, is
on.e wl1ose melodic pro1ninence is not 111.atched by its structtrral importance.
More specificall)
, it is a "'' eakbeat marked for conscious11ess in some 't\ray-
often becat1se it is approached and left by disjunct 111otion, a11d ge11e.rally
speald11g, tl1e larger the disjw1ction, the n1ore pron1inent and more strongly
irl1plicarive the note. P:otential structural to11es may occu_r singly or in a
patterned series. In the former case, tlte n1elodically 1)r-0minent weal\:beat is
actt1alized \\rhen tl1e same pitcl1 occurs as a.n accen.ted struc-
tural ror1e. In the latter ,case, the \\rhole series is ''resolved'
vvl1en a s-ubseql1ent
n.ote understood as part of the patre:m is an .acc.ented stn1ctl1ral tone. Be-
cause several potential structural tones have already been discussed.;l
two '\vill be analyzed here.

See Chapter IV, Exa111ples 50 and 53; a11d Cl1a pter V) &-:t111ples 66, 95
Material corn direitos autorais
The Burlesca from Bach''s Partita No. 3 for Harpsichord contains a
clear exan1ple of a series. of potential structural tones (Example 105),. The
of the soprano voice, 'before the cadence that closes tl1e first part o.f
the movement, is a bilev'el structure. The primary level consists of a conjunct
pattern 111oving from C through D to E (graph z) . This pattern is embel-
lished by a subsidiary line o.f potential tones a sixth above. The A and B in.
n1easures 1 o and 1 2 are aurally promine11t but are strticturally unimportant
we;akbears (graph 1). Continuation ro C is implied not only because tl1e
secondary level is itself a clearly patterned conjunct motion, l>t1t because it
parallels the primary line. Consequentljr, '"'hen the E occurs in n1ea.sitre t J;
irs sll.rth, C, is itnplied. Instead of coming on tl1e third beat of measure 14
(the previous merric position of the secondary li11e) > the C comes on the a.c-
ceot. It is a structural tone, a.ctualizing the i1nplications latent in tl1e preced-
ing series of pote11tial tones. Botl1 for this reason, and because it is an octave
above the C in measure 9 'vhich began the melodic process, the C in
measure 14 is an important goal.
Indeed, the rising line of eighth-notes in measure r 3 st1ggests the C as
the goal of the primary level of p.atter1ung also. Bt1t this .is n:0t tl1e case.
The implicative relationships are more complex. In the first place, the pat-
terning of the prin:mry level of "morio11 has bee11 .in nvo-measure units; a11d
the eightl1-note ''continuation'' is obviously on a much lower level. If the
hierarchic levels are. kept straight, th.e n1otion from E to C .must be analyzed
.as and tl1e C \Vould not be a goal
, buc part of an implicative gap
of a inino.r sixth. Tl1ough tlris relationship ut1doubtedly l1elps to define the
F -
... - -
r S, E
E.xample 1o5
42 Tha:t b.oth Cs are hart.nonized b}' sub-dominant chords in root eot-
phasizes this relationship.
Material corn d1roitos autorais
direction of motion in measures r4 and r 5, the reinforced hy its
rence in. the alto voice, continues in rl'1e aural imagination of the lister1er and,
picl{ed. up in meastue :c 5, moves ro and then baclc to E in n1easure 16.
111 other \vords, E is, and rernains, the rnain nlelodic goal because its occur-
rence i11 measure, 1 3 is u11sarisfactory- prirnarily for har111c>nic re11sons: it is
accon1parued by iUl u11sc1ble, first-inversion triad, and tl1e tr:tad itself is part
of a uniform chromatic bass-lin.e "vJ1ich lacl\:s sy11tactic articulation.
vVhlle the n1-0tion of the primary level is thus suspencled, a degree of
bilevel patterrili1g 11evertl1eless co11tinues. For the desce11diJ:1g, C0[1junct
motion from C to E also contaj115 a subsidiary le,rel (graph 3), thol1gh one
tl1at is n1ucl1 les-s obtrusive rl1an. that cre.ated by the line of potential strt1ctt1ral
tones. And tJ1is subsidiary, perhaps rertiar}r level., seert1s ro derive in :part fro111
the risi11g eightl1-notes in 1 3.
As the inclica.tes, all tl1ese
levels co11verge to the E "vhich closes thls part of the Bttrlesct.
Though the actt1alization of potential srrucrt1ral tones is, as a rule,
proxit11ate, it n1ay be remore--it nlay tal{e place after the closure of tl1e
main n1elodic pattern. Sucl1 reinore actualization occurs in the Min11etro
inovement of Haydn's ''London' , Sy1nphony (No. 104) (:Exa111ple ro6).
Consequently, co explain ho'\.v the li11plications generated by the potential
sm.1cn1ral t ones are actualized, lat:!r parts of the movement, as \Veil as the
opening melody, muSt be considered.
Tiie main n1elody, whicl1 opens the moverr1er1t, is an ir1teriesting mixrure
o,f different ki11ds of structu.ral relationslups. The first pllrase is essentially
axial- ai1 A en.1bellished by neighbor-notes \.Vhicb are stressed by sforzandi
(graph .2) .'" The :first nvo neighbor-11otes, tl1ough stressed, ate not melodi-
cally pr.01nit1ent, 'bttt tlle tl1ird
D, is-eve11 thot1gl1 it is cot1:nected throt1gl1
the B. to tl1e axial A. For not only is it separated from the axial tone by dis
jun ct motion, bt1t it is borl1 the upper to1uc to which the fifth., might
11a\r.e n1oved, and it: is an octave above the upbeat which begins the melody.
Because ar the same time it is also rhytl1mically t1nstable a11d . Strltcturally
weal;:, the D is <l pote11tial structural ton.e (graph l ).
its melodic position and rhythmic fu11ction is like rt1at of the
D, in retrospect tl1e B in. measure :r seems possibly to l1itve l)een 111ore than a
mere embellishrnent. And this possibility is given support b)r tl1e relationship
8 It is related by confo.rma11ce t<l the previous si.1{tee11th-nore figures.
The role of t:he sforzatul.i i11 the articttl."J.tion of rhythmic g:rol1ps is discussed in
Grosvenor '\.V. Cooper and Leonard B. Tl:Je Rhytl:tntic St-ructzlre of fi,111.sic
(Chicago: University of Chicago Press. i960) , pp. 16 and 140- 141.
Material corn d1roitos autorais
between these pitches in meaSt1re 3. But the functiot1 of the B as a potential
structural tone is not t1neqruvocal and explicit until m,easure 6. There, though
it rernains rl1ytl1mically unstable a11d structurally " 'eak, it is n1elodicall)l"
prominent (graph 1 a.), for it is both stressed by a sforza':tzdo (relating it to
the earlier D) and above and separate<Ci fr:om the n1ain conjunct patterning
of the melody.
Th.e B is also important because it Stre11gthens tl1e Closure of the first
part of th.e Let us consider why. The axial A is impljcative not
only because for tonal reasons the fifth of the scale rends to move to\vard
the tonic, but also because it is preceded by an auxiliary gap-the u.p'beat
from D. After a ren.e\val of th.e gap at the beginning of the second phrase,
tb.e implied fill is realized f)y desce11dll1g conjunct motion to the Din
8 (grapl1 3). The re-alizatio11, hovle\rer, is so regi1lar and ''easy', that a. reversal
is needed to articulate satisfactory closure. The slcip from B down to Ci
does this; by creating a n1arlced gap, it implies conjunct motion in tl1e op-
posite direcrion-at1d it is follo\l"ed by rising motion to the ronic, D.
The B is also in1portant, and her1'ce en1phasized, rhythmically. For
though the last grot1p in tl1e fust section, lil{e the preceding ones, is an
an1p'hib:racb, it is twice as long as the others. As a rem:tlt, the sec-011d plirase
is an end-accented anapest (level 2
in tl1e analysis under tl1e exam.ple),
and the \Vhole melody is an end-accented iamb (Je,rel 3). The melody is
closed rhythmically as "'"ell as melodicall}'
f'll>-.(P$1J . .Ju.Si-.1.ST Ct-<>
' ' . ' ' ,.,... , -------
p .;17 ... t<'r
-1 3 2 Si .. >a- .... R-.- .i..:..- _ .. _} =
a.f-l r, .ti 1T, .9 r,
f ... \ ,-,
Material corn d1roitos autorais
Yet closrue is by no means definitive. Most important, there has been
no tonal deparrure and onl)r minimal structural tension in relation to \vhici1
return a11d stability \:\
ouJd create strong clostire. But tl1e1e are other
reasons as \.vell, and tl1ese are eff eccive precisely because no higl1-level
processes have been generated. The first is a matter of l1ierarchic equiva-
ler1ce. T.he established unjr c>f melodic-rltytlunic morion in the fi rst six mea-
sures is three quarter-notes long. Bur the Fl i.n meastue 5 is only a qt1arter-
note; it is not a structural 'tone on this le,1el of n1otion. Consequentl)r, the
conjunct fill implied by tl1e initial g-ap is only proc1.risionally :realized. 111-
decd, tlus aspect of the patte.rning of the seco11,d. phras.e it11plies, not the D
\Vhicl1 follo\\1S, bt1t continuatio11 to A- \vhich proves to t)e the first s.trt1ctural
note after t he double bar (graph 4) . Not u.ntil after the 1nelody is repeated in
rhe se'cond pare of the 1noverr1ent-as the reader vvill discover if he tur11s
back to Example 58- does the Fl occur as a structural tone. There th.e
ter11 is so strilcing and the octave displacement so clear that the change in
register does not obscure tl1e realizatio11 of irnpl.ications: the conjunct
motion fron1 G to F# in 111easi1r es 41 and 42, and from E to D from mea.o<rure
48 to 4.9 is both a.nd l1ierarchically satisfa.ctory .
. A11otl1er reason vvhy closure is not definitive, and our main concern
here, .is tl1at the potential structural tones remai11 to be actualized. TI1ey are
so-=or at least }Jartly so-at the beginnit1g of the secon<l part of the form.
The triadic upbeat \:t1l1ich begins this pa_rt of the movement do,es t\\ro things:
it leads to the A i111plied by the motion of tl1e second phrase of the melody
(graph 4); ai1d it implies conti11uarion to a strucrural D in a higher oct-ave
- as did the upbeat 'which begins the r11oveme11t. The A is realized im-
n1edUitely, and the B and D f ollo'\v v\ritho\lt delay. Thougl1 the B occurs in
n1easure 1 8, tl1e potential tone in1plied earlier is realri:ed in measure 20 (gn1ph
1a), where the B comes in the proper regisrer, as the goal .of a cad.encial
progression (V / VI- ' 1), a11d as tl1e final note of an end-accented rhythmic
group. The D occurs as an accented note in t,he prnper register in meaSt1re
11 (graph r). Bur as the se,1entl1 of a secondary clonunant ( \ T
/V) ., rather
than the ro-or of a, to11ic cllord, it lacks stabilitv. It is only a provisional ac-
The stability o.f the D is also weak.ened by tl1e tem,poral
The .D is not the goal of a closed, end-accenred group, hecat1se repetition
preclt1des the possibility of unequivocal patterning. All that remains is
n1eter, and even that is threatened. For " ' hi1e tl1e r epeated are still
swnably grouped in th;rees, tl1e accompaniment, indicated by the s-ketch
t1uder t he staff, is in rnTos.
Material corn d1roitos autorais
The kind of implicative relationship inv,olved here is 11ot, strictly speak-
ing, an aspect of melody: it is I have called. tl1e "'reakening Ot shape."
Not only is the metric orgmlizacion weakene'l by tlie cross meter; but
n'ldodic patterning disappears it1 the succ,ession of repeated D's. The lack of
distinct and regular I)attenling creates a sense of tensioi1 a.nd t1ncertainty, it-
self implicative of a, return to the ?>)"'Chic security of stable, unambiguous
Tl1e .in1plications of the D, provisionally acrualized in measure 11, are
more than regen.erated \vhen the melody is re1Jeated in the second part
of the Minuetto. For there the D's are, if ru-1yrhir1g, both more pro1nineot
and less Structurally important than in the original stateme.nt of the melody.
But tl1e function of the D as a poten
tial saucttiral rone is even n'lore striking
in meas.ures 42 and 44 (Example 58). In both measures, the Dis marke-dly
separated from the main melodic n1otion, and in tlle second, it is followed
by a. grruid pat1se left \vithout immediate continuation. 1ts contintiation and
itS actualizarion-and that of all me preceding Potentially s.trucn1ral os--
takes place at the very end of :the movernent, \vl1en the final D occurs as
the goal Of an rhytl1m, with tonic har:m.ony, and, in the right
Th:0ugh poten,tial rhytl11ns are consider1\bly less common t:han
tial structural tones, the last of this same Ha}rdn Syn1phooy con-
t-ains a clear exan1ple of this kii1d of implicative process. It in the pas-
sage wluch begins in measure 1 9, f (lllo,ving the second statement of the
main melody of the movement (Exan1ple 107). The melodic-rhyrhrnic pat-
cern of the passage is derived from the penultimate n1casure of the n1elody
(measure 17 ) . The second. half of that 1neasure (the E) acts as a pivot linki11g
it to measttre r 8. It also groups \\ the precedirig A for both harn1onic
and rl1ythmic reasons: harr11onically, because rl1e E and A belong to and
are harmonized by the same triad; rhyth111ically, becat1se the trochaic group-
ing established io the first t\vo ,measiires of tl'1e phrase tend to be co11tint1ed.
(level I). The E and F# also .grouped ' vith the following downbeat both
because of their melodic proximity to the D, and because the inore rapid
morion of the final eighth-notes malce both tl1e subprimary (i) and primary
level { 1 ) trochees mobile and a11acrustic.
See E1notion a:rz4 Meani;ng in MtJSic, Chapter 5.
Harrnony wh.ich is patently pattenl.ed i.o; specifiailly nnd it gives
direction to the implications generated hy the

of die other parameters.

Perhaps because of its promiI1et1ce, Haydn actualizes tl1c B as a structural ro11e
in n1eas:u1"e 44-even though its previ-0us acru:t.Lizacion in measure i8 should
Material corn dirc1tos autorais
In measures 19-2 I, ho,,rever, the second half of the m.easu1e does I10t
a.ct .as an upbeat to t he measure, for two main reasons. First, as
noted in C!1apter IV, repetition does nor make for cohesion bt1r for separa-
rion. The rhyrl1mic identit}r anti intenrallic similarity benveen these measures
is such that each is perceived as ar1 ir1divid11a.l e11rity. Seco11dly, tl1e rnarked
pitch disjunction bet\\
ee11 tl1e e11d of 011e. pattern and tl1e beginning c):f the
i1ext pre,1enrs the eig11th-11otes from f unct:io11ing as upbeats. The nvo parts of
each nlea.sure cohere 11ot only because cl1e)r belo11g t:o che same harmony,
but becal1se tl1ey pate1:1tly croclllic.
The trochaic pattern is strongly reinforced by the o.rchestration. As tl1'e
abstraction of the acco111panime.nt rl1ythn'1 (grap11 4) sl1ovvs, cl1e b,rass and
tympani (stems do,vn) play a half-note on the first part of each me.a.sure.
By thus stre.ssin_g the accent, they help to create heginning-accented trochees
on level one ( r). The wood,;\>in.ds and lower strings (stems up) reinforce
this organization and, in addirion-t create trocl1aic groups on the subprit11ary
level Nevertheless, despite all t11e aspects of t11c pattenili1g "vh.ich inal{e
us percei1le the groups as. rroc.hees, \:ve are aware, both because of their
relative speed and beca11se of their previous ft1nction as pivots, tl1at tl1e
final eighth-notes ir1 these me.1.sures sbo1JJd be t1pbeat:s (gi:aph 1). Tl1ese
potential rhytluns imply a n1 "" hicl1 tl1e final quarter-11ore of each.
measure '\:vill be grouped with t l1e f ollov.ring downbeat in an end-acce11ted
. t

- f
'2 ,........--- --;- _.,, ,
' ..iJ,

t=:=================:j .
at ,ii9 '-'J \ .. V ,t Vat c \a-:4'/J t-:V J\ ,,.0 V/'f:"" Jt:-t.1.l\::(;b3Jt:'ke:At'.: 1 ( ... ,
__ ,!"_,,_ "1Ji -

v <. - y, ,,_ v" , . tv

\ I 7 v I ' -:-- v I
.. -j..J ___ _ .. ---'I
Exa.mple 107
Material corn d1ro1tos autorais
The implications generate,d by the rh)rtl1mic organization are C<mple-
m.ente.d and strengthe11ed by the n1elodic patterning. For though the rhythm
of the paired m.easures ls identical, malcing for separacio11, there is melodic
motion between th.em. Because register i"> conspicuous and melodic-rl1).rthn1ic
activity is gre'Ster, the second 'half of each of rl1ese r11easures c-aptures atten-
tion. Fro1n a melodic poii1t of vie\v, they are n1uch lik.e potential stru.ctural
tones. As a result:, we are speciall)' aware of the relationship betWeen t he
G a,nd B of measl1re 19 a:nd tl1e Fj arid t\ Of measure 10,
and the linear
pattern thus established implies cor1tinuacion to a point of relacive stability.
And the fi1llll eighth-noces of n1east1re create a gap \vhich implies that
conjt111ct n1otion in die opposite directio.11, fillin_g th.e gap, will
(grapl1 3) ,
All these implications are :realized in the f ollo,ving measures. The final
eightl1-nt)tes of meas11re 21 become acroalizeti upbe>ats
perceived as con-
nected \.vitl1- 1no\ring a,cce11t i11 111eaStue 2 3. This patterning is sup-
ported h}' a change i11 orchesnatio11. For che fuse time, the acco111panying
instrtunents play a patrern \.Vhich n1oves from tl1e last beat of one measure to
the first beat of the follo,ving one. The flt1res play" st1ch. a rhythm from the
laSt beat of measure 22 to the first beats of l 3, an.d then all the
instru.ments play the rhyrhn1 fron1 2 3 ro n1easure 24. The fore-
ground gap is tilled as the A at tl1e e11d of n1e:asure 2 2 n1oves co G, and the
11igl1er-level linear patterni11g conru1ues to E-a.nd beyo11d,
Tl1e resoll1cio11
of the pent-up tension, caused by the delay of goal-directed melodic and
thythmic processes, requires time and the co111pensa.tory en1phasis of reirera ..
Not only are both the upbeat ,rhythn1 and. the gap-fill figure repeated
as the higher-level pattern continues) btit meaStrres 2 3 and 24 are theinselves
twice repeated before the impetus is sufficient!)' dissipated, allowing the
p.assage to move to temporary closure on the Din measure 29:.
Closely related to potential rl1ytruns :are those vorluch can be cl1a.racrer-
i S The n1otion between first bears ( fron1 B to A) seems so1nei10'\' subsidiary-
almost as tho11gh the t:e111poral order of ru1 bass p11ttero h_ad been .reversed,
with the repeated n_otes of the acco111pattl1nent figt:t:re coining on the accen:t ID.stead of
011 the " ' eak beu.
9 Because. the E cannot act as a goal. th.e lirle.a r 111orion cot1tinues and., after two
repetitions of measures :z 3 and 2.4'. r eaches' st3bility on D. This continuation
is indicated. by the art-o\v ar the end of graph-line :z.
lW Because this is the beginning of a ttansicion me Iilatked of a
iev.ers:al would be om of })lQce. The accumU'l1l'ted 1no1ne11tunl of preceding events
tnust be allowed to slow down of itS owi1 accord.
Material corn d1roitos autorais
ri:ed as incom1)lete. Rh}rc:hrnic inco111pleteness is t1ot ortl}' in1plicarive in ics
ow11 rigl1t, btit qualifies co1nplerne11ts the implications generated by specificall;r melodic retarionships. H.o\vever, since this l{ind of pattern-
ing is disct1ssed else,v1'1ere,
a brief account and a single example "vill suffice
Tl1e existe11ce of similarity a11d difference is, as 11oted earlier,
a11 esse11-
tial condition for patterning. This is as true c>f temporal patterns-rhythms-
as ir ifi of melod.ic .or harmot1ic e ents. If a series of e\
ents is so utuforn1 t11at
it provides no basis for clisti11guishi11g acce11ts fron1 then the
r hythn1ic structure i;\rill be

And because it .is iJ1oon1plete, it
is implicative, implying the probabiliry- even the necessity of a. differ-
entiation r:o \vruch, the stlccession of lilce events can be related. Because the
repeated note or patterr1 is i 11 this sc11sc goal-direc.-ted, the serie,s is generally
understood to 'be anacrt1scic-a succession of weakbeats movi11g to\var,d an.
organizing, diff erencia.ting acce11t. l'l<t
An incomplete rh)rtl1m. may arise o,n rl1e lo\\fe.'it hierarcl1ic \vhen
a si11gle toue or cl1orcl is repeated witl1out cl1ange in duratiOI1, dy11amics, o,r
timbre; or it :may occur on a higher level, a patter11, itself internally
structured,. is repeated exactl)r. Tl1e lugl1er-leve\ i11co1npleteness is the 1nore
eff ectlve and, hence, the more con1.n1o:n. For differentiated foreground
structure provides the sarisfaction of orderly I>atterr1i11g and at the sa:me
rime makes it difficult for cl1e list ener to i111f1ose St1bjective diffcrer1riation
011 d1e l1igher-le\'el t1nif orn1icy as he can easily do \\
hen, say, a single note
is repeated.
Because they are unsta;ble and goal-direcced, inconiplete rhythrris are
111ost freque:ntly e:r:icounterecl in cor1jw1ctior1 v;rirh the 1nelodic rnobility ai1d
ltarmonic tension characteristic of tral1sition passages and development
sectiotlS. But the}' occur else\vhere as v-rell : eve11 v\ritlm1 pritnarily tl1e111atic
51 Cooper and f\<fe)rer, The .Rhytbtnic Strtwtttre ,of Mt1.sic pp. 85f . , 149f., and
GI? P. %60 .
Ga Temporal uniformity m11st be co1nplen1ented by unif or1nity in other paran1eters,
for changc.s ir1 dynamic , harmo11y, and ti111bre can bec.ome tl1e basis for ri1;rtl.unic
differen,dacion. Indeed, changes in other parnn1eters "vill te.a.d to be specia1Jy n.oticeahie
p.recisely because temporal relationships are unctia11gccL
Anapest rf1ytl1ms, frequ.ently the basis for pl1rase st:ru.cture in the exan1ples in
this boolc (see Exarr1ples 79, 86, and .1:00 ), are na. 'ecru: inco111rllcte rhythillS. For \.vhen
a p.attc.rn is repeated,, ,even at a d:if'fe.r.ent pitcl1 level, the sin1ilarity bet\veen event:s te11ds
ro "veaken temporal pa.tternin.g and is raken co imply morion ito a larger group chat
serves a.s an organiz1n.g acceo.t a.11d goal.
Material corn d1re1tos autorais
statements though not as part of stable, cadenrial ones, st1ch as closing
themes. This. kind of implicative relationship is much more common it1
the dramatic style of classicisn1 romanticism than in the Baroque style,
for ex,act reperitiont \\rhich rl1ytl11nic i11con1pleteness requires, is not con-
sonant with the fio,v of contrapu11t:al voice-leading favored in the earlier
period Thus incomplete rhyrl1ms are characteriscic of Beethoven
s music--
for instance in the firsr movement of rh.e ''F.roica" SymJlhony {measures 128-
131 and 272- 179)- but not of Bach's.
The ScherLo of Brt1:ckner,s Se\re11ch Syrnphony begins an incom-
plete rbyth.m- four measures which are exactly alike (Example 108). The
lo,vest level (i) is clearly and strongly srrt1cn1red. Accent and weak beats
create a relatively closed dactylic grouping: the initial eighth-notes make
the second beat see111 stressed and tl1ereby dirninish. tl1e tendency of the last
. ;
quarter-note to act as an anacrusis to the f ollo'\'Ving measure. On the next
level ( 1), however, tl1ere is 110 different.iarion and, consequently, no basis
for grouping.
Because beginnings are generally' marked for consciotl.Snesst the first
measure is assumed ro he acce11ted-but 011ly 1I1ome11tarily. Wl1en exact
repetitio11 follovvs, our understanding of the first measure is changed. In
retrospect it is understood, together v.vith th.e next three measures., as ana-
crustic and goal-directed. An e\rent with which the repetition
can be patterned, and which will serve as an. accent for the series of first-
level ( 1 ) weak beats is implied. The motto melody, played by the crumpet
in measures 5-8, provides the nec,essary differentiation and is the goal of
the preceding measures.
. &wi,.t
.. p .

_---.aJ ,, .. .. , ...
' \ - -_ w ' , ,_ l - - - l l ' ? ... - - -- ..
, ' - ,.
Exan1 p.le I 08
Tl1e first four measures are .implic-acive 1nclodically, as well as rhyth-
mically, in two ways. Negatively, we are sure that rhls is not the treal'>
Material corn d1ro1tos autorais
106 LU>LAINlNG l\'1USlC
musical substance- a theme or 111elody-but on1y a11 ostina.tolike introduc-
ti.on .. V\Te feel tl'tis both bec1t1se; taken as a \:vl1ole, the relationships are
rive and formal rather tha.r1 S)rntactic a11d processive, a11d because otrr experi-
en.ce tonal n1usic tells us tl1at this lcind of does oot normally
conscit11re the mai11 basis for n1elodic orga1iizatio11.
On the positive side, the rela.tionshif)S "''ithin. the repeated moti\re are
syntactic, and they generate specific implicacions. these relatior1sl1ips
may seen1 11Unin1al-almost lost in the i11siste11t reJ>ericio11 arid oversruldowe.d
lly the e11trance of tl1e n1otto n1elody they are not iI1co1isequ.entia:l. Since
tl1e smallest unit of .regular motion is a q11arter-JlOte, tl1e Bis 01lly
a passing-tone. Consequentl)' , the first rrlelodic relacionslup is cl1e third from
A to <: The third implies disjurlct continuation-co the fifth, and perhaps the
octave a.s \veil- and,, ft1nccio11ir1g as a gap, conjt1nct motion in the opposite
direc.cion .. The second of tl1ese possibilities is realized \!\tithin tl1e 111.oci\re: the
B on rl1e third beat fill s tbe gap. Tl1e linear pattern (from B to C) \.Vhich
results is itself iinp.licative suggesting continuation to A, perhaps her
yond (gnipll 2 ). Both tl1e disj t1nct continuation through E to .. A;. and the
conjunct descending motion t:.o A and beyond are provisionally realized in
measures 6 and 7.
E.ven this provisional realization ist over-
shadowed by tl1e entrance of the morto n1.elody in rl1e trun1pet. Satisfactory
realizati.ons of both implicative relatio11ships occur later in the movement,
but in a key other than the tonic. Bu.t in the coda. of tl1e Sche1zo
talces place in the ronic: first, the C<>ntinuation of tl1e cor1jun<.."t pattern leads
to the lo\ver A (graphs 2 and za); then tl1e oontit1uaticJ.11 of the disjunct
1nocion leads chro11gh E to a11 octave A and there the move111ent ends
(graphs 1 and 1a).
JUelodic gesture and pctentiatity
Earlier in this cl1apter, .melodies '\\;"ere grouped according to the kind
Of patter11iI1g \Vl:1icl1 ge11erated inlplicativc relationships-that is, as bei1ig
linear, triadic, gap-fill, con1pletnentar}", and so on. But modes of
classification are also possible. Not swprisingly, melodies which perform
the same general ft1nction in a particular lcind of composition often
The E is onlj' a provisional realization because it corries on a \.Yea.k eigl1tl1-c1ote;
the linear continuation is so, becau.'e it does not follow from t t1e genetacit1g conjwict

Beca11s:e violas, celli and basses play these patterns and three octaves
below the pitches played by the violins ( tvhich are the ones given in the
registtal hnplications a1e satisfactorily realized.
Material corn d1ro1tos autorais
corrunon characteristics, a kind of fa1nily resemblance. So1ne n1eloclies see1n
typical o.f the beginning of sonata- orm mov"e1nents; others are members of
the class of .closing the111es. Some n1elodies are cl1aracreristic fugue subjects;
others seem like themes upoo which. a set of \rariations might be built . . A
good nt1mber .of melodies ca.nnot be classified in tl1is \vay because they arc
more or less neutral \.Vith respect to function.
At prese11t there is, to the of n1y knoVtrledge, no adequate typology
of the compositional gestures of tonal n1usic-though a nu1nber of scholars
are, I believe, doing '\vork i11 this
Such a tyl)()logy is sorely needed ir1
analytic criticism. Creating it \.vill require the close cooperation .of the dis-
ciplli1es of style analysis and music theory. The account given here does not
pretend to be. even a beginning. Rather, after a number of prelimin,ary re-
unfortunately, upo11 too small a sample and too little sn1dy-
it seeks merely to illustrate ho\v this sort of implication 'v.orl{s.
'Typical composiriona.I ge.smres do not appear to be defined primarily
by .inter11al melodic structure. 011e kin.d of melodic patterning-say, a ga:p-
fill structure--can evidently be tl1e basis for a nu1nber of different kintls of
coinp-osicional gestures: a fugue s:ubjecr, a sonata-allegro theme, or the melody
of a nocturne. Special rl1ytluns, usually in co:i11bination with a particular
kind of interva.Ilic structure, often se.r\"'es as a sign of a type of gesture: for
instance, a fanfarelike 1nelody or a march tu11e. Harmony, too, may play an
important role in specifyi11g cl1e function of a n1elody. Forrnal orga1uz.ation,,
110\\rever, appears to be n1ost irnporta11t of all, defini11g a11d llirutir18' composi-
tional possibility. For instance, ru1 antececient-consequent srrucrure can func-
tion a-S the opening melody of a sonata-form movement or as the first part
of a theme t1pon whicl1 \
ariacions "vill be based, but it is too patently
dividect into phrases ai1d coo closed t o ser\1e as the subject of a fugue.
To a considerable extent, then, our untierstanding of the function of a
compositional gestuie depends u:pon. its own characteristic :features at1d in-
ten1aJ stru<..i:l.11"e. But it also depends upon conve11rion and p1actic
e and the
impljcarions generated by gestures are i10 less influential because this is the
case. A typical melodic gesture is as mt1cl1 a component of a musical style
as are tonal sy'ntax and archetypal melodic or rhythmic patterns. A competent
listener t1nderstands nor only the irr1plicatio11s ge11erated by to11alt melodic;
and. rl1ythmic relationships withll-1 a pattern, bu.t th.e functional potential of
tl'1e pa:ttern as a whole. This is partly the reSl1lt of his having learned, tltrough
61 Becau e and ethos incit1bttely Frank Kirby's stnd:y of the
"Ch.1.racterisric S)"mphorqr
may 9]so be i1nporUcnt. See ChaJ>ter Ill, pp. 68f.
Material corn dirc1tos autorais
exper:ie:nce as a listener and per.haps perforn1er, ho\v different kinds of
gestures tend to
Characteristic tnelodic gesrures usually occur in appropriate and famil-
iar contexts. 'hen they do, a more or less specific con1positional procedure
is implied, and perhaps f orr11aI orga1i.iz.ation as well. Such il11plicarions may
be realized directly, or they inay be clelayed for a cin1e. il1 so111e cases, ho'\V-
ever, there is a discrepa.ncy berween t:l1e normal function of a. gesru_re and its
actual use in a COIDJlOsition. Wl1en this occurs,, \vhat is implied is tl1at the
gesnrre \vill probabl }r be presented in a oontext consonant witl1 its customary
and characteristic ft1nctio11.
The Finale of Scl1urnann>s Piano Quartet in Eb Major, 0}-JUS 47
with a melodic gesture anyone fanuliar with the style of conal rnusic
"vill immediately recognize as calling for conrra.punral
ably a.s a ft1gue or ft1gato (Example 109). Ho,vever, pol}rphonic textures and
contrapur1tal procedures are not comn1011 ii1 compositions of tl1e period. The
question is: what is ti1e basis for tius recognition of rnelodic potential?

,, ............. _______ _

Example 109
First of all, it is 11ot pri1llilf'ily a n1atter of te...xture. The first thre,e notes
are accompanied by full, sor1orous chords. But even had. tlie movement begun
with a tnonophonic o:r uniso11 textt1re, this \Vo11ld have been ot1ly a con-
tributory clue, Llot a s1tfficient conditio11 for tl1e recognition of gestnral
potential. l\1iany inelodies u1 both eightee11th- and 1tlneteenth-cenn1ryr com-
. . f l . bl I . . .
pos1oons ar:e .. or so o 11JStrumer1t or e1ise1n e p ayu1g 111 unoo11 or octa.ves.
Bt1t polyphonic creatn1ent is by no mea11s irnplied. Three exan1ples co1ne
to mind; the opening melody of 11ozart
s Sor1ata f(Jr Violin and Piano in
E J\1inor (K. 304); the beginning of the first moven1e11t of Bral1ms
in F for and Strings; and the n1aia melody, played by a. solo
flute, of Deb11ssy
s: Prelztde al' Aprts-1W.iai d'u1z Fa11:12e.
The gesture suggests pol)rphonic rex:ture because this lcind of pattern-
its assertive gap a11d contrasting, runnir1g fill-is the basis for
countless ft1gue subjectS and conrrapuntal con1po.sitions of the Baroque
period: for insaince, tl1e subject of the C-lvlajor Fug11e f.ron1 Book II of the
Material corn d1roitos autorais
Well-Tempered Clavier (Example 11 oA). And in our own time.> Stravinsky
employs this kind of struc.rure in the fuSt movement of the Octet for Winds,
wheu he wants to create a Baroqtleh""ke contrapu11tal texrure (Exan1ple I I
But prevalent conventions and persuasive traditions are not as a rule arbi-
tra.ry. Repeated use tl111t the gesn1re is es1Jecially suite,d to indeed,
calls for-co.nttapuntal treatment.
: - . ll ..

' . A -
' 19 '' F llir
Exan1ple 1 1 o
The m.elody is gap-fill structure (Example 109). The parts, the gap
and th.e fill, are distinct, so that tl1ey can be t1sed separately as well as
together; and e-ach has a distincti,re profile, so that it will be recognizable
even when the texture becomes complex. Moreover, the parts are different
not only in ft1nction, bot in rate of foreground motio11:. tl1e gap consists
primariiy of q.'uarter-notes, th,e fill of sixteenths. As a result,. gap and fill
can be contr1tpunmlly con1bined, yet retain their id.entity (Exam.ple 11 3).
The marke,d mocivic contrast has another virtu.e. It allo'\vs the parts
to be clearly defi11ed without tl1e n.eed for inter11al closure. The pattern is
a single process \Vhose n1omentum is not diminished by articula-
tion. The stru.cmre is potentially conr.inu.ous-a desideratum in polyphonic
ml.1sic in other ways too.
The fill part of the n1e1ody co11sists of a series of thirds, C-Ab-F-
D-Bb, \Vhich ends when a re\ crea,tes--a.lmost forces-temporary
closure 011 .E,b (E,xa,mple r 09). F ollo"ving this, the vioJa begins the fill part
of the pa.ttern and extends it (Example [ 1 t ). Thotigh the pat-
, tern is modified, b-Oth by the skip of a and by a cl1ange in the rate at
wl1icf1 thirds succeed one anotl1er; the t1nderlying organization remains a
co11tinuous triadic morion (graph 1 ). The sequential patterning of the
second-level stru.cture "'' hicb is also triadic (graph 1) , eril1a11ces tl1e sense of
on-going Ai1d ,this is true of the lughest level as well: there, 'the
Material corn d1ro1tos autorais
melody is lu1eat, implj ... ing COntinuarion ro Eb wl1ich is realized a measure
later-first in the viola and then in rhe piano (grap'h J) .
Example r 1 J
The gap part of the n1elody also iniriates a linear pattern.:-from Bb to C.
\Vhc:t1 the F comes. on the accent at the beginning of the third n1easure, the
possibility of sequential continuation, a falli11g fifth follo\-ved by a risi11g
si.A'th, is evident (Example 1 r z). Tl1is possibility is actl1alized in the passage
%.--- ----------
Exainple r 1 2
given in E. -xample r 13, where the essential components of the rnclod)r are
presented as part of a sequence, a,r1d in imitacio11 at the octave and fifth.


~ m p l 11 3
ns Sequential imitation of a .som.e'\vl1at different sort occurs earlier in the movement
- beginnii1g ac the end of nleasure 71,
Material corn d1ro1tos autorais
But Schumann. reserves what he cletlr1y considers to be the culmination
-the ultimate actualization .of the melody' s potential-for the begin.ning of
. ' ,,

. , ,.
. -
._ - '

E.\'.ample 114
Material corn d1ro1tos autorais
tl)e coda. There the gap pan of the f>atter:n, eA'tended by seqt1ence and by
.a rhythmic moci,:re f rom a transition passage, becomes the st1bj.ect in a
canonic-fugal exposition \Vhich is acco111panied b,y the sixtee11th-noce fill
pattern 114).
Th.e phrase given in Example 1 15 is 11nmistakably n cadential gesture.
The hart11onic pattern, ending I!-V
-I, is. a traditionally established closing
progression. TI1e rise to the tonic in th.e seco11d x11easure is a common pe11l1l-
cimate motion in closing themes- for .instance, the one \vhich comes at the
end of tl1e slow movemet1t of i\4&zart:'s St1,ing Quarret in D Major (Ex.ample
13 2). The of the a descending rnocion from fifth to tonic,
is equally cl1aracter isric: a sin1ilar pattern bri11gs the slo\\<1 move111ent of
Haif ner S}rmphony to its finitl .cadence (Exa1nple 89) . Yet this is
the opening phrase of the slow introduction \.Vt1icl1 begins Haydn s Sym-
phony No. 97 in C l\11a;or.
A .
Exax-nple 1 1;
0ea.rly there is a discrepancy bet'\' CCil tli.e C.'UStOr11ary, cadentiai func-
tion of this cl1aracteristic gesrt:tte and. the, riaydn of it here. It
should co1ne n.ot at the beginning of an event, bt1t at the end. And it does:
it closes tl1e slow introdtiction. But the discr epancy is so tl'1a:t it is
not fully resol,red by this prelin1ll-1ary closure. As the eigl1teentl1-centtlf}
theorist, Johann Mattl1eso11_, \V:rOte: ''One ca11 make use of many ordinary
and well-known devices. Cadencest for are quite c:ommon . . . and.
may be found i11 e C!)' piece. vVh.en, ho\i\iever, tl1ey arc used at the beginning
of a piec,e, they become somet hing specia.l, since they normally belong at
the end.,. r1
That Haydn, toot consid.ers st1cl1 use '
sornethlng special'' is sh-O\vn u1
the fact that this melody renirns as tl1e closing tllen1e of the sonata-fort11
ri& !l'rorn Hans Lenneberg's translation of portions of Der vo1tkom1J1e11e Capell-
'11teister ( 1 ;39) in his Hj ohann 1\1actl1eson on Affect and Rhetoric in Musict"
fotLrnaJ of t\.1.t,sic T heory, II, 1 (April 1958), 70.
Material corn d1ro1tos autorais
structure. Ar. .rl1e end of the expositio11 section it is ttansf onned into an even
more obviously c:adential pattern-a lcind of daocelilce figure (E.xample
116). In the recapitulation (measures 240-262) irs importance is emphasized
when it becomes the basis for a passage whici1 moves rhrougl1 a series of
keys to the first dominant liarmony of tl1e coda.
' .

Exanlple 1.1.6
From rime to time throughou.t this book reference has been made to
archetypal patterns and to traditional schen1ata. Though not so labeled, all
tl1e n1elodic types analyzed in this cl1apter might be thought of as archetypal
patternst and tl1e com.positional gestures discussed just above 1nigl1t be re-
garded as traditional Tl1e subject is so significant that it merits a
section o.f its own.
To recognize significance, recall an observation. made in the first
chapter: ,partiet1lar eventS are invariably un.derstood as rnetnbers of some
class. Archetypal 1)atter11S and traditional scl1emata are the classes ''tl1e
rules of the ga.ine,,, in Koestler's phrase-in terms of "vhich particular musical
event.IS are perceived and oompr'ehended. No n1elody, howe,rer origulaJ and
inventive, is an exception. to tl1is principle. Indeed, the concepts of originality
and invention-as distinguisl1ed fron1 tl1e .ecce11tric and the biz-arre-presume
relarionshiJ) bet\.\reen a particular instance and th_e class or 11orm to which
it belongs. Furthermore, as I have argued else\>vhere,
the delight of intelli-
ge11t tnental play a:nd tl1c excit:en1e11t of its complementt affective experience,,
are significantly dependent upon the deviation of a p-Articular mt1sical event
from the archetype or schema of it is an instance. norms are abstractions. One cannot find an archetypal gap-fill
melody or an ideal cadential scl1ema it1 the literature of tonal music. Bot
eo Em:otion and Mean,ing flt J\f1isic, Chapter r. and passin1.
Material corn d1ro1tos autorais
it does not follow tl1ey are remote or detacl1ed from tlcn1al 111usical ex-
perience. J use tl1e speaker Of a l1lrigt1age u11derstat1ds and responds to verbal
t1tterances accordi.rig to tlJe t}rpes t,o

they belo11g- prose or poetry,

e111otive exclamation or reasoned argun1ent, declarati,re a.sserrion or inrerroga-
. -
rive alternaci\re- so tl1e compete11t listener lJndersta11ds and respor1ds to t:l1e
melody from Strauss' Tilt Euletispiegel 8 5) ii1 terrr1s of its
triadic strucn1re, ro tt1e subject of &.1ch
s D-f\4inor Fugue (Example 77) i11
te1111s of irs gap-fill a.nd triaclic orga11ization, an.d to the then1e of Scl1u111anr1's
Piano Quartet (Examf11e 109) in t em1s of its for ooncrapu11a! treat-
mer1t. To talce th.e a11alogy to la11gu1'1ge srill ft1rther begin11ii-1g tl1e 111overr1ex1t
of a sy1npl1ony \},.
ith a cade11tial gesrure, as fla)rd.n does, is lilre beginning a
story wit h the words: ''a11d they lived happily ever ti
I11 theory it is possible ro disringlilsh ben:vee11 archet}
pal patter11S an<.1
sche111aca. The former v;rould be tf1ose patterns wlucl1 arise as the result of
pl1ysiological a11d psycl10.J()gical consrants prest1111ed i1111ate i1J h111nan be-
havior. The latter '\ot1l d be those norn1s \\truch \\1ere tl1e rest1lt of learning.
Bt1t t he distir1ctio11 breaks down ir1 practice. For 111ost cradiciotbtll)' est:ablisl1ed
t1orms have son1e basis i11 il.1nate co11sta11ts, and, 011 th.e. other patterns
.1ed from innate consta11ts becon1e 11ar:ts of tradition. TI1is bei11g c"lSe,
the terms will be usecl n1ore or less i11terchar1geably, and t l1e phrase ''arch.e-
typal scl1err1a>' "'ti.ll be,d to refer ro the ge11eral class of stylistic norms.
The diffict1lty of disringuishlng betwee.n teamed a11ci u.111ate parterne
irlgs is illustrated by th,e main, :, 111d opening, mel0-<ly 0 the slo'\:\' rnoven1er1t
of Brahms' Sor1ata f or Violi11 and Pia.110 in G Ml1j or (E.xarnple I 1 7). Lil<:e
the beginning of Haydr1
s S)-'mpho11y N'<). 97 ('{ample r t 5), it .is a cadential
Bt1t \\thereas Ha;rdn>s gestttte reaches its close vvithout signific-anr
delay, in1plying change of ftlnccion but not further 111elociic nlotion; Brahn1st
gesture does not. Conseq,uer1tly, both co11tinuatio11 to realization and cl1ange
of function are itnpliecl.
Pres11n1ably innat,e modes of i1erce1)tio11 arid patte.rnit:lg rend to
ize the gest11re. Tl1e 1nelody begi11s on tJ1e tl1ird C)f the scale, G. Fron\ a tonal
point of \rie"<v, cl1erefore, descer1dll1g rnorion co the tonic is probable (Ex-
amr)le I I 7' graph [). The acttlal patterning begins '\vith a gap of a third,
1vhicl1 implies conjunct fill 111ovirlg tO'\.\' ard t}1e to11ic (graph 1).

bec-ause upbeats are seldom longer t ha11 do,vt1beats in this style,
Tria.dic co11tit1ttaciQtl to tl1e higl1 Eb is not ii11plied because the Bb is relatively
mblc-the goal of an end-accer1red rh)rtl1n1-rather tl1sn \,VeQ}( and mob:ile. ln this
see the discussions of E:xa1n1,les 61 and 63, above.
Material corn dirc1tos autorais

' .
' ....
r ~
.. .....
' '

.u I
Material corn <i1ro1tos autora1s
once rh.e Ab follo'\\IS the firsr quat[er-11ote of t l1e '\:Ve suspeet
(in retrospect) t11at the Bb should be u11derstood as an ' 'unconst1mn1ated
appoggiarura-a sum1ise confirrned when the .morive is re,p.eated iI1 rneasures
4 and 18 (Exan1ple i 18).
The t11ost regt1lttt and, ''nor 111al'
co11tinuation f1ave bte11 conj unc.t
motion directly d<:l\;\rn to the tonic, as sho\-vn il1 pan B of 11 7.
Avoiding this ob\r1otis at1d du1ll possibiljty, the moti,1e skips dovln to
r:he F, creating a complerne1ru1r}' gap which is filled by the follo\\ting G. Fclr
botl1 rl1)rtl1rnic and 11arn1or1ic re<tsons, the G is understood to be a11 ec/Ja,ppee
ir111J.l.ymg n1otion directly to the co11ic, E . 111 the motive sl1outd have
beer1 like that in part B
of Exa1nple 117 . Bt1t the G proves in retro-
spect ) ro be an ar1ticipacion: G, rather thru1 Eb, follo.\\'S on the first beat of
.meast1re 2 .
The fi1st parr of rl1e rnelody is re1}eared it1 syncopated rhy'thn1 in mea-
Sttres 4 and 5. a11d d1en rt1e linear rnotio11 is co11tinued to tl1e D, where the
n1otive is stared on tl1e dominant. This cime it is properly continued, as tl1e
ecl111pee (D) tl10\ res t o an accented Bb (grapl1 2a,). T hougl1 th:is actt1alizacion
reassures the lister1er that .his llnderstanding of the patter11 is correct, he also
lcnowst for tonal reaso11s, tl1at it is 011ly pro,!Jsic}nal.r
.l\:f ter an eigl1t-n'let1st1re melodic a11d l1anno1.1ic develop>111ent, tl1e melody
rect1ms (E.xarnple 1t8). The implied Eb is agai11 a'\i'oided. a seqt1enoe
tr.ised upon rl1e first tlrree notes of tl1e motive n1oves th.e pattern up a third.
" enlarged n1otion n:mkes the repetiriot1 of the F- G pati ern in measure 2 1
parcici1Iarl;r prominent. Once n1ore, ho\vever, G is su.bstiruted for the prob-
able Eb. Acr1.1.alizatior1 finally t:al<es place :in. tl1e next n1easures: preceded by
a.n anacrusis (D- C), F leads througl1 an Jcl:1apee G to Eb. The rhythn1ic
the dtiration of the F and G-nor only emphasizes
their cadenciaJ character, but seen1s an appropriate compe11sation for the con-
tinued delay of 111orion to E . This cade11ce ends the first part of the rnove ..
n1ent and
as it do-es so, realizes the implied goal of t'he ,opening motive a11d its
pote11tial f11ncrion as a closing gesture.
&2 Eeca.use tl1ey come on beats, a:re :no t preceded b)r domi11anrs, arid are the
begini1ings o.f n1otives, t11e F.b's in measures i and 3 are not goals. Consequently. tl1ey
cannot act as even provisional realizations of t l1e implications gene.rared by the

oper1u1g motive.
The arrival at an acce11ted Bb is ir11pormnt not only boc-ause it confirms t he
idea of how t:he motive shotild endt but beca:l1se, as the octn,,e belo\'' tl'le
first accentt it is u11derstood as defining rl"IB main area of 111elodic activity. As a. result,
it seems unlikely tliat tlie itlgl1 Eb will be the goal of this n1elo<ly.
Material corn d1re1tos autorais
_________ _ . -

+ :: - -. .,_, _
. :;> 11
i t - -,
Exrunple .1 18
However natural or i1mate the im11licarive r elationships generated bJ'
the structure of the m.elody, their force and spe.cificity is also, and signifi-
cantly, tl1e result o-f learning. The implied continuation a:nd the .mocivic
tualizacio11 can b-e avoided again and. again because our repeated encounters
\lrltl1 tl1is sort of patremn'lg rnal{es t1s con.fident that it is c"adencial tl1a.t it
will sooner or later reach closure xnore or less as expected. Two ex:amplesi
chosen because they in the same lre.y and the same tempo, indicate that
this is a fan1iliar and traditional cadential gesture (Exan1ple I 19A and B).

:Example: 1 19
The first (A) is the closing figure froin the slow 111oveinet1t of'
String in Bb .l\l!ajor (K.458). No explication is needed: it is self-
evident that the bracketed figure (n1) belongs to the same family as Brahrns'
gesture ind-eed, it lacks only tlte ecl'Jn.pee, G. The second example (B) is
taken from tl1e Cavatina of Beethoven
s Stri11g Quartet in Bb l\1ajor, optlS 130
-to my mind, one of the 111ost exquisite and 1no,ring m.oven1ents in the reper-
Material corn d1roitos autorais
tory of Westerr1 inusic rrl1e four n1easures give11 at tt1e l)egi,nning
of the exainple bring the first melodic pattern t o a. close. J\1east1res 8 arid 9
belong to \ovt1at might be called rlie fainily of cadencial-ecl:7apee gestures (as
does Bralm1s' melod), )-except thar tl1e ecl1apee functions as a!1 a11cicipa.rion
until tl1e cader1ee at the end of the nrSt part of the m-0vement. Ti1e n1otive
(n1') in ineasures 1 o 1 1 is a member of the san1e fifth-to-tonic as
s cadential figure ar1d Bral1rns, melody. Both ki11ds of closing
gestures-the fifth-to-tonic and the cade11tial echl1,pee--are joined together in
meaSll!es 63 a11d 64' wl1ere the}'' form. the n1elody of the last autl1entic cadence
of Beethoven's Cavatina.
Archetypal scl1e1nata r1e,ed not, of course, be cadenrial gestures. Tl1e last
n1ove111ent of Beethoven's Fourth Syn1phon)rt wl1ich Sir George Gro\re char-
acterized as a <'pe-rpeti1.ur11 1rzobile>' M begins \-Vith a gesture infectiot1s
' ' erve and '\\
it suggest cont:ir111arion, contrast, <lnd developn:1enr.
o tl1e complex and s11btle relariorlSl1ips an1011g ever1ts "\X. :rithi11 rl1e
111elod.y, 011e must co11sider the in1plications of ti1e initial s.LYree11th-11ote
motive, Jn. (E.xa1nple 12ol\.) . The moti\re consisrs o.f t he tonic, Bb, ornat11ented
b;r a lo\ver neighbor-note follo\l.
ed by rhe slcip of a third to D. TI1us re-
duced to essentials, it is a 111ajor tll.ird ( 120B) '1vl1icl1 can be t111derstood either
as part of a triadic pattern irnpl yir1g co11ti11uarion. to F, tir1d perhaps t l1e tipper
to11ic as \veil ( I 20C); or as the disj rn1ct }Jan of a ga,p-fill pattern implying C,
a.nd p.erllaps seque11rial n1o tio11 co D a11d be)rond ( 120D) . Such
motion is prob:able because, once the C is a h.igher-le\rel linear
rero arises, and it in nirn in1plies co11ti11uation ro a point of rela.rive stability
or closure. f\'1oreover
to the eA.'te11t tl1at ic is n1ore than ornan1e11tal. tl1e
neigl1bor-n.ote pattern from A to Bb seems to imply linea.r concil111aci<1n, for
this sort of patt:er11 occurs in variot1s guises tl1foughouc the period of tonal
111usic ( 1 z.oE). Filially, tl1e in1plicati\re openness of the motive cornes in 110
small meastue fro111 the D,s .rhyth1nic \veal\:11ess functiot1al mobility
( i 20B). Had tlte r1eigl1bor-11ote figt1re been at1 upbeat and tl1e D an accented
goal ( r. 2.oF), triadic cot1tinuation, especially, "'' ould. have been co11Siderably
less probable.
8. c. ll
Rlatnple rzo
Beethoven. tttid His Nine SyJ-1tp/3onies ( Ne"'' Yorl<: Dover Publications
p. 112.
Material corn d1re1tos autorais
Here tl1e in1plicative inferences of a con1petent listener may he based
upon the patterning per se. But once again, it is in1possibte in pra:ctice r-0
separate 'C\rhatever innate processe.5 111ay be inv<>J,red, from our familiarity
wicl1 the bel1avior of this traditional scl1en1a. For tl1e motive, at1d oth.ers be-
longing to the san1e family of gestures, is con1n1on. in the 1:epeno.r:y of tonal
music. Let us consider son1e exan1ples.
First, triadic continttarions. 111 the first n1ovement of Hayd;n's String
Quartet in Bb I\tlajor, Opus 76 o. 4 (Example 121A), the mori\.re (m)
occurs ''"it hin a triadic pattern and is continued itnn1ed:iately to tl1e i1nplied
:fifth, F, and th.en in r11easure 4 to the. octave, Bb. 1-:Iere, as in other Classical
period examples, the moti\re is set off and called to the listener's attention. by
the grace notes \Vllich en1bellish its begin11ing. The n1ori,re also occurs in
the seco11d measure of the fot1rtl1 n1ove1ne11t of Scl1ubert's Octet for Strings
and \!\finds (Example ti 1B)

The continuation is triadic to G-but .in

tbe \vrong register. The is, tberef ore, only pro,r:isional (Pr.) . The
trliJdic it11plicatio11s of tl1e n1otive are Stttisfnctorily realized, 110\vever, \\Then
the n1elod)r retur11s in the seco11d part of the rounded-binary form (measure
i .r). Bt1t histead of tl1e probable G
follows as pan of tl1e do111mw.t
of D minor (\ T / ll) . Schubert ''ackno"vledges'' the special, deviant charac-
ter of the A '\\
itl1 a f orte...piarzo n1arking. poignancy of the A is the result
not only of its de\rian.r cl1aracter and its ham1011ic context, but of the fact
that tl1e larger inte.r\ral-a sL\"tf.1, r:atl1er rl1a11 a fifth-acts both. as a triadic
continnacion and as a gap implying descending n1otion to"vard closure .

. -
- ..
____ ...
-- .'1
-- -
- -
- - --
- -
.- ,;;ii! --- -
Example 121
e;s I futve purposely chosen a. \VOrk \Vr.itteo after ne.ethoven's Fourtl1 S)'lllphony t'O
emphasize that our under&'tG11ding of schen1ata is aten1poral S.chuberc,s use of this
traditio11al patren1 it1-finences oar undersm1'l<liog of its in1plicatioos in Beet11oven,s
music, just as iis use in Beethoven's n1t:tS:ic modifies our romprehensio11 .of Schubert's.
Similarly, Stravinsky's use of ct1e contrapuntal JX>tential of a fuguel&e pattern
(Exarnple t 10B) affects our of sinillar patterns in th"C music of preceed-
ing comp-osers. ln rhis connection. the in Nl eye.r, t/Je Ar-ts 1111Ji,
ldens, p. 47f.
Material corn direitos autorais
Gap-fill, seque11tial are common li1 t l1e literature. 1"'he
1norive 11ear tl1e beginning of rh.e first n1ove111e11t of M.ozart's Piano
Sonara, h1 C Major, K. 279 (E.xa1.11ple {22) . In this case, instead of moving
triadically to tl1e G, tl1e third (G-E) functions as a gap and is follo\Ved
by D, \Vc1ich is the fill (grapt1 1 ). Sequent ial co11tlt1uacio11 is implied not only
by lrigl1er-level linear n1otio11 fr om C to D, but by rl1e foregrotind rltlrd. D to
F, whicl1 pairs 'vich tl1e precediI1g :C to E. T'l1is, hov.rever, proves to be pa:rt of
a caclential figi1re Iea.dit1g to a re11etitio11 of the first t\\tO measures. The im-
plied continuacio11 does n<>t occtrr L1ntiJ twelve iarer, where
the n1oti\re moves in co11j t1ncr n1ocio11 frorn. C ro G (graph :z.a). Tl1is passage
not only represe11ts rl1e rea.lizaci.011 of the implied co11junct co11tint1ation, bt1t,
when G is re:a,ched, tl1e triadic potential latent in tl1e n1otive (and regenerated
b)' its repetition at t)eginnlllg' of the seq.11ence) is aJso actllftlized (graph
3a). In additio11, as th.e motive 1noves on stro11g beat:s (3 arid 1) froJ11 C to
E 1:0 G, a still hjgl1er-le,
el triadic motior1 is generated -vvhich carries. both
patter11i11gs beyond G to tl1e octave-definin.g stability of the high C, 'Ine
same motive, embodied it1 a somewl1at n1ore elaborate figurel is the basis of a
, __ , __ ______,,
z. ____ _,.
Exainple I al
sequential, gap-:fill pattern in the Gigt1e from Bacl1's Partita No. 5 for Harpsi-
chord i11 G t\1ajor (Example r 2 3) . Partly because tl1e whole p.attern includes
a con1plete triad and partly r>ecause t he triple n1eter " 'ealcens the mobility of

' : .
"(.11111 pl e 1 z 3
Material corn direitos autorais

the second beat, there is evidentl;1 little implicatiot1 of triadic continuatio11.
Openir1g melodies generally establisl1 the cl1aracte.r or etl1os of a move-
ment. This is certainly m1e of tl1e last mo,re1ne.c1t of Beetho,l'en's Fourth
Sympl1ony. From the first n:1easure, the affective tone is one of pert, yet
not hostile) venre and c-Jprice. For the nJost part t his is the result .of syntactic
relationships-the sudden cl1anges in register a11d dynamics
and the sharp
breaks in implicative process. Bt1t ti.le 11acure arid c11stomary use 0 the
motive itself also contribute to character. F(1r, as the preceding examples in-
dicate, the moti,re usttally occt1rs "vitlU.11 a melody " rhich is already t1nder way,
or is included as part of a. transition process. Here, ho-vv.ever, it is the first
gesture. 'Nitl1out benefit of phlite preparatlo11 or customary, introduction"
the beginning seems brusq.uely witty a11d genially vvillful (Exan1ple 1 :z.4).
Tile ope11ing 1no
tive (tn) in1plies triadic motion to tl1e fiftl1, and perhaps
to the upper octave of the tonic (graph 1) . The fifth,, Ft foll.o\VS,, but not
in the implied register, so tl1e realization is 01lly provisional (indicated by
pare11theses in cl1e anal)'Sis). Tl1e F is also iinplied by the linear pattern of
potendal structural tones (graph. 2) : becal1Se the D in measure 2 and the
Eb in measure 1 are tnelodically prominent weakbeats, not effecti,rely con-
nected with the f oUowing low-level accents, C<>ntinuation to an accent is
cAlled for. As rhe analysis indicates, the F's thus implied are not realized
until meas:ure :zo.
Bt1t the most important aspect of th.e triadic patterniI1g is harmonic.
When the tonic (I) and supertonic ( II) triads follow one another in. root
position (as they do u1 this case), th.e syntax of tonal harn1ony makes it
h:igl1l)r p!iobable that, if the linear patterning of fust is continued, the
next chord \vill be the ton_ic triad in the :first inversion. not the improbable triad
on the m.edia11t (DI). 1'"11.e opening n1easures of Scl1ubert,s Sonata for Violin
and Piano in D i\
1ajor are. a clear illustration of r.his typical 1>rogression
(part B of Example 14). 'For these reaso1lS, the late11r triadic motion of the
first two measures of Beethoven's theme itnply tl1e in measures
xg-i r continoatio11 to Bb (graph 3).
The second implicative relationship generated by the opening morion
- the gap-fill pattern- is provisio:i:ially realized ,vhen the motive is re-
peated on C (graph 5). The realizatio11 is not entirely satisfactory be,ca11se
the till should follow rhe gap directly. as in tv1ozart's Piano Sonata (Ex-
ample r2z, nieasure 1.4f.). The gap and fill are brought together in the proper
register in .meastire 19 (graph 6), and, too, the D implied by the second
foreground gap, C-Eb, is realized (graph 5a).

Material corn d1roitos autorais
2 .22

jp - - --
__,'t: ,_ - 5

----- -

. .
e. I w
' ' ...... -
. .
;ii .
5. <
.... _ .. _

J .
'% 1'

5 . 5 . 5

.. .
. 5
)-Ii .

, . t -,


. ' t.
!USU b p _
I _ I I 0
,. . ga
. I L ... .

. r I;
! J
- - -
- -

.. . .
----- - ---- -
"f ....
- -- - -

I n
.M ...... . ..

- -

The relatio11ship betwee11 tl1e rn.ori\re (111) and its repeticior1 (n1') creates
a higher-le\rel Co11ju11ct p atter11 11.icl'\ Ul1plies conlint1acion. to D. After two
n1east1res, D arri,res. Bt1t :, 011ce again, register is A sacisfactory D is pre-
sented in measure 19 (grafll1 4) , wl1ere it also ft1r1ctions as th.e beginning of
rl1e in1plied firsr-inversion triad (graph 3) .
In the preceding discussion, the triadic in1plicarions of the second state-
rne11t of the mori e vl.rere r1ot C(JI1sidered. Because tl1e G-, implied b)' tl1e
foreground patterrw1g of tl1e n1otive (C-Eb), comes in rhe lo,:ver octave in
measure l,. its r ealization .i, only provisional. Though it tends to r)ass t11.1-
r1-0ticed becaltse th.e triad to \\' l1ich it belor1gs is pa.rt of a higher-level process
lead,i11g to 19-2 I (gra tJh 3), i10 eXf)licir realization of the G occurs i11
the exposition sectio11 statement of tl1e rnai11 theme. In. tl1is respect tl1e
G is unlike the correspo11tii11g vvhich is satisfactorily realized in meast1re
10. roles are re\rers,ed in tl1e recapitulation, '\vl1ere a s.arisfact:ory G
is realized. both explicitly and \\ritl1ot1t delay (see Example 12 5, m. i 86) .
Ot o:nly is the Gin n1eas\Jre 2 in the register, but the followi11g
sixteenths inove in tl1e v\rro,ng directio11: tlle)r (}O not parallel the equivalet'lt
patterning i11 tl1e first rr1e.asure. they do11e s<), a ri5ll1g line '"vou1,i l1a,1e
Material corn direitos autorais
led to D 011 the first beat of meastrre 3, and tl1e pre\riousl)r established
li11ear and triadic p:atternings \\
ould then have been con.tinued. Instead., as
if l1eedless of preceding events, the line seenlS to plt111ge downward. into
an unrelated and u11explored register. TI1ougl1 rhis bcadlor1g descer1t con- in the lo\ver stru1gs (as the reader ';\'ill if he consults the score),
the listener)s attentio11 is pexempto.rily e11gaged by tl1e entt'ance of a rrew
gesture- played forte b)"' the 'vhole orchestra- \Vhose even-paced ernphasis
ai1d rising conju11ct n.1otion sets off and cou11terbalances the do\"vn.ward rusl1
of sixteenth-notes.
Before c.onside1ing thjs new gesrt1re a11d its implication, a ivord al)out
its character ai1d kind. T11e impression of n1eiody onl}' three notes in
co11j.unct sttccession-is roo n1inin1al ro be characteristic. But the three
clipped chor<.is pL1)red by the full orchesna (witl1 violins pla}ring double
a11d triple stops) and t1'1e V -1-V hannony t11a e a f an1iliar sound and sonor-
ity. \ e l1a.v'e heard this cor1figuratio11 counr1ess tin1es i11 this
times as introductory gestures, but more oft:e11 as oodas to s;rmpho11ic
.move1n.ents. Its use l1ere, u1 th.e 1niddle of a n1elodiousl)1 proc.essi\"'e .first tl1e1ne,
is unust1al arid surprising.
In conlparison with tl1e pre,rious breaks between the motive and its
the e11mince O,f this assertive gesture seems abrupt-an
al:n1ost arbitrary int.erpolation <)f a11 alier1 idea, contrasting "'rith the pre-
cediog pattern in almost every '\'1ray. This sense of anomaly is both conlirme<l
and heigh.tened when, after 01tly three {)eatsi the original motive, orchestra-
tion, and soft dynamics return. Yet, Iil<:e earlier breaks, this .is connected
with V\rhar went before.. For the new gesture can be understood as the
palpable and explicit continuation of the incipient pattern of pro,risional
realizacions-tl1e motion frQn1 F to G. Had. tl1e triadic concin11atioos of the
1notive not been displaced in register, the relationsl1ips between the F-G
motion and tl1e CC)IJj u11ct r11otion o.f the gesture would be ob,rious, not
only l}eca.use of the continuity of conjtmct pitches, bl1t because the metric
position of rl1e A is the same as that: of the F a11d G (grapli 7),
discounting this connection "''ith earlier patterning, the conjunct
.morion of 'Urha:t l shall call the coda figure-to discinguisl1 it from tl1e motive
(n1)-i111plies continu.ation to D. But precisel;r because of its chordal,
cadencial character, return to Bb is a possible alter11ati\re... The D which
Tt1:at this suggcsti.oo .is 11.0t so farfetcl1ed as migl1r at :first appear is in
the recapitulation. beca.\1se the G is not dh.--plnced dO\Vil, tbe connection seems
clear and a1ore explicit'.
Material corn dirc1tos autorais
follows in n1easure 5 is not, ho\Ve\rer, a sarisfactory continuation of the
coda figure.: nor 011ly irs register, .but its dyn.at11ic level, a.nd,
above all, irs .mocivic content pre'\rent it f r<Jm being grouped \Vi th the coda
figt1re. or, for the re.asonsi ca,n tl1e D in n1easi.1re 19 act as a realiza-
tiot1 of the ir11plicario11s generar.ed by tl1e pattern in n1easures 3 and 4.
l nstead of movi11g 011 to tl1e D, tl:ie coda figure returns to Bb in 1neaSt1re 21.
T here its morio11 and that generated b)r the moti\e converge as the 111elody
re1ches .closure.
Contmt1acio11 to D remains to be re-aliz.ed. lt is so, but at the very e11d
of the mover11ent. Before discussit1g let .me sr1n1n1arize \Vhat takes
place ill tl1e reca.pitt1Jacio.11 (Exar1111le 1 2 5). First, t l1e G iJ11plied by tl1e triadic
m<).cior:i. of the secor1d statement of tl1e n1oti,,e occms in the rigl1t register
through.out tl1e (graph 1) . except for rl1e Ias.t prese11tatio11 of
the melody. Consequ.er1tly, t1ot 011ly is tl1is implicatio11 realized (as it \.\fas
not in the exposition), but the con11ectio11 ben,,,reen the moti\e and the coda
figure .is made explicit (g]:a11h 2). Next
the the1ne .is not completed as it
. -
a .

Exan1ple 115
f/tdd. .j .
"'"AfV..U .Jilllf..,.
7- 18 have been omicced fro:rll E.xamf)le In those measures, first
. . tl ' 1 b . 1"t .
t e monve oontmues le seq ue:r1na patterrt. egun i11 111easure 5. rlen, m nieasu:re 1 i, a
n1:elody, 'vhich contrasts with both the pert verve of the motive a11d the
asseni"Ve force of t l1c coda fig;.1re, is presente{t over a dominant pedal. The repeated
F's. ''rhich e11d this rune are picked up .i11 11leasure J.O, \vhere the)1 lead to a .resolorjon 011
the torli.c ..
Material corn direitos autorais
was in tl1e exposition. Instead of leading to a sequence based on the motive, as
it did in measure 5 (Example 114), the coda figure continually returns to
the beginning of the melody. Fo.r instance, in the first statement of the
melody in the recapirulation (m. 185f.), the 1n:0rive part is played by the
hassoo11.; the cod.a figure, performed pizzicato by the violins (m. x 87-
88), leads to a forte repetition of the san1e music an octave higher (m.r89).
This change has a number of impor tant consequences.
1) The motion of the coda figure to
tl1e tonic (with A and C acting
as neighbor-notes), which was inferred in the expositio.n, is here made ex-
2) Because the passage which \\
ould have repeated measures 5-2 1 is
missing, 11either the seque11tial co11tinuation in which the gap of a third
was followed directly by fill nor the F implied by the opening motive
.th. h h Th . 1 . d . 1 .. c. _
occur \V.t 10 t e . t eme. ese unp 1cat1011s an potenna 1t1es are inst
reaJized at the beginning of the coda, where a chromatic sequ.ence, slowed
by intern:al repetition, leads from Bb to F (Ex:an1ple 12 5, part B; measures
i81-z94). Subsequently (measures 335-343), a compressed version of this
seqt1ence leads to an even more em1,hatic and stable F. In th.e course of both
tl1ese sequences, the D implied by the motion of the opening motives is

3) But the D implied by the coda figure is not. For to realize the
in1plications generated by that pattern satisfactorily, the D must occut in
the proper register (which it does not do in the sequences),. be the resolu-
tion of dominant harmony (witl1 root progression in the come on an
accent, a11d, ideally, follo.w the generating figure directly. These conditions
occur twice in the coda. Following t he stateinent: of the theme \vhicl1 'begins
in measure 301, the coda figure moves conjunc..--tly from A ro high G, as
shown in the sketch. at the end of Example 125A. That this is a version of
the coda figure is clear not only from its relationship to the opening motives
and its own melodic p.attern, but from the harmony and bass motion.
Nevertheless, the :realization leaves something to be desired, partly be-
cause the clipped ehords associated with the figirre nave been replaced by
a s-moother,. more co11tinuous succession of iJitches. Mostly, however, because
the D occurs within a larger n1otion, the f acr of arrival and realization lacks
appropr iate emphasis. The D is, however, appropriately conspicuous and
emphatic wh.en it occurs as part of the final cad.ence of tl1e movement (Ex'"
a:mple I 16). For it is the goal and end of the quarter-note rhythm of the
coda :figur,e and of the sL\.'teenth-11ote morion of the bass. And in these cho1:ds,
Material corn d1roitos autorais
too, the .potential inherent in tl1e cl1aractex of tl1e gestt1re is unequi,vocally
.._ ........
Exa.1nple 116
I c:onclt1de tl1is section witl1 a. final exan11>le, a question, a11d an

Tl1e exa11't.Ple, from tl1e beginnil'1g of the tta1lSition passage fro.n1 the Haycln
Qttartet move1nent quoted earlier (Exan1ple 12 1 A), is:
Rumple r27
Tl'Je qzJ.estio1t: If seetho,ren's music can be characterized as original, \Vhat is
the basis for this qt1a1ity?
T l'e (J.bservation: Given the pre,ra1ence and central importance of arcl1erypal
sc.hemata in tonal music, originality in musical art,. at least until recently,
corlSisted not i11 the i11\1e11tion of novel means and syntactic relationships,
bl1t it1 t he inventive use of established relatio.nships and shared conventions.
Not all 111elodic relationships implicative. Most notlimplicative events
vv.f1at are cor11monly called prolongations .. There are in1portant differ-
e11ces atnong kinds of though tl1e;r are of te11 treated as a
single, mo1101ithic class. Some prolongations cor1tah1 clearl)' .defi11ed implica-
tiv.e processes; others do not. Some are implicative rhythmically or har1110ni-
cally, but not melodically. Some serve to create balanced m'.orphological
le11gths; others stretch establisl1ed ler1gths and rl1creby heigl1ten the effective-
Material corn direitos autorais
ness of in1plicarions already generated. prolongations are related to
preceding evenrs by confor,mance, but sorne-fo:r instance, wha:t \Vill be
caUed parentheses are not. The discussion is an attempt to dis-
tinguish a few broa,d subclasses.
Declarative prolongatibns
'The basic n1orive or thema.tic id.ea of a rnelody or composition may it-
self be a prolongation. The first four measures of the first prelude in Book I of
the Well-Ten1pered Clavier, for instance, are a prolongation of a tonic----C
Major-triad (Example 128A) . th,e melody begins on the tllird,
111otion to tlle tonic is probable. But this implied tonal motion is c1ot rein-
orce.d by the pat-terning of the parameters. T .he seco11d an.d third
imply closure and return, rather ' tllan a.nd mobility. Melod-
ically, the F's in measures 2 and 3 function as the upper neighbor of E.
Harmonically, the :progression is e:adential, For this reason,
rhythm appears to be on the phrase-level. In short, these mea-
sures are understood to be a sr-able, closed shape a statement of motivic
materials, texture, and tonal center.. The implicative ,processes which shape
the morion of the Prelude are not generated u11til n1easure 5.
I ; ,
; I
\ !!! I , ...,
3 _ -12 Ji fJ J_IJ -
- - _,.
' .
\ 7 7
Example 128
Tl1e first theme of Beethoven's rhird Sympho11}' is esser1cially a stable,
anal melody (Example I i8B). Eb is I>rolonge.d, anci the <lther notes of the
triad revolve aroun.d it. Because the Bb inlplied by the initial third (Eb-G)
is realized \Vithin the n1elody {tl'ie third beat of n1easure 5), i1r1plicatio11 is
internal. The tendency of the triad in measure 5 to be oontin.ued is not
Material corn d1roitos autorais
strong: not only is Bb the relatively stable fifth of the tria.d and the goal Of
the patterning in measure 3, bur it is defined as the probable upper li1nit of
melodic activity by the Bb in measu_re 4. RhythmJcall.)r, ho\vever, the
theme .is open and mobile., as the analysis under the example shoV\rs. Ne\.
th.eless, like the Bacl1 this tl1em.e is i1nderstood prin1arily as a
statement of the main ''scuff'' of the con1position, rather tl1an as a patter11
generative of specific implications. It is a declarative prolongation.
Although they are not specifically implica.rive, declarative prolonga-
tions usually nave an aura Of latency about them-if only because th.e}'
are t)eginning e.vents, and \Ve believe there \.vill be n1ore m11sic. This feeling
Of anticipatory tension is specially strong when tl1e declarati,re event does
not itSelf c<Jntain strong internal processes: wi1eL1 l1am1onic, rhythmic, a11d
melodic relationships do not articulate marked closure. Partly for this rea-
son, Beethoven's theme seems so much more fratight with potential than
does B,ach's.
Because the music 've are concern.ed with is iuerarchic, is im-
plicative on one level n1a.y be a Stable prolongation on tl1e nexr-and vice
versa. Though implicative processes are generated within it, a whole melody
11tay be consi,dered a prolongation--an essentially formal entity-if it is a
oompletet clo.sed and sta'ble shape. Si11ce our ir1terest l1as been il1 implica-
tion, few such melodies have been considered: probably the melody from
Smecana,s Vltarua (The; Example 84) o.r the one fron1 lV!nltler's
Fourth Symphony (Ex.an1ple 88) are the clearest cases of si1ch declarative
prolo11gations. Finally, 1nany, but not al] melociies which are the basis for
theme-and-variations movernents are also examples of co1nplete, stable events.
Norrnalizi11g prolo1tgatio11s
Prolongations frequently occur in conju.n.ction with implicative pro-
cesses. \ he11 this is. the case they rna.y perf or1n a n.u111ber of some\vhat
different functions. One of these is to m.ake the phrase or period fit with a
previously established or stylistically normal t11orphological lengtl1. Often
the normalization. Of lengtl1 is achieved through simple repetition.
The r11elody of the second movement of Schubert's Trio in Bb 1\llajor,
Opus 99t is an antecedent-consequent structure, though the co.nseqr1ent
phrase is measures longer than the autecedet1t I 29) . The
fust phrase begins on tl1e third, G (rrieasure 3 ), ai1d frorr1 a t o11al point of
view, 1notio11 to the tonic is probable. Nlelodic patterning begins with con-
junct descending motion which also implies continuation to Eb (graph 2).
Material corn dirc1tos autorais
Tlus implication is reinforce.d '\\'hen, after a. gap of a third" the melody again
descends conjunctly, fron1 Ab to G i11 ineasure 4, and then con,tinnes to F
in 1neasure 5 (graph 2a) . At the rime, the second level pattern from
G to Ab implies) and moves to, Bb, the rela.tively stable fifrh of the scale
(grap'h I ) .
The foreground patterrring of the melody is partially closed at the en.d
of measure 5. Harmonically, the progression from I to V is a semicadence.
Rhytlunically, tl1e change from shorter to longer note ,,a.Jues--:from a six-
teenth-note to an eighth, .a.nd from eighth to quarter-note-creates a clearly
closed, trochaic groi1ping on lov.
er .levels. i\1elodically, t he G .and F c.onsti-
tute a return to the opening pitcl1es, and the sense of closure is enhanced by
the gap from Eb to G, wlucl1 is filled by the F.
1 .
~ 'A . I
""--------' , ,-r r , :.t,....-'""'
- __ __, ' _ r ! ~ f \ 2 I , , .,; ____ _. - - - - ~
Exan1ple 129
But inore n1usic is needed. T\vo..-measure lengths have been established
as the norm-in the melody itself. and in the introdu.ctory measures as well.
The varied repetition in measur,e 6 does not change or even noticeably .re-
inforce implicarion.
Rather, rhe sixth n1ea:sure serves to create a n-0rmal,
regular phrase le:ngth. This is w instance of the bifurcation of form and pro-
Cess disct1sse.d at the end of Chapter IV. Here, as in the Dumka from Dvofak's
Piano (Example 57), process reaches closure before morphological
lengr:h is corn1'>lece. The norm.alizing prolongation completes the morpholog-
ical le11gth.
The construction of the second phrase is similar to that of the first. Like
measure 6., measure 1 o is a normalizing prolortgacioo. But th.e:re are interest-
ing differences. Tl1e implication of descending motion is somewhat stronger
08 ft does:, however, emphasize closure bjr so1newbat intensifying the rhythmic
motion towatd G, and by suggesting m.ore con1plete linear p11tterning, Bb-A-G,
down ro F.
Material corn d1roitos autorais
at the beginnir1g of the co:nsequet1t phrase because the gap fror11 F to Bb is
larger t11an the cor:responding gap frorn F to Ab i.c1 tl1e first plirase, an<l be-
the Bb functions like an ap:poggiatura. 011 the other hand, che low-level
patterning at tile enci of the phrase (n1easures 9 an<.i 10) does not imply
direcr conjunct motion to the tonic,. as the G-F inocion at the e11d of t11e
first phrt1se did. Instead, tl1e melody descends to Bb wl1ich defines the area
of n1elodic aetivit y and rl1ereby Stabilizes the upper fiftl1 makin.g linear or
triadic contin11atio11 a.ho\,'e it less lil<ely, and in1plies disjunct motion to the
tonic (graph 3).
lJ As a rest1lt,. F is delayecl, and so is rl1e closure o.f the phrase.
Because th.e 111elody fails to reach tl1e t o 11ic in. 111easi1re 1 o, t\,VO cadential
measures are necessary. I11, tl1e several strands of nlelodic pt,itrerni11g,
indicated in the analytic gra1>l1s, converge to the Eb.
To balance ri1e le11,gth of tl1e conseqt1ent phrase, Schubert
begins the m.ove1nent \.Vith a t\vo-n1ea.si1re introdl1ct:ion. T l1ese n1CaSl_1res
might be regarded as a kind of 11or111alizing prolor1gatio11 /;ef ore the pl1irase.
I-lowever, they are obviousl)r a grou11d-a11 arct1etypal accompani-
ment, rather than a well-patterned melod)' t he rneasures are
rive. expect that a srrot1gly shaped melody "'rill be presented si1ortly.
Though the regi:Uar.ity of the rt1ythm ancl the siznplicity of the harmony,
dynarr1ics, and tempo suggest that wl1at f(Jllows will be lyrical, '\\"'C l1a,re 110
way of knowing vvhat the rnelody will be. lnlplicarion is not specific.
That this i11ttoduction is in1plicative it1dicates that the effect 0 a
prolongation depends in part upo11 \Vhere it occurs in a n1elody.
When it occurs. at: tl1e end of pl1ras-e, as in n1eastire 6 and i o of Scht1berr,s
melody, a prolongation \iv:ill i1ot as a rule be impl:icati,,.e. But vvhen it occurs
at the beginning or in rhe t11idtile of a phrase, it ' vill tend to be so-cl1011gh.
perhaps for rhythn1ic rather than melodic reasons.
The melody 'vhich begins the second r110,1er11ent of Nlo1iart,s String
Quartet in. D 1\1ajor (1(. s 7 5) illiistra.tes this point (Exan1ple 1 30) . Like the
melod}r of Schubert's Trio, it consists of an antecedent a11d a consequent
phrase, each divided into t\VO parts. The implicative relationships \vithin the
antecedent phrase merit attention- both becaL1se tl1e effect of the prolong'a-
tion (.i.epends in part upot1 then1 and because t11ey are of interest in their
o \:vtl r.igl1t.
Because it is conspicuous tl1rougl1 it.s abser1cet D is implied as a probable goat.
The sltip from Bf> to Eb in measure l t in particular implies D as a fill. And the
n1clod}' is .repeated, the D (r11easure ll) follows the Eb and mo,res to\.vard a ca.der1ce
011 cl1e d.or11.inant.
Material corn d1roitos autorais
The antecedent phrase (Exan1ple 1. 30A) l)egins \Vith a f our-meast1re
prolongation of rhe third of the scale, Cl (graph 1) . For ronal reasons,
morion through B to the tonic, A, is probable. This implic11tion .is reinforced
by a suri)risin:gly st1bcle, yet basically simple
melo.dic stn1crnre. In the fore-
grou11d, nivo conjunct patterns, each preceded by a gap, imply
conrin11aci-0n to the tonic; the first moves d.o'\vn from E not F#, an appog-
giarura (graph 2); the second, f ror11 A (grapl1 3) . 011 the next leve1
tones are th<>Se Of the tonic triad, and the second part of the
phrase (measures 5- 8) is incll1ded in this pattern ( 4). Again,, the lo'\\
tonic is implied, n,ot onl)r by m.easure 4 (and more patently by
measure s) the triad is con1plete except for tl1e lower to11ic, but because the
gap-fill s.trucrures suggeSt descendi11g 111ocion. Consequently the probability
.of triadic contin11ation ro the tipper C# is lo"''
Once again seemin.gly slight differences have in1plicativ.e significance.
In the co1ISequent phrase, t l1e first n1easure is varied so tha.t tl1e relationship
between Cl and E impljes continuation to tl1e upper octave (Example
130B); in meast1re 9, a weak> mobile eighti1.-note, E, follows Cl directly, so
that further triadic n1otion is probable. And,, after the A in measure r 1, the
seco11d part of the phrase b-egins on t l1e l1igt1 C#.
(See grapl1 above and
rhythmic analysis belo\v in Exan1ple r 30 B.)
In the second part of th.e antecedent (Example r 30), C# is pro-
longed until measure .s, '\vhere it beco1nes an. appoggiarara in a semica.dence
mo,ling to B. The motive u1 n1easr1res 5 and 6 is a li11ear rise to E, hut f
n1orion is not .implied. The E is the end of a relatively closed grottp: rhyth-
r11ically, it is preceded, by a sixteenth-note '7vhich acts as a l{micro-le\'el
' up-
beat, and, consequently, the hig!1er-le,1el dactyl is closed; melodically the
skip fro111 B ro E (in a Il-\r l1armoruc context) makes the E sound lik:e
the co1npleri.on. of a group. The interesting conf or111ant relationship be-
n:veen this motive and the of meastires I and 1 is sl1own in grapl'l 5.
Turning .now to our chief concern-prolongation. Wha.tever the
111elodic i1nplications of tl1e patter11i11g tluot1gh measure 5, tl1ey are in no
\vay changed by th.e repecicion tl1at takes place in measure 6. From a melodic
point of vie"'' ' 6. cor1tributes 11otl1it1g. Its contribution is fo.rmal .and
10 This calls attention to an important point in critical method. A specific cl1ange
.cann.ot be adequatel)r explained o.n the grou.ncls that lt provides variety. Cert:tlnlyt
th.ere is a need for \l'ariety, but there are it1nunler11ble \:vays of achieving it. Wh111t: is
required is an explanation which suggests wh)' this particular. way of aetii.eving
variety is app.ropria.t'e or \Vhat its format or implicative consequen.ces are.
Material corn direitos autorais
("" \
, -'!' ,P,., , ""-- ,, .. ,v,, v
,-.. : ;a I
Example t JO
rhythmic. From a. formal point: of \tiew, it norrnalizes the morphological
length of the seoond part of th.e pf1rase'-S(J that like rhe first it will be four
measures long.
Rhythmically, tl1e .repetition is processive ancl i1nplicatlve. Because they
are identical and c-ome at tne beginning of th.e second part of the antecedent,
measure s and its norn'.lalizing prolongation, measure 6, make it pro'bable
that the whole subphrase will be an an_apest, 3 + 3 + 6 beats, on t l1e seco11d
level. And this implication is realized in measures 7 ai1d 8. which for1n a
pivoted rhythmic group. 1"'he sense of goal-directed n1otion created by the
rhytlimic structure depe11ds i'n part upon me context of strong n1elodic im-
plication. At the same ti1ne) rhythmic implication compensates .or th.e tem-
porary suspension of melodic lnocio11 t O'\Vatd the tonic.
Material corn d1roitos autorais
The conseq11e11t pltrase of tv1ozan>s melod}r is given in Example I 3 1. If
the changes in melc)dy and register already considered and those in the
closing measl1res ( i 6 :u1d c 7) are disregarded, tl1e phrase is regular a11d
t)rpical, rea.ching the expected cadence 011 the tonic in measure 16. Just '\Vhen
stability and closure seem assured, ho\vever, the and cello begin a repe-
ticio11 of part B of the phrase. The \'1.olins are, so to speak, obliged to follow
along, elaborating a ne"' counte1--poinr. T11e resttlting lack of closure is
e1np.hasized b),.; the fact that the tonic t:riad is in the first inve1si.on, rather
thai1 root position ..
This repetition, t:oot is a prolongation. But instead of being 11or1nalized,
the morpholot,rical le:tigth is stretched. In ocher '\vords, tneasures 16--19 be-
long to t he class of prolongation l{no,vn as extensions. Not only is the
niorphological length stretched, but the e>.."'te11sion begins 'before the co11 ...
sequent phrase h,as finisf1ed-reacl1ed irs normal length. l "'l1ere is an elision:
measure 16 is both the end of the main n1elody and the beginning of the
extension. The ''n1orphological dissonance', which results from this ov,er-
lapping creat:es a tension \vhose .resolutio11 e11li.ances the sense of satisfaction
and closure "' hen an .u,ndisrurbed, cadence is reached at measure i 9. In.deed,
the tension is such that some of tl1e accumulated energy spills over into the
bridge passage which follo'-''S.
tost extensions at the of a phrase do not, however, i11volve elisions.
They occuI after tl1e morphological length is complete. The coda of tl1e
l\4o.zart n1ovement we ha\re be.en analyzing provides a cle.'lr illttstrarion (Ex-
ample I 3 2) . A.fteJ the the1ne presented in t l1e pre,ceding examples, a
moduladon to the don1inant to the statetTienr of a. secondary melody.
This leads back witn virtually no dela}r to a restaten1ent of the ru1tecedent-
conseq11e11t melody. 11lougl1 details are varied, the mt1sic is basically tl1e
same. But now no bridge passage follows to absorb tl1e tension of the elision
and to arrest the momentun1 built up by the delays in the melod)r The coda
of the movement accomplishes these ei1.ds. It is, so 'to speak, a c,omposed
ri:tar dando.
As Ex.ample 1 3 2 sl1ows, the coda begins after a full ccadence ir1 rhe tonic
ar m.easure 61. It is an ext ension consisting of a four-nre.asure pattern (A),
I Il
- l!- V7-I, which is repea.ted (A') , Tllis is followed by a further
e>;tension . a two-measure authentic cadence (B), whicl1 is also repeated (B')
closi11g the movement. Since the extension. is essentially a melodic prolongation
Material corn d1roitos autorais


-a ' ,_


Mater al corr dire tos autora s
rr r-J''
_,..,_ _ -- -.J
of the tonic:, A, n1oving th.rough three i10 implicative relarionsl1ips
are generated.i
Extensions also occur within phrases. Though they do not influence
the directi0n of the implicative process, such u1ternal often
11eighte11 the listener's sense of implication by delaying arri\
al at implied
A strilrin.g instance of internal exte11Sio11 \vhich intensifies tl1e feel-
ing of goal-directed motion occurs in tl1e firsc: section (measures 1- 1 7) of the
Prelude ro Tristan und Isolde. The larger strucnire and ha.nnony of these
m.easures have been expertly ai1a.lyLed by William !V!itcl1ell.
l'ily concer11
will be the co1nplex relationship:S witlun the prolongation,. wlrich occur
betv;ree11 i11easures 12 a11d 16 (Exan1ple i 3 3 .. i\).
The passage is forcefully in1plicarive l1arn1011ically and n1elodically.
Harmonically, each element of the seqt1ence consists of the ''Tristan,, chord,
'\vl1icl1 functio11s as a se:coadary don1i11a11t and resolves to an unambiguous
domi11ant .. se\renrh chord. As indicated un.der graph 4, the first element ends
on the dorrunant seventh of A n1inor (V
) ; t he second, on th.e do111intu1t of
C major (V
/ lII) , the relative major of minor; and the third, on the
-dominant-of-th.e-domi11ant (V
/ V). Each is therefor:e internally processive
and i1nplics co11tir1uation. TI1e sense of goal-directed mocio11 ge11era,ted by
t his foreground patterning is enhanced by"' a higher-level triadic structure
created by the roots :of tl1e chords of .resolution, E-G1f- B. This structure
implies continuation to E (graph 3).
1 The in different octaves at t11easures 71 and 73 is one of the results of
the rnotior1 of tb.e consequent phrase co rhe upper Cl. Other resttlts :n1ay be fotmd in
the middle s-ection of the moverne11t.
'fl! 'Th.e Tristan Prelu.d.e: Tecl111ique mid Structt_ue," in Willia:t11 J. Alt.itchell and
Felix Salzer,. eds. T.IJe M.u.J'ic Fo1U1n, Vol. I (Ne\v York: Columbia University Press,
1967) I pp. J6l- l03
Material corn direitos autorais
The melodic patterning) \Vhich. col11plen1ents this harmonic sttucn1re
is no less implicative. 011 tl1e lo\vest, note-to-note level, it consists of a chro-
1naric scale \-Vl1ich rises fr.o.n1 to F# (111easures 2- 1 r). On t he next level
eliminating those to11es. \.vhicl1 are ob,1iously appoggiaturas or l'a.'\sing ror1es,
t l1e n1elody is a diatonic sc.ale in A minor. As sho\v11 ir1 gra pl1 r, botl1 t l1ese
motions imply continuation co the Uf1per

because the processes are
quite uniforan, tler1mps beyot1d.
011 a still J1igher tl1e passage
sises of a. series of thirds continuation of this patterning
\vould lead to th.e higl1 A.
R11ythmic organizatio11 st1pports arid enha11ces the goa1-(lirected pro-
cesses ge11erated by melody arid harmor1y. 011 the prin1ar)' level ( I ) , each
t)lm1se ends on the iveak part of t11e, rl'lyth1nic group. Hence, even though
th.e lo\vel)t le\rel is a partiall.Y closed trochee) the basic structure is inobile.
As a result, the appoggiatnra pattern \v ruc}1 ends eac}1 phrase ren1ains inobile
and goal--directed, even '\ivhen iris cletacl1ed an(l begins an nl1pulse, as it does
in r11easuxes r 4 ar1d 1 5. On tf1e next level ( i a), that of the varied
repetition of a single pattern weakeris the impressio11 of structure and st1g-
gests t hat the ltltimate organizatio11 of t}1e \;Vhole section \vill he son1e sort of
a.napest grottp. As a res.tilt, the seco11d ai1{i third grou ps--a11d tl1e first ir1
retrospect-are perceived as 011-going anli in1plicacive.
These strongly? goal-c.iirected processes ''get stt1cl<
after measure 11.
I11f:t 'tead of contint1arion. there is obstinate Not onl) r is the re.aliza-
tio11 of tl1e processes ge11erated by tl1e patte,r1ling of t he first ele,ren measl1.res
delayed, but morphological le11gths are stretched r11etric contint1it}r is
'!'he analysis of these is some\vl1at proble111atic: are they all
extensior1, or extension and partly r1orn1alizing p.rolongation? The)r
might be considered a complex extension_, for had the melody conti11t1ed to
the cadence in i11easure 17 ' vithout aJ1)r repetition "'lh.a:ci;oeve.r. che result
would ila,<e been regular: if 111easl1re i o 11ad been' folLo\\red by
r11easurcs i 6 and 17 t het1 t11e passage ' would ha,,e cot:1sisted of tl1rec four-
measttre phrases. 1"'11is is sl1owi1 i11 part B of Example r 3 3, ' vhere the slig11t
elision in rr1easure 8 has been removed to sho\v the potential regulari.ty of
the phrase structtue. Seen fror11 tl1e 11erspective o.f melody alone, the exten-
sion runs fton1 1nensure i 2 throt1gh measure t 5.
10 Because. the chroma,tic pattern is uniform a11d u.ndifferent.iate(i, a clear re\,ersal
is 11eetle-d ii closure is ro rake. place. 'I'he gap from G# to B (n1easures 16-17). filled
by the tonic (A ) , creates the required reversal.
Material corn d1roitos autorais
Nevertheless, for rl1 yrthrnic reasons, a11d .harm.onic ones as well, these
measures also seem to involv.e norn1aiization. The organization st1ggested
as basic in part B of the exan1ple is far f rotn satisf actor)' ; it is too regttlar and
reacl1es the cadence too quic'kl)r. Not only does tl1e 1nelodic rnotion, \Vhich
heretofore n1oved ":vith intense deliberatjon, no-vv speed ith ,un\va.rranted
ease, bt1t the arcict1lation of tf1e crucial cadencial harmonies is ct1rsory and.
cru,i.1al. Above all, the equal, four-1r1easure phrase lengths and sequential
. uniformity create no l1igher-level structure. F'.or all these reasons, closure
at the end of such a t'1\relve-measure pattern \voulcl have bee11 ab.rt1pt and
Though these measures best )l"Zed as part e>..'tension a.nd pa,n
normalizing prolong'ation" it is riot to deternline '\:Vllich. is '\Vhich. The
analysis give11 in tl1e exarnple is based on a nt1mber of considerario'ns. Be-cause
they function as upbeats to the closing ca.der1ce, measures 14 and 1 s create
a srrongly end--accented anapest groupu-ig on. the pr.imary level ( i).
patternuig supports tl1e meloclic closure ar 17 and empl1asizes tl1e
bacrmonic articulation of the de.ceptive cadence. In addition, they re-establisl'\
0 '
rh.e four-measure phrase lengths \vith 'vhich the passage began. For tl1ese
reasons . n1easure 1 5 seems to be a norn1alizing prolongacio1t.
Tl1ough measures 14 and 1 s are si111ilar in structure and function to
measures 5 and 6 of l\4ozan)s String Quartet (Example 1 30A), they are
much more pate11tly implicative, for four reaso.ns.

iD: Wagner's Preli1de,
rl1e half-step motive, E#-F#, is part oft and by reiterarion reinforces, tl1e
implications previously by the n1elodic patterning. ln the 1\11ozatt,
011 the other hand, the comparabJe measi1res are not derived from,, and do
not support, the basic descendi11g melodic motion. Se-oond, harmonically
these n1eaSt1res are in1plicative because of their previous association witl1
goal-dire'Cted processe:s-the donlln.a.nt-seventh of the do1ninant (V
jV) in
ineast1re 1 1. In i\11.ozarr's n1ovement, l1owever, the :comparable n1easures are
part of stable, tonic hanno11y. Third, when first presented in measures 11
and 13, this motive \\ras a '\\
eak, mobile part of the rh;rth111ic grou.p. Because
it retains the function tl' it originall jr understood to have ( ei,ren in the
absence of the accent in relation to \.vluch it "'' as a ele1nent)
the re-
peated motive is rhythmically in1plicari'\re. In the M,ozart, measure 5 is ini-
\,ially understood as accentc;d and stable, and is rl1yrhmically implicative
only in retrospect. Finally these rl1}rrhmic and m.elodic implications are af-
:firn1ed and underlined 'by tl1e" crescendo ( \Vithin each n1easure) \Vhich
''points to', (.acts as a sign of) an organizing accent.
Material corn direitos autorais
if' ,..
. '
, .
' ,
' '


I '
I ' I

, I
l I
I 1
' '

, '
"14 ''

1 ..


' ...

.. , )
) ,
. .J
,.. !
f. I

Mater al corr dire tos autora s
l\1easures I 2 and, I 3, then, are an rfhis is evident if the third
eleme11t in the sequence is i"normalized'' as in part C of Exa:mple r 3 3. N<:Y\V
each phrase begins on the last eighth-note of the measure, and the final four
111easures '
fit:,, perfectly into the regular pattern of fottr-times-four
And this is precisely is wro11g " rith t l1e structtrre: oot only :is it tedious,
but no higher-level r.l1ytl1mic structure arises. It is so unj_form that clost1re
' vould be '''eak and an:ticlim.atic. A longer, con1plemer1tary patterning is
r1eeded, and such parrerning has already been potential in the basically equal
morphological le1igths of the first t\Vo
elei11enrs of the sequence. The elision
welds the third eletnent of the sequence ro the last four measures so that, in
a broad sense, the structure of the \,\' hole section is a bM-form, with an ex-
tension, both on the n'liddle levcl (2b) and on the.highest le,,el (2a).
Internal extensions, like the one in W agne.r s Prelude, take place witllin,
and are continuations of, processes gene1ated b)r the precedi11g n1elodic-
rhythmic patterning. By stretching n1or,phological lengths and delaying
tion to implied goals, tl1ey dist11rb continuit}r, bt1t tl1ey do not intern1pt it ..
Co1iseqne11cly, tl1ey are ur1derstood as intensifications of the existing pat-
terning. .Bue there ru-e ir1ternal prolongatio11s wl1ich,. while not affecting
implicatio11s, interrupt the n1usical usually after arrival
at some poi11t of pro,lisi.011al Because tl1ey do not really ''belong''
to tl1e pre,ceding and following fY.ttternings, s11cl1 internal interruptions l1ave
bee11 called parentheres.
This kind of discontinuity is discusse<i in The Rhytfj71zic Stntcture of
Music, and, rat.he.r that1 paraphrase "''l1at vvas said there,. I take the liberty of
quoting 011e paragraph:
A case of interrupted co11tinuit)' that comes to mind is
found in the classical concerto, in \<Vhich the resolution of a ig chord
011to a V chord n1ay be delayed for sevetil mioutes by the insertion of
a. ca.denza.. The effect of this lcit1d of (and of similar kin,ds)
is perhaps even more surprising thru1 are the e.ffects of links a11d. over-
lap11inb7S For two tJtings l1apper1. First, suspense res\1lts, and suspense
inte11sifies \.Vhatever co11cinlliry there mt:iy b,e .. It llla.y be several seconds
'1'1 Earlier theorist.s such as A1attheson (sec foo-tr1ore 59, p. 211), "'110 took langua.g,e
as a modelt osed term. But I a.111 n,ot sure wl1cre the modern U.. 'ie c-omes fronl. 1
have., however, f r,equently discussed tl1ese 111atters with, and leart1ed much from,
Professor L\lwxence Bernstein.
Material corn d1roitos autorais
after the lightriing fiasl1 tliat the sound of tl1u11der reaches our ears
\:\!hen \Ve see the lightning \Ve kno\.v the thunder will follo\,r. Second,
there. is a certain unreality abo11t the interroptior1. Tr is nor part of t l1e
'real" piece, '\Vhich \ill resu111e as rhougl1 1\od1jrtg J1a.d. happer1ed whe11-
ever it .is allowed to. In or1e se11se, of coiirse"' the cac_lenza is part of t he
piece because \ve expect it to t>e r:here;. in another very real sense,
- ' .
eve.r, it is not. are so.n1e'\\
hat ar1alogous cases i.t1 both art and liter-
ature. A painting is supposed to have a frnme; tli.e frame is r1ot part of
the pli11ti11g-bur it is. A story 'vitl1 a fr-ai11e- for exan1ple, a \vitllli1
a :play or a 110\.rel \Virh a. flashback- includes and does tlot include the
frame.. .Extraneous coolie i11teri't1des are ar1d are 11ot .part of a serious
play. A ballet it1 an opera does a11d. does not belong to that opera. And
so on.
r11e melody wllicf1 begi11S tl1e last 111oven1ent of I-Iaydn's String Quartet
it1 Eb Nlajor, Opt1s 50 No. J, co11rains an t111equivocal example of a paren-
tt1esis. Tt1e theme is an anteceder1t-consequer1t structure. The antecedent and. rhe last two n1east1res of r:he consequent are given u1 Example 1 34.
Ttle patte11ling of the high.est level is linear, moving up from Eb t<> G
a11d rher1 returning to F in the antecedent phrase and to the tonic, Eb, in the
consequent (graph c). Because of the patterning of the lo\\
er levels, the G
\vhich continues the processes generated in the first fotir meastrres is clearly
not tl1e one in rneasure 5. but: the one in mean1re 9. The middle-level em
(gra:ph 1) consists of a series of thirds, EtT-G, F-Ab, which should conci11ue
G-Bb. But Bb does r1ot follow in r11easure 6, as it should Instead, tl1e
direction of 1nocion is reversed- Inoves do'vn to the D. The fail11re of the.
i1nplied patterning tc) concint1e is ernpha.&ized by the repetition of tl1e paren-
thesis figttre. 1ne rr1elod }' continues ir1 n1east1res 9 and 1 ot where rl1e tension
btiilt up by the d.elay carries tl1e n1otion to the high Eb for ru1 instar1t.
man1 of melodic activity is, d.ef:i11e.d by the octave frorn the
opening u.pbeat Ilb to tl1e Bb ir1 measure 9.
The lowest le el (grapl1 J ) is also li11ear. And again the pattertling is
brol{en ii1 measures 5-8. The concinuacio11 in m.easure 9 is 11ot in dot1bt. And.
the momenn1m. of the .li11ear n1otioti c-arries t l1e lllelod)' to tl1e si:ttl1 degree of
16 P" I 49
ra Altt1ough thee high Eb is har111onized by a subdotnina.nt triad, it is also part of
tl1e oonic melodic triad ( graph 2 ) . For the triadic 1notio11 latent in each of the first
tvto tllirds suggests tonic and su.pertoni.c patterns i11 roo.t position, and, acco.rding to
the probabilities of tonal synta.x, die next men1ber of the series be t he :first
inversior1 oonic triad. (See the discussion of Ex3'mple 114A, graph 3
a11d 114B.)
Material corn d1re1tos autorais
the scale (C) which
mo\ring to the second degree in the antecedent phrase
and to ti1e tonic (harmo1uzed b:y a ! chord) in t'he conseq\1ent, creates a closing gesmre-mucl1 like cl1at of the extension in
Example 132.
From a rhythmic point of vie\v, the goal of che first four measures is
clearly the last four, 11ot the mid.die ones. j\ileasures r- 4 made u,p of two
similar rhytl1111ic J>atterns. A four-measure unit in relation to \Vhich these
two events can be grouped is implied. But n1easur'es 5-8 are even more :pat-
ently divided into two identical evenrs \vruch forrn 110 higher-level rh)rth-
mic sn11cture. The implications of th.e first four measures are
tl1e m1alysis
under the cxam1>le sl1ows, realized in rhe last
oda.c _
! .
\. __ "' -;y: .. __ .,.... ""'" ?---. -_-' _ 1). - =------=----...:-= ..... =--=--_-_-_-_-_-_-_ .........
----------....... -- ...... a-i
Exan1ple 1 34
For all these reasons, \Ve recognize at once that n1easures 5-8 are not
part of tl1e ''real'' melody. And. such ree-0gnirjon is facilitated by the
acter of the pattern and by its Jack of rnorivic (conform.ant) relationship
ro the opening 1)attern. For the opening 1nelody is emphatically conjunct,
but tl1e motive of the parenthesis is pri1narily disjunct-almost like a
thumping bassr mar1ring cin1e. And. tl1e real 111elody is cl1aracterized by goal-
directed motion; but the parenthesis is static. It .is as thotigh a person pur-
posefully striding to\va.rd some objecti\' e should suddenly pause, perforn1 a
dancelike caper, a11d then continue to his
T he need for the paienrl1esis is nor hard to u11derstand. The 111otion of
the first four measures is so apparent and palpable that had the goal been
re-iched without delay-ha<i measure 9 f ollo,,recf .measure 4, as it could have
done the result '\Vould l1ave b-een obvious a11d t1nincerestit1g. If the second
pl1rase o,f cl1e r.eal melod;r is to be felt as an ac'hieved and "vorthwhile goal,
tl1ere rnust be delay. This the parent11esis provides.
Material corn d1roitos autorais
---..__.,,,,_. -w- -......,...-- .........
A Summary Example
By \'\la.;r of re\rie\ving sorne of the theoretical c<JnCCf>tS ar1d analytic
methods cJeveloped in these 'Essays and Explorati<)llS, let us co11si<.ier tl1e
first t\\'enty-one measures of the first movement of Beethoven's Piano Sonata
in Eb iVlajor, Opus 8 ra- '<Les .Aclieux." Ot1r 0011cern \ill be primarily '"'ith
implicative relationships and hierarchic but other kinds of rela-
tionships- ethetic and conformant ones- are also irnport:ant iti our ut1der-
stat1ding and experience of n1usic. A b.rief of these \vill act a
preface to th.e n1ain analysis.
A competent li.stet1er perceives at1d responds to music "\1rith his toml
being. ,.l\ s tonal Stimttli, filtered an<l processed by a selecrii.te auditory ne:rvous
sysre,m, are related to o:ne ano.ther by the patterning procli,rities an.ti habits
of the hun1an rrlind, every facet of bel1avior-ph}rsiological an(l psychological,
motor and n1:enta.l- becon1es attuned to and congruent witl1 tl1e pr<>cess a11d
structure of eve11ts. Throt1gl1 such empathetic idenci.fication, music
is quite literally f ett, and' it can be felt \.Vithout tl1e rnediation of extramusical
concepts or linages. Sucf1 kinestl1etic sen.si11g of the ethos or ch.aracter of a
.n1t1sical event is \Vl1at the term ethetic refers to.
llutnan experience is not cotUE)arttnentalized into n1usical an.ti
n-0nmtJSical, aestJ1etic ac1d. r1onaesthetic, the etl1os of a 1nt1sical evenr will
ofte11 seen1 to an.d suggest so1ne aspect of t he extra,mtisical \vorld ..
The inusical event is felt to b.e sad or joyful, restrained or e,"{uberanrt cal111
or agita.ted, and rh.e And SL1cl1 stt1tes of lJei11g t11ay in turn
be associated '\Vith more specific circun1Stances and ideas: a summer evening's
calm, tl1e gaiety and bustle of a social gathering. lvlo:reover, wl1e11 it explicitly
Material corn d1re1tos autorais
imitates sounds- -.1s in birdcalls, wind and thun.der, and the
like or is established as part .of tl1e tradition of estern tnusical ico11og-
a musical pattern may denote quite specific kinds of eve11ts, actions,
and ideas in the extramusical world.
Although they can perhaps be differentiated iii theory, in practice
ethetic relationships are i11separable fron1 inlplicative and l1ierarcluc ones.
The ethos of a n1usical event, based in part t1pon the 1.nore constant param-
eters of music sucl1 as ren1po, d}1!lan1ics, register, mode; and the like, in-
fl uences and (1ualifies the listener's sense of' ho\\l tl1e event 't\
ill probably
proceed syntactically and formall}' Conversely, the synt actic processes and
for1nal structt.l!'e of an event- \V.hecl1e.r regula:r or sporadic, balanced or
asy1runetrical, i)redictable or capricious-play a crucial role in defining its
ethos. And just as our preliminary opinion of an individual is revised and
modified in tbe light of l1is subsequent behavior, so our and under-
Standing of the character of a musical event is often modified by its use and
variatio11 later in tt1e \vorlc.
Tl1e begu11ung of the Sonar-a ''Les J\die\L"(,, is a case in point. Tl1e first
event-the '
Lebewohl'' motto \<Vhich plays a central ,role in the mo\'l"ement-
has a very special savor ax1tl (Example 1 3 6A). That words can-
not adequately express the sin1ple and unpretentious, yet couc.hlng, sense of
"vistful regret at1d resignation does r1ot gainsay the importance of the ethos
of the rnotto.
Its pa.rcicular ethos is the result of a .con1binacion of Register
and. so11ority, tempo and dyt1amics are obviotisly crt1cial. Had the same
pitch-time relationships been presented in a higl1 register, at a fast tempo,
a11d \Vitl1 forte dynamics, cl1aracter \\-'Oul.d ha.,re been very different. Tl1e
action of these param:eters is complemented b)' rhe patent and regular
n1elodic, .rhytht11ic, and harmonic structt1re of tl1e n1otto-despitc the de-
ceptive cadence closing the event. This cadence further defines t:he ethos of
the motto, bringi11g ''tl1e eternal r1ote of sadness in>
- ar1d perhaps suggesti1:1g
t hat the parring is nor final.
Feeling-tone is also tl1e result of the de\riant use of an archet ypal schema,
horn .fifths: a conventional patterning-\rirtually a formula-used in rhe
eigl1tecnth century by iurural brass itlStrurnents (without valves) to p:lay
authentic ca.deuces. Their occurrence just before tl1e end of the fourth
move1nent of l\1ozart's Symphony No. 39 in Eb Major is typical. As Ex-
ample 1 3 5 sho,ws, they f ollo\v a harmonic progression, II!-V', which
See pp. 6.;.f.
Material corn d1roitos autorais
strongly implies morion to che tonic. The horn filths are the resolution of
this progressio11, a11d rhey prolong and emphasize t he cadential character
of the pas.sage througl1 an alterna.tion of tonic ai1d don1inar1t-sevenrh chords.
Because they 1nelodically and hannonicaily c-adencial, horn-fifth
patterns normally occt.1r i11 closir1g sections or codas of fast movements and,
as .in sympho11y, they are frequently played forte. As a rule. ho\v-
ever, tl1ey are not'. tl1e r11ai.t1 melodic substance, bt1t support a11d reinforce
the cadenrial use of motives tal<e11 from first or second t l1en1e grouJ>S. 111 so
cioing they act as signs of iinpending
The use of horn fif tl1s in the first measures of Beetho\ren's <' Les Adieux''
Sonata is u11usual in al1nost every "''ay. Instead of coming at the end of a
fast mo,ren1en4 they are the l)eginning of a slow i11troducrion; i11stead o.f
being accompanime11tal, rl1ey are the 111ain subsca11,ce; an.d instead of reach-
ing e1npl1aric closure 011 cl1e t:onic
they end in a <lece,ptii;re cadence vvhlch is
mobile and or1-going. Tl1e deviant ltse of this pattern 1101 only
eni.phasizes the i111portance of the n1otto, but contributes considerably to
its pectiliar poigna11cy.
The ethos of cl1e ''Lebe\.\1ohl ' motto, characterized ir1 pare by its il1reroal
relaci<>tisl1ips, st1ggests something of the probable co\1rse of st1bsequent C\Ientc;
in r}1e 111ove1nen.t: it: estahl.isl1es at1 inim:icaJ to tO\.verir1g de11relop-
ments, l1eroic contrasts, and capricious Stlrprises. The aLnost apl10.risric
specificity .and paJpal)ility of the Inotto 1 36A), taken together
ith t.he fa(.'t tl1at it is deft:et.'ted fron1 its to11ic goal, makes its st1bsequent
Material corn d1roitos autorais
ubiquity both appropriate ar1d cor1,ri11cing. s it returns in 11e\v co11textS
and different guises, the \
arious facets of its character arc revealed. It func-
tion in \
aricd form as t he forceful, dri,ing first theme of the Allegro
(136B), as the begiru1ing of the second key area ( 136C), as the basis for the
.fiowirig themes of the closing grot1p ( t 3 6D),
as the sot1rce for the am-
biguous, almost hesita11t linear motio11 of the dcvelopn1ent seccio11 ( 13 6E),
ar1d as t he 111at erial of the coda
wl1cre it occurs in irs p11re arcl1et)rpal
for1n, first i11 .i:ts closing theme ( 136F) a11d t hcr1 in ca.r1.onic imitation ( x 36G).
Etl1eric relationships are 11nqt1estio11ably i1nporta11t-p-articularly iI1

.J l

.a ' I

- -
I r
---- - '""'\ .
...,...,.. .
. .
-- -
, ~ '4 '
; ' T
. ~
- 1:11!1 J. J

~ ~
' ' ' ' . .
...... "

Example 136
For the i. 11ke of con1parison,. these are given as t hey occur in tl1e recapirolarion
where they are in the tonic.
Mater al cor'1 dire tos autora s
some styles and in some compositio11s. And the ''Les Adieux'' Sonata. is, I
thlr1k, one of these. However t though they are notoriot1sl}' easy to discuss
in casual, plausible fashion, ethos and affect .are hard to anal}rze with rigor
a11d precisioxi. Partly, tlus is because la11guage ca1111ot adeqttatel}r ciistingtush
benveen and delineate subtle shades of character and nuances of feeling-
tone. f\ . more ba<tic problem is that, in the absence of an adequate t heory Of
ethetic change and traiisforinatior1 or \''ithot1t a tekl: or progran1 explicit!)'
connecti11g the cl1aracter of earlier events to later ones, it is diffict1lt to explain
the succession of cllantct eristic gesttrres or tl1e sequence of different sorts of
Cor1f orxna11t relationsl1ips
too, are i111portant u1 this 1novement. As
Example t 36 malces cleart all the main n1aterials of the m.oveme11t are related
by" conformance to the '' Lel)e,vohl' > motto. Tl-1e and va.ried returns
of rhe motto 1narlr important poinrs of structural arciculacion. Ar the sai11e
tin1e tl1ey create a col1erence which rends ro lessen the sense of explicit con-
trast in what is. a basically dran1aric form. But the main reasons for t:he per-
vasiveness. of rl1e n1otto are s;rntaccical and in1pLicative.
2 .
T'he hor11 fifths which ope11 t.his mo\rement are as clear an example of a
established scherr1a as one can hope to fir1d. The r>atcerl'l is specified
melociicall}r and harmo11ica.ll}" and, \Vith some,vh,lt tnore lati-
tt1de, .rl1)rthrnically. We have no dot1l)t as to 11ow it should sound. Conse-
quet1tly, \\re are acutely avv-are tha,e the lo\v C t1sed to ilarmonize tl1e rni11or
sLxth (G-Eb) at the beginnitlg of measure 1 is an aberra.t1t in1position, a11d
' ve presu1ne that the corre.ct, archetypal version of tl1e formula \tVi11 occur
la.ter i11 tl1e n1ovement. !-Iowever, tl1ot1gh it appears in a rnyriad of ,rariar1ts,
the schen1a is i1ot preset1ted i11 its pt1re, horn-fifths form until the middle of
the coda. Approp,riacely rlus archetypal versior1 occurs im.mediatel)r
ing what can be consid ..ered tl1e ''solt1t:iot1,' of the C-n1inor problet11, tl1e de-
ceptive cader1ce, gave rise to tl1e implicati\re r elario11sllip il1 the firsc
Io music, and parti CtlL1.rly in instrt1mentl'll conlpo itio11s, t l1e con11ecrion between
successive ethetic staees is 1.,robabl)' largely con\rel1tior1al. Tltis does not tl'1ean, h-0'\'-
ever, that cha.ra.cterization and feelit1g-tone are less J)ers-unsive and .captivating. But it
does inean that impomnt work 1nust be done h1 the area of St )rl e a11al) sis lJe:fore sucl1
.relationships cati he e.Ypln:U1ed.
Material corn d1re1tos autorais
Because the scl1em_a is so \Vell and specific in its pattern, ti1e
effect of the alien, C-mino.r harmon,y is particularly powerful. This is no
mere deceptive cadence; it strikes us as expressly anon1alous.
For thi.s reason,
" re se:nse, thoug.h perhaps only intuitively, tl1at it is significant. And so it is.
The implications of the inrrusive C-minor harmony reverberate throughot1t
the movement. Let us begin by considering some of th.ese.
I) C-minor har1n-0ny has an importfillt etf ect: i1pon t'he n1elodic ten-
dency of the Eb which it harmonizes. For the linear morion generated by the
descent f ron1 G no'"' has less tendency to stop on tl1e Eb. \1Vhat the listener
''kno,vs'' ought ro have been a sta.ble tonic is experienced as a. mobile
thirdc} possibly implyi11g motio11 '"'ithin sl1bn1ediant harmony to C, or. im-
plying motion co the leading-rone
D. The first of these possibilities is
realized in the closing th.em.e version of the pattern, where the ''Lebewo.hl''
motto is followed by a skip t o t.he note (C) a th.irtl .below (Exa1nple 137 ).

--,:---- - .... .

. ..
. '
The tendency of the Eb ro move to D is the result of harmonic as well
as melodic relationships. The syntax of tonal harniony makes it probable
that a I- V- VI progression such as this will to tlie leading tone, har-
monized by a dominant chord, and then baclc to t:he tonic. Such a
sion is shown in Example 138.
Here a.n intel"esting psychological paradox aris_es-one wl1ich l c a11 describe,
but not really explain. While we JtnfY'UJ that th.e deceptive cadence is abetranr and
in tbi:s sense l1nexpected, we be at teas.t -as surprised- e.,.-ren taken aback-if the
fu:st b-eat of m.easure z were an nnembellished tonic triad. 111 other words, though we conscious of how the sche-i11a should go, we -are also aware that a tl obvious and
predictable aat:l1emic cadence ic; improbable at the very l>eginning of a composition.
In the same 'vay t we botl1 expect and donit that the cadential partero w.hich
begins th.e movement of Brahms' Violin Sonata in G Maj or (Example r1 7) \Vill
move to the ronic at d1e beginning of the second measure.
Material corn d1roitos autorais


TI1e in1plie.d r11otio11 fron1 Eb to D back to Eb is realized provisionally
"'' l1e11 tl1e prolonge,d Eb (see belo\-v) inoves to D and back to Eb in 111eaSlire
r .2 139A), and. n1ore forceft1lly in rhe tl1ird measure of the Allegro
t he111e (Ext1111ple I 39:B) \Vlucl1 is a varied versio,n of che earlier pattef'rling.
- """'
.Exan1ple 139
Bur the in:11)lied cadentia1 progression does not occur in the p
roper register
ar1d \Vitl1 an u11.equivoctlly end-accented rl1yythn) t1ntll the pe11u.ltimate
cadence of the coda (Exan11)le 140). For implications are specific, 11ot only
"vith respect to schema, bu.t also to regjsrer, l1ar n1011}' '" a11d rl1ythm.
c ' -
- .
, . }fr .. . I'

Material corn direitos autorais
1) The proximate consequet1ce of the imposition of submediate (C-
minor) harmony at the ;end of the horn-filths formula is the prolongation
which follows. TI1e i>rolongatic)11 is important both because in this case
it is itself and because it pro,res to be a basis f.or the Allegro
theme wt1ic'h begins th.e exposition section of the sonata.
The prolongation begi11s witl1 the slrip from Eb to Ab. When this gap
is followed by G, conjt1nct continuation to the conic is im.plied (Example
141, graph 1). The fill does not follo\v directly, but comes in
measures 7 and 8. TI1at this a,na1ysis is not is by the hartnoni-
ution of tl1e G in measure 7 (grapl1 za) and by the fact tlar it, coo, is
preceded by an Ab upbeat: Beethovei1 specifically connects the G at the
beginning .of measure 3 to th.e one at the beginnit1g of measure 7 :by using
essentially the same l1armony in both Thougi1 the G in measure 7
does n1ove to Eb as implied, the cade.nce is again deceptive- and in the
\Vrong m.ode as \vell. Consequentl)' the realization is only provisional.
Instead of motion to Eb tl1e G in me-asure 3, the gap :figure
(x) is repeated (x') beginning on G. Tliis repetition. generates furtl1er im-
plications. Like the first statement of the figure, the second also implies de-
scending fill. A11d this implicacio.n is realized \Vhen rhe C moves to B in
measure 4, and through Bf;r and Ab to th.e G in measure 7 (graph 2) .
the C in meaSttre 3 is reached, the melod.ic 111orion is clearly triadic on. a
somewhat higher level (graph 3) . The high Eb implied by this patterning
is realized aln1ost i1nmedia;tely. The Eb clos-es out the triadic mocio.n b-oth
because of the satisfaction of occave completion and because, as the analysis:
under Example 141 sho,vs, it is the accented goal of both lo\ver and higher
rhythmic groupings.
Because it involves disjunct motio11, tl1e tria.dic pa.tterning is also impli- The first gaps, wl1ich are filled as st1own ll.1 graphs 1 and z:, have
fi Because this ftatmony is tlllttsnal, the confo.n11ant relationship see111s to be in-
The fourth, Eb t-0 Ab, migh.c be thot_ight t-0 imply tri3dic continuation to rl1e C
in rneasure 3. However, thoU;gh t11e C dGes follo,\.
the implication is \.veak. Because
the; C-minor harmony is strong and. the Ab is onl)r a sixtteenth-note, the .Ab tends to
be understood as au ornamental tone. lending co the G and irnplyin.g co11junct fill
rather d:ian triadic continuatiot1.
1 That originality in art does not ell.tail the disco"'el)' of novel, let alone unique,
synmctical means or even archetypes is in.d.i.cated by tl1e fact a sequential gap-iill
pattern very similar to the one Beethoven e.mploys here occurs in the first measures of
Schuben' s song, ' 'Das Wan.d.ern'' (Exainple 79).
Material corn dirc1tos autorais
' .
' - ..
r .Ii -



..., ,


' ..
r .
, ,

' '

1 ...

.. _

I ill
._ .. Moot -
I ~
- '

I l

,. -

' '
Jll 111
~ .

t i-

ii 11'"
Material corn d1rc1tos autora1s
2-5 I
already been discussed. The third one, from C to Eb, implies descending
morion to D (graph s) and is panicularly important i1ot onl)r because Eb
is a melodic and rl1ytlunic goal, but because it reir1f, tl1ougl1 an octave
highe.r, the irr1plicacions generated by the linear motion and deceptive
cadence of the .first n.vo measures (graph 6) . These melodic in1plicacions
are strongly support:ed by tl1e ht1r111011y. Because tlie Eb comes on a six-.four
chord '\vhose appoggia:tura tones 11ormally resol\
e by step, the most probable
note to follo\v is D.
The implied D could have folloi.ved direcd.y, as S:ho-vvn in Example 142,
or could l1ave been realized in some v\ray. One of these Beetl1ove11 em-
ploys \\
hen the triadic motion is repeated a. tllird lligher in measures 8- 1 i
(Exa111ple 141 ). He n1akes the continuation seqt1ential, so the gap from Eb
to Gb is filled by the Fb in the ne>.. i: n1easure, and tl1en 1noves t:l'lrol.1gh Eb
to D (grapl1 4).
Botl1 the earlier motion (graphs 3 and 5) and the
la.ter o,ne (graphs 3a and 4) con\rerge 011 the Eb and move together ro the
D in measure r 2.
Descending motion does in fact follow tl1e Eb in measure 4 Bl1t ir is
not by step. The D is conspicuous by its absence. The gap pme.rnmg is
emphasized agai11 by tl1e skip of a sixth at the begiru1ing of tl1e
again the Dis The implied motion fro.m Eb to Dis not realized until
the close of this section of the introdtlctiotl-in the mO\"Cinent from measure
1 i to 1 z (Example 141, graph 5). Not only are rl1e registral relationships-
the ocn1ve Eb-tl1e same in measure l t as il1 measure 4, but the i11tertrallic
relacionslups are sin1ilar: in both places Eb is a sixth a,bove tl\e bass, first as
part of a C-minor six-four chord and then as part of an Eb-minor triad in
the first inversion. (graph 5a). The octave Eb in measure 11 is the result of
s The earlier. less important gap fr-0r11 Bb to Eb is filled b}' the secondary voice
in gnpl14,a.
Material corn direitos autorais





I ,
'- '



-' t- ,_, '
' '

_ .....

.... ..




..... , '




I .. - -..1 ....
. -


l l'9
' -


' '

. ..

,._ .






' '
' '



1 ,fj



. D

' '
Material con1 d1reitos autora1s
the division of the melodic line \.Vhicl1 is created by the triadic motion in
measures 2-4. The lo\ver Eb wluch closes the motto (and its varied repetition.
in n1easures 7 and 8) is not reall}" displaced into cl1e upper octave, bur per-
sisrs_, moving co the D in n1easure 1 1 (graph 6) .
Like the patterrlS '\vhich generate tl1em, iri1plicatiotlS are hierarciuc. For
example, tl1e in1plications generated by the ga:p-fiJl patterns x and though
not immedia,tely realized, are essentially low-le\
el-in the foreground (graphs
1 and i). TI1eir main pitches give rise to a higher level triadic structure
(graph 3). 011 a still tugher str.u.ctural level, tl1e prolonged Eb and Gb, "\<vhicl1
are srrocrurally equivalent, combine to form a long-range triadic pattern
implying a: B&, actualized in measures 11 and .i1 (Example 143) . Supporting
this supposition is the 1r1anif est octa\
e morion. tl'lat \Vas implicit in the lower-
level triadic motion.
3) One of the most ch.aracteristic sequences of sounds in the first move-
1nent of the t .
Les Adieux' ' Sonata is tluit which begins the Allegro theme
(Example 14-4-A)-a cl1ord progression fron1 an Ab-major triad to a. G-major
one ( n). T he relation.ship is strilcing both because it is tl1e only c,ommoa har-
monic progression in 'vhicl1 fl.'.\' O major triads are c.on.11ected by half-step
m.otion in all voices, and because i11 this case all the '
oices actually move in
parallel. fashion ..
As it occurs at the beginning of the Allegrt>, the progression is equivocal.
Usually it is understood as a progression f ron1 V1 to V in tl1e i11inor mode.
Here it would be in C minor ( Or less frequently. t'h.e first chord
n1ight function as a sixth. In tl1e latter c:aset the bass would move
t1p a whole step so that the f.ollowing chord (G major) "vould be in the six-
four position ( 144C). As it occurs it1 measure 17, however, the Ab-major
chord has been so firmly established b)r preceding evencs as the subdominant
of Eb major that a in C minor seems out of the question partic-
ularly since such an ai1alysis is not supPorted by \vl1at follows.
ll AC&, =-
- 5 - "
- -
Exa.1nple 144
Material corn direitos autorais
This arnbigi1ity is Stlpported by t.h.e f acr that n1elodic and rhythnrlc
processes are not co11gruent. T11e melodic c-0nn.ectio11 between tl1e t\VO cho.rds
is stron.g-Il1e stepwise parallel motion is uru1listal{able and is reinforced
t)y its subsequent conri:t1uation .in measure 1 8. In t he foreground,. there seems
to t>e f'l'arent linear motion from Ab (n1. 17) to D (m. 19), and bacll to Ab
(m. 20). Bt1r the rhychmic con.t1ec.Lior1 bet\tlee11 tl1.e two chords is te11ous.
For the fourth .beat of measure 17 is unquestionablyr t l1e beginning of ar1
anapest r.hytl1m \\' l1ich reaches rer11poraf}r closure in me41sure .19, as the anal-
ysis under Example I 44A s'ho\VS. I""iowe,rer, thot1gh the fourt:l"1 beat of mea-
s11re 17 is 111arked. bec<1use it js the beginning of a rh ythn1ic group, its n1etric
position is \Veale. Co.nseq\1e11cly, fro1n a melodic point of v i e v ~ the bass (B)
seems like a passit1g-to11e bet\veen ,C and the Bi, ar the beginning of m.ea-
sure 18.
T he proximate co11Sequence of this set of relationships is, as we shall s e e ~
that tl1e Ab chord is pri111arily related not to the phrase '\ivhich im:mediately"
follows, bur to the dorninru.1t:-to11ic progression at th.e end of the tl1eme, in
rne.asLtres z.o and i r. The more remote consequences are to be foi1nd at the
beginning of the development sect.ion and it1 the coda.
After a chord on the domiruu1t of Eb major, tl1e development section
conrint1es witl1 the Ab-major to G-r11a)or relationship (Exarnple 145A) . Bt1t

Example 145
Material corn d1roitos autorais
now the progression moves to;. and is understood as being in, C minor-which
appropriately enough is the main key of the development. But here too, th.e
rnocion is quite uoiform and continuous .rather than cade11tial. '\Vbat seems
to be called for is a cade11ce in\rolving the Ab to G, chord. progression which
can b.e un.equi1roca1Iy interpreted in the Eb major; and ideally one which
n1oves through a V chord progression.
And tl11s is preci9ely what occu.t'S at the crucial cadence of the coda
(Example 1.4.; B). There, the G-major triacI is as a passi11g cl1ord-a
possibility iI1 the Allegro theme-\.vhich moves to 1: in Eb n1ajor. TI1e great
imp<>rtance of the cadence is sho'\vn in the fact that follo,ving it, the ' ' Lebe--
ivohl'' motto is presented f 01 the first tin1e i11 ics archetypal, l1orn-fifth_s form
( meas11res r 97-199). With this cadence che ''problem'' generated b:y the
deceptive cadence in measure 2 is literall}r
4) Tl1e develop111e11t section b:egins and ends i11 C mirior and in tllis
respect is related to the deceptive close of the horn-fifths pattern in measure 2
(Example :141 ). But the seco11d deceptive cade11co V
to Vl in Eb-fronl
measlu:e 7 to 8 also has consequer1ces in th.e development. After a number of
measures \'7'11ich are meJodically, rhythmically, and harmonically ambigt1ous,
a h:armony which we realize (in retr,ospect) an augmented..Jsixch chord-
in Eb minor- leads to a clear do111inant-sevenrl1 cl1ord. in meas,ure 87
(E.xample 146).
-- .
Here, for a brief moment, the relarionslup betw'een the deceptive cadence
in minor and the l1alf-step progression of t'h.e Allegro seems to be n1ade
explicit. The motion of tl1e dominant of Eb minor to, Cb maj or in measure 90
is the same as that of the dec,epti\re cadence at measure 8 (Exarnple 147,
graph 1 )
and the re,rerse motion, .. f:rom the Cb-major triad to the Bb-major
one is the same as th.e half-step progression of tl1e Allegro th.e,m.e (graph 2.).
Material corn direitos autorais
E:.-<a1nple 147
There is a c:o:ntemplacive, itnprovisatory quality abouc the slow intro(iuc-
tio11. Tl1e "quasi fan.tasian feeling is the .result of a. lacl<. of strongly processive
relationships between successive foreground .events. (Note agai11 tl1e inti-
mate. co11nection benveen ethetic and implicative relationsl1ips-and hier-
a.rchic ones as <t:vell. ) Patterns rend ro be qture closed, or, if they are not so,
tl1e syntaccic connections beN
een them are sig1rificantly attenuated. Conse-
qt1eritl though there is l1jerarchic structuring \\ritllli.1 lo\\r-level patternings,
ther.e is little betwee11 them. In. a sense the is a potential hierarcl1y
rather an acrua.lized on.e. Yet the 111otion is goal-directed) nor
The '(Lebe,vohl
motto with '\vlucl1 tl1e introiiu.ccion begins is, as em-
phasized earlier, a palpable, '\vell-defined pattern. The 111elodic 11loti:o11 from
third to ro1uc
the harmonic pla11 frorn tonic to dorninanc to (possible) tonic,
and the limits specified by tl1e scl1en1a itself-all n1ake us a'\vare tl1at the pat-
tern is at least complete. Though not f orcef uUy closed; the
pivote<i rhythmic patt ern, J J j J , is end-accented and nor i1iarkedly
,- "-'l -
' - 7
on-going (Example 148.A, level r) . T he group is mobile and implicative be-
cause of the powerful effect of the decepti,re cade11ce, ru.1d because at the
beginning of the 1no\ren1e11t we i1.atuntll;r look forward to n1or.e mt1sic.
of the conseqt1ences of the deceptive cad.ence have already been
co11sidered. One more iwill concern us here. The deflection from a clearly
implied tonic establishes a :particularly powerful harmonic goal - one re-
generated in measures 7 and 8 by a second decept ive cadence: an unequivocal
authentic cadence i 11 the tonic, Eb major. The '' need'' for such a cadence
acts Jike a magnetic pole, gi\ring direction to the Ada.gio even as it appears
Material corn d1re1tos autorais
to be ctiriously inconclt1sive and hesitant. Ti1e tonic goal creates tl1e am-
bience within ' vhich the ensuing e,1.ents are underStood; the first twenty
n1easures have an .authentic cadence in Eb as their primary and principal goal.
Becat1se the patterning of tl1e motto is q11ite closed. and because no har-
mo.tuc, melodic. or rf-1ytl1nlic process connects it to the prolongation"' tl1e
rela.tionship between them is essentiall }' additive. The prolongation follows
the 1notto bt1r is not implied b)T and does nor follow f1om the motto. For
these reasons, tl1e motto tends to be un.derstood as a discrete entity, connected
not so much wicl1 tl1e measures '\\rrucl1 con1e directly after it as with its
varied repetition in measures 7 and 8.
The first two 1neasures of th.e prolongation create a clearly end-accented,
ar1apest rhytl1mic group on the }}rimar)r (I) level (Exan1ple z48A). Both
because the B is implied by the seco11d gap-fill patterning 3} and
because the dominant l1acnno11y is the goal of the preceding harmonic pro-
gression (C minor:

closure is stron.g. But this

point of relative stability and arrival is imn1ediately \veakened by tl1e ecl10
repetition of tl1e a.ccented part of the pattern; th.e masculine ending is made
feminine (level r, measures 4-5).

J . ..
pa : 4_

-"' -
0 .

ll . St
q _ 2 ;
---'' '
;1 l ..,1 ,,
Example 148
& Going further, one migl1t r easonably suggest that the whol.e mo,rement has as its
goal an authe:nric cadence \Titb. the Eb above middle C io the sop.rano, rea,ched on a
clearly a.rticularod end-accented rh}'thn1 .. An<i su.cl1 a caden.ce occurs only at n1easure
243, n.velve measures before the end Of the moven1ent. See Exa1nple 140.
Material corn d1roitos autorais
The echo ''opens u.p'' tl1e rhytl1mic strtJt .. 'tt.tre of the prolongation, but
mobilit}r is a.clueved at the ,expense of i1nplicati\1e con1.'.leccion. Nlelodically,
the echo separates tl1e end of ri1e tnain p{lrt: o.f tl1e prolongatio11 (measure
4) from its implied conri11nacio11 il1 111easu.res 6 and 7 (grapl1s 2 and 3) . Rhyth-
y and harn1onicaJly, t l1e echo is onl)r \\'eakly co11necced to wl1at foll.o\VS.
Re,giste.r helps to relate rl1e t V\' O as docs r:he i--rescetido vvhich Beetl1ovet1
calls for. evertheless, tl1e patterr1 beginning on rl1e last cighth-rlote of i11ea-
sure 5 is not a goal of the 1)recc<ling n1easures. Conseque11tly. des.pite the
sforzando, it is '\Veale on the second rhyrhinic le\rel ( 2) , bt1 t as anotl1er after-
beat, not as at1 a1ttcrt1sis.
Tl1e .rett1r11 ro tl1e 101\rer 0<,i:ave in n1easure 6 is 11ot markedl)r processive,
any more than the precedi11g rise to tl1e echo was. 'fl1e .I0'\\
er Bb is not
in1ptied b)r, and is nt>t strot1gly coru1ecte(l \.vitl1, t'he h.igh Bb. The Cl'ld o.f
i11eastll'e ,6 rela.tes back to the earlier patterns and to tl'le :first state-
me11t of the n1otto, connecting it "virl1 its repetition in 1neasure 7. Although
the .n1elodic n1otion in 1r1eaSt1r.e 6 is coward the fol lo\vin.g G, tl1e r l1yth.111ic
group is nor strongly anacrt1stic. For the crescendo to a11d the sforzando on
the fi1-st beat Of 111east1re 6 tend to tie the\ving \\reak beats to tl1e accent\
rna1cing th.e group li1to a fused trocl1ee (level 1). It1 other Virords, melodic
organization and rhythmic are l10t congi'l.1e11t at this poirit.
If this is correct, it vvould seem t hat, fron1 a n1elodi c poi11t of
view t he l1igii. Bb is left .in n1id air- witllout conr1ectio11 \Aritl'l wl't;11:
directl}r follows. Its con11ection is t1ot \\rith tl'te rnocion tl1rough A to G in
the lower thot1gh tllis acts as a 1cincl of l;rovisional realiiatio.n. anc.i
a clt1e to irs probable motion. Irs patterni11g is register-specific; it is cor1-
nected witl1 tf1e B in measttre ao (grapl1 4)
\\"l1ere it inoves to rl1e G, which
is even 111ore strongly implied b,y the b in measure 1 7.
In the .first six n1easures, ,processive bonds appear, .for the most part,
attentiated.. The nonin1,plicative connectio11 l)et\veen tt1e n1-0tto ar1d
prolonga.tion co111es after it, the additive rel_atio1JShip berwee11 the
cadence on G a:n.d its echo
tl1e weak progressio,11 fro111 the ecl10 to the har-
n"1oriies ,:vhicl1 foll,O\'-' it, and t he a111big11ity of n1otion back ro the nlotto-
rhese are to, and complemented by, wi1at migltt 'be c..-a.lled a counter-
cu11J1ilative 11.ierarchic strt1ctttre. 111 a. cun1ulaci\re stru.crtire
col1esive, srror1gl}'
bonded, hierarchic stn1ctures are created wl1en t1nits of equal length ( e.g.
4 + 4, as in an anrececient-conseqt1ent phrase) are: co111b.ined, or \vl1er1 sh<)rter
groups precede a longer one ( c. g., 1 + l + 2, as in a bar-f orrn) . These 111ea-
Slires exl1ibit tl1e opposite l<ind of scrt1ctur.e, rnovi11g fro1n longer to shorter
letlf,Jths ( Exan111le r 48B).
Material corn d1roitos autorais
The second sL'< measures are similar to the first in basic phrase strtlcture.
Yet the end, th.ese ineasures are n1ucl1 more markedly 11rocessive tha11
their earlier counterparts, bec-ause of the strOl1g se11Se of goal-directed motion
created by tl1e sequence iri 9-1 l. rfl1e passage is s11btly cotnplex
a,nd \VOrtl1 anal}rzing in sotne dett:til (Exar11 ple 149).
Harmonically, rhe main sequential motion, \Vhlch en1ploys a version of
fourtl1-species counterpoit1t, begi11s wich ti1e to t11easttre IO (gra:pl1 t ),
but this progressi-011 ca.n be traced. back t:o measure 9, wl1ere the ap})lied domi-
11ant (V / \ 71-'VI) relationship is fust presei1ted. .lelodicall.y, tl'le sequence
contains tllfee interrelated patterni.tlgS. The first
defined b)r the llal'monic
and rhythmic srri.1cture, co11sists of three ' ' aried statements of a
111otive (grapl1 2) . But this patter11 is bile,1el-macle up of the two linear
strand.s sl10\.'\rn in grapl1 3 and 3 a. At tl1e s.a1ne time, the upbeat skip of a
third suggests the possibiiit)" of a gap-fill p-atterning (graph 4). Each of tliese
patternings moves tl1ror1gh Eb to the of measure r 2, making the D
an elnphatic point of arrival.
Thottgh the seq11ence does 0011tir1t1e, in .another sense it ends wit11 t'he
third eigh:}Il-note of measure r i, where a re\
etsal takes place. Harmonically,
the first inversion Eb-minor triad breaks tl1e previously establisl1ed pattern-
even though the ba$ as before. l\'1elotiically, tl1ere is an i11teresring
paradox: l:>ecause the intervallic relatiorlSlups are continued (as the Cb moves
to Eb, at the end of 1neasure 11 ), "'' e are confident that tl1e sequence is 0\
For instead. of coming ()U an acce11t as it \.vould have done 11"t1d the pattern
been rhythmically regular, the Eb con1es 0 11 cl1e last of the mea-
sr.tre. 1\ s a result, the Cb is t1ndersroo(i in retrospect as an elision: it acts both
as the end of the previous r11otive and as the beginning of a new ot1e. Be-
cause it ''shou1d
' l1ave bcen an accented i1ote, tl1e Eb re.ceives special psycl10*
logical en1ph.asis. Beetho\re11 ''aclcno\vled.gesn this change of placement and
of function. by stipulati11g tl1at tl1e E . be played lot1der than the preceding
a11d following 11ores. Thus sr.ressed, the Eb is a particttlarl}r strong upbeat.
Both for this reason and be.cause it is t1'1e goal of n1uch. of the previous
melodic patreini11g (also see Example 141, graphs 5 and 6), the D is a par-
ticularly he-J\'}' do'\>
Though it is an en1phatic do\v'1. 1beat, the D in measure 1 .z is very
1nobile, for a numt>er of reaso11s,. l{hyrl1micaily, the motion from measure r r
I 2 is end-accented on the lo'\.vest level-as the nlorion frorn measure 6 1to
7 '\Vas nc>t. But 011 the next level ( 2), tl1e gr<>UJ>,. taken as a \;\rl1olet
is ''realc: a high-level afterbeat. T o a considerable extent this is the
ac.cent is i1arn1onized by an unstable second-inversion dominant-seventh
Material corn d1ro1tos autorais
chord, Finally, tl1ot1gl1 tl1e meloclic-rl1yrl111uc organization of the ttpper
''oices is subtly, but sig11ificantly changed, the bass lir1e moves as before; and,
since irs motion is quite unifortn (graph 5), co11tinuat.ion is in1plied- and
I '
1/fl1 J/J1,
le 5 . . . .. !!l __ -_ '!l ,
.. r ------ ""'l:T_.------IIP. - --
, _-_
\ .... l 2
L. M "'''
'----------------.-...--- _
"' '
u w :
' JL I :
, .
. , I
, .

t U' r -J\V \ \l'J\ \( ill - It, __:.'-'r"-"----1
... _ _:. - 'ii. TI 5 ;;._ 1 .! " - -
, l t.l J - ,._. :!0;?, ::::w -==
,,----z -- ...:! \-.=: ,'! ;,__,,..J, I
.. -- _,:s , I '-
" ' 0
" .. "l
> e -
Ex.a111ple 149
If the motiot1 at tl1e e11d of chis seccion is 1nore 1)atently' processive tl1a11
that of the preceding one (n1easures r- 6)., the niotion at the beginning is, if
a11ythlt1g, less so. Because of tl1e Bb upbeat in the bass in measure 7
the full
domin.ant-se,ienth harmony, anc} the contrary motion in the ot1ter voices,
Material corn direitos autorais
clomue at the end of rhis variant of the morto is considerably more f orcefuJ
than it was in the first version of tl1e motive. the
separa.cion between tl1e n1-0tto and its prolo11gation is emphasized b:y parallel
skips i11 all \.
0ice.s.. Despite rhe dor11inant barn1ony \.vhich precedes it; t:lte
second sra.ternent of the n1otto has the aura o.f a fresh begittning-partly be-
cause the striking dimin.ished-se\1enrl1 cl1ord \\
hicl1 har1nonizes the first note
d<:>es not follo"\.v fron1 tr1e do111inant cl1ord, but is co11t1ccted with cl1e b-a.r-
n1ony at the beginning of measure 3 . . As a res11lt
there is a feeling that the
''Lebewohl't n1otto re:rurns not becaltse it is i1nplied by the prolongation that
precedes it, but because tl1e previous state.me11t of the motto was deflected
fro1n its goal. It '"vas only a ,provisional realization. Tt1e repeticioc1 in 111ea-
sures 7 and 8 is, so to speak, a second ''try'' at reaching a caden_ce in Eb; and
it too is aborciv e.
Eve.n t1'1ougl1 tl1e prolo11gation u1 measures 3-6 in
tervenes, the second
staten1ent of the rnotto is understood as being rel.ated to, even sublimlnall)'
grouped '\vith, the first. It is this relatioi1ship of variecl repetition at the
pitch-level i;:vhich rise to \Vhar l earlier r:eferred to as potential hier-
arch)l' For, to tl1e extent tl1a:t tl1e tvvo stateinents of tl1e motto gro11p to-
get;her- are felt to constitu.te a si11gle ever1t-they imply the possibility Of a
ba,r-form orga11izarion: :a +1 ++ This Of structure suggesrs itse.lf be-
cause, as "'' e 11ave seen tin1e and time again in the course of this study, like
patterns tend to in1ply a more e>.."tensive event to which both can be related.
The possibility of such grouping is indicated by the dotted li11es of level 1
i11 ti1e rhythn1ic :u1alysis of R'Yalnples 148 and i.49.
The rnro prolongations are also related to one another, so that tl1eir
combined high-level motion, Eb to G
, implies the Bb so prominent in mea-
sures ;z, 1 and 12 (Example 14.3) . It als-0 follows from this analysis that the
motto's main motion, doubled at the <)Ct:a\re by motion through the triad
(Example i41 ), is to the passage beginning with the D in rneasure 12.
And this hypothesis is suppo:rted by tl1e constructiot1 of t:l1e Allegro th.eme
whicl\ the rtvo events .
.i\ileasures 12-t 6 are quite straightforward fi,nd, in conrrast to pre-
cedes: tl1e1n, n1arllfestly goal-directed (Exainple 150). J\4elodically, th,e mid-
dle-le\rel motion is a diminished fifth, from D to Ab, '\Vhich implies the G
reali.zed in measure 1 7 (graph 1). The foregroun.d scale-line implies co:i:1cin-
uation to Bb, because conjunct motion begun on a "' eal{beat rends to con-
ti11ue o.x1 to the next do\vnbea.t. Thti-s tl1e F,s in mefiliure 13 and 14 .are con-
Material corn d1ro1tos autorais
rinuarions of, and appropriate goals for, the linear patterns wlucl1 lea<i to
tl1em. But becarise they do not co11cint1e the preceding linear 111otions, the
J\ b's i11 111ea.Strres rs and i 6 are 11ot 5''ltisfact(Jry goals. In r11easures 19 anci 20
a, compressed ' 'e.tsio11 of linear JI1<>tio11 (gra1:>h 3) leads to tl1e implied Bb
(graph .2). In additio.11 to tl1e convergence of these co11jt1r1c.'t pa.tternings, rl1e
B.b ''left 11anging' in 6 also analyzed as impl}ting the Bb in
n1easure 1(). rfhLlS tftree implicati,re pattern.U1gs C(>nverge 011 the penultimate
no'te of th.e Allegro then1e.
\ "" - ---------------..---...
__ ...... ._. - - _. - -- ..._,),. --- _ _ ___ ii ___ ...,1
:-#- ', '
. '
' '
"' -- . J . ... . - 2 __ , .
2 . I

,..._ = ------
Example 150
Rl1yth111ically measures r 2- 16 fu11ccion as a11 ar1acrusis to the
botl1 on the le,rel and, ii1 i:l1e last two n1eastires, on lo\\rer levels as '\iVell.
Here tl1e patt:er11 of rep:etition u1 the n1orto ati.d its reSt.'ltc-
ment seem to be made 111anlfest. A nvo-beat n1otive (x) which is al1nost a11
inversio11 of tl1e n1otto is repeated (x1') -implying that a lo11ger, fottr- be-at
event will follo\V. Instead, however, a \
aried \rersion of the moti\re (y) is
state.d' a third higher and tl1en repeated (y'). T he two pairs combine to forrr1
a lrigl1er-level repetition, ( 1 + 1) + ( :r + 1), vv:hi.cl1 te11ds to, itrrply a four-
measure group. ''Tends," beca1ise ' vl1e11 t'he Ab's ir1 111eastire 16 con1e 011 weak
beats, the pattern i ' prever1te;d from reachi11g sarisfactory closure. Tl.1e
beats becor11e upbeats wJtich lead to t he Ab that begitis th.e Allegro .. In short,
like the repeticio11 of the motto, tl1ougl1 rnore explicitly, rhis passage is a
pote11tial bar-fon11, and cf.1e co.rnpelling force of cl1e Allegro tl1e1ne arises in
part out of the fact it is the realization of the 11eed for a collesi" e fot1r-
n1easure 1nelodic-rl1)rtl1111ic-harmorric event.
Material corn d1re1tos autorais
The driving energy of the theme is also a result of rl1e compres-
sior1 and unifi.catior1 of elements that \Vere pre iou ly only Loosely co1mected,.
Tl1c ' Lebe\vohl
inotto tlnd the last sectio11 of tl1e Adagio are to-
gct11cr to for1n a single evc11t-r:1.1e Altegro th.cn1e. As Example I 51 shows, is a clear cc>nforma11t _relationship l>et\veer1 tl1e motto, together '\vith its
exte11sio.n. to m.easure 12, an.d the d.escendir1g motio11 o.f t'he Allegro them.e.
TJ1e sirnilarity bct'\vecn the end of the slo\iv ir1trodt1ccjon (111easures 12-16)
a11d tl1e last part of the theme is no less suiJ<ing .
. .. . ''
-- l..... t.



.....___... -

@ @


:;i '



- -
- -


f a\

k ....
- -
- -


' , --
- ''


. ._, .
. -




Example 15 1
The patter11ing of cl1e is also sin1ilar. The relationship between the
bass-ljne at the end of the slo\v introductior1 and the end of the Allegro
then1c is ob,"iot1s (Example 15 1) . The co11formant rel ationship between the
bass-li11e at the beginrilng of the Ad'agio and that at t:J1e beginni11g of the
A.l.legro is less so, but, as Example 1 s 2 s'ho\.vs, ir exists. It is not
prir11aril )' that both pattcr11s are cltrornatic descending li n.cs, l)ut that in e'Jcl1
case tl1c m,ain pc>inc of strucn1ral a.rciculi'l'tio11 ( n1east1res 1 i a 11d 19) occurs on
a do111ina11t-sevci1tl1 cl1ord it1 second invcrsio.r1, \vicl1 D in the soprano. The
co1npacti11g synrl1esis is .not r11erel;r '.vithin the bass and soprano separately,
but between tl1en1. In the Adagio the descendir1g ua. accompanied the
Mater al corvi dire tos autora s
Example 15 2
}Jrolo11gation, 11ot the motto. In the Allegro theme, the bass-line derived
f rotn the prolongation pattern is
as it were, fused witl1, almost imposed
tl1e melodic line of the mottO. Tl1e i11tensity of t he opening of the Allegro
is tl1ereby it1creased co11siclernbly.
Rl'lythnucally tl1e Allegro theme is a single e\rent on the l1ighest sr.ruc-
t:ural le\rel {Example r 5 3, le'\rel 3) . The dotced half-r1ore, Ab, is both the goal
of the rhjrtlmtlc events '\vhicl1 inm1ediately precede it an.d. t11e accented
beginnirig of the new patter11ing. It is se1)atated out, however, as an acce11t
on rl1e highest level: that is. it is relat not to tl1e iambic group, J'J f J ,
\ -\ii I
'-- _,
_ t z : a
which directly follows it, or e' ren to t he varied ' rersio.n of the motto, but ro
the \vh.ole "' real\: group that unites it ro t l1e accented G at the e1Jd of the
theme (me.asur.e 1 r ) .
-, ''

,, __ ,,I
' - ,,,_,_ .... , \.Yr ='' \ .... I
V I t.!'*' VJ
S te c 1l*i .
.%. \ - - I
- V
\ ;_ tz
. a 'il - 4\ - z ::: .
, -
! .? } 5 , I
Exat11ple 153
Material corn direitos autorais
In th.e second rhythmic level (2) .. the next event is a cohesive, bar-form
version of the ('Lebewohl
motto. But the clear artici1lation and closure po-
re11d-al at the end of the group does not rake place. The extra Stress of the
sforzando on the downbeat Eb compels it to function as the beginni11g of a
rh.ythmic grot.1p as weU as the end of one. Beethovert 1nakes. tl1is relationship
clear by putting a pf1rase mark from the Eb to tl1e Bb. The rising scale is
anacruscic ro the G in measure 11 , and its fusion, througl1 the pivotal Eb
and D, witl1 the earlier bar-forrn pattern mikes the whole middle part of the
then1e functions as a weak group connecti1tg two higi1-level accents (level 3) .
This analysis of the rhythmjc struct11re o! the Allegro theme helps to
111al{e the larger melodic and harmonic patterning clear. It it1dica.tes that the
over-all melodic motion is from the Ab in measure 1 7 to tl1e G in m.easi1re 2 1,
and tl1at the basic t1arn1onic progressio11 is an aut:hentic cadence in the tonic
(Example 154).
l .
Example 154
as we have seen, the Allegro theme is a synthesis of the main
patternings of the Adagio, it is riot to consider the vvhole pas-
sage-the first twenty-one .meastu-es-as a. si1igle e,rent: more spe.cifically, as
an extended proloI1gation of tonic harmony with tl1e thir,d in rhe soprano
voice. Though the prolongations in the Adagio ultimately lead the motto to
tl1e D in n1easure 1 2 and are important because of the long-range implica-
rlon tvhich they generate, chey do 11ot play a declsi,re role in shaping the
process of the highest level. Nor is rhe arrival o.f the D-either in measure
1 2 or in 111easure I 9 an event on the higl1est level. Botl1 u1 the Adagio and
the Allegro, whate,ver structural impona11ce the D inigbt ha\re had is under-
mined by the six-four position of the dominant cl1ord and by the 011-going
motion of the bass-line.
T ,he processes in the Adagio are nor closed
or even decisively articulated at the begi11ning of the Allegro. They 0011tinue
to the cadenoe in i11easure 11- at which point a. ne\v impulse carrie.s the music
f or,vard. One u1dication tl1at these measures constitute a single process is
Material corn d1re1tos autorais
that the bass-line m-0ves in an essentially contir1uot1s Li11ear tnar1ner fro1n
tl1e C in nleasure 1, t:hr,ot1gh tl1e C ii1 111east1re .1 7, and to tl1e Bb in 1neaStire
zo---at: \<vhich point the first root pr<)gression of the n1overnent takes
place (see the in Exan1ple 15 1). If t'his analysi<> has 111erir, then,
melodically, the first twent}1-one measures of the J11overne11t: m.aJ' be con-
sideretf to be an extende.d neighltor-r1ote figure: G- Ab-G; and, harmon-
ically, ttle}r consritute a rugl1-level cade11ce lll Eb n1ajor (Example I 5 5).
E.'Xample 15 5
The first t\'-'Cllt)r-one 1neast1res of tltls 1n.oven1ent are a single process,
bt1t tl1ey are differentiated ir1 tern1s of form. Fro111 a formal point of \ne\v,
r.he sonara-forr11 structure hegi11s in n1eastire l 7. begin11ing is rnade clear
b}r th.e cl1ar1ge in r.e1n110, by t:he at)rupt forte on the repeated Ab, arid b}r the
co11trasti11g ch.aracter of tl1e Allegro tl1en1e, \Vhich,. thot1gh derived frotn tl1e
patterns present.ed in the Adagio, .is significantly ne\v. There is, iu shortt a,
biftrrcation of form process

can be diagra111n1ed as follov"\i'S:

PROCESS: (melody) G. . . . . . . . . . . . . . . . . . . . . , .... Ab- G
h".<.,. .mon .. y) 1 I\!C i: n I tl>l.. -- , . . . ... . , . ...... .. ... , -v -- .
FORl\il: I11troducrio.i1 Sonata forn1
a(1- 6) - a'(7- 12) - b(13- 16) A (17- 21)
first theme group
rhougl1 cl1e imf)licative processes ge11erated ir1 tl1e Adagio tra11sce11d this
fornlal articttlatioc1 a11d l1;;rve import.1nt cor1seqt1ences i11 the sonara-for111
proper, it is ne,1ertheless a distinct an cl f orm'1l enrit)r as is sho"'rn
by cl1e placernent of rhe repeat :r11arks. Beecl1cJ\
e11 does r1ot retr1r t1 to tl1e
ten11.po and pace of tlle Adagio, inclt1ciing it as part of tl1e sonata-forn1 struc-
Material corn d1roitos autorais
ture, as he does in the first movement of the String Quarter in Bb Major,
Opus I JO.
The for1nal articulation which rt'l;uks the begin.ni11g of tl1e Allegro '"vas
attributed not 01tly to the inarked char1ge in d)rnat11ics at1d ternpo, but also to
tlie e'\rident contrast the ethos of the Adagio and that o.f the first
Allegro theme. TI1e ethos of rl1e Ada.gio has been considered. Tl1e
and f eeli11g-tone of the . ..t\llegro t he111e is not tl1e result Of
the faster tempo and louder dynarnic level, but of syntactic processes@ mel-
ody, rl1yth1n, and I1a.n11ony. Ir is not juSt ten1po \Vhicl1 change.s, pace cl1anges;
and it is not just which change, but the le,rel of psychological in-
tensity. And these, of course, complement one a11otl1er.
Melodically, the separate events of t11e Adagio are compacted, into a
single ltineric gesn1re. Here there are 110 introspective pauses, no contem-
plative repecitio11s. Tl1e .cfuo111acic 111orio11 of the bass is enl'pl1acically goal-
directed, and because each nore of the motto is accompanied by two harmo-
nies insrei:d of one, pace and psychological intensity are increased" Moreo,rer,
beneath the ambigtUt}' of the chro111a,cie bass motion lies the the latent Possi-
bility of a rapidly 1n-0ving of fifths-a possibility that contributes
something to the t1rge11cy of t he fi rst llart of tl1e theme.
Rhytlun, too, is imporcant. On the lo"-vest level ( 1) (Example 153) , rl1e
end-accented groups empl1asized by cl1e inelodic-harn1onic repetition across
the incisive. Their con1biuatioi,i, on the next level, creat es a
potentially end-accented bar-form . . But t he final notes of this pattern function
as the beginning of .a ne'-v rhytbnlic in1pulse as well .. This, restructuring not
only prevents the relaxation of te11Sion wl1ich wo1tld have occt1rred had the
phrase closed on D, b t1t the elision of th.e tv\'O patternings increases tl1e force
of tl1:e melodic-rhytl1mic motion. The lcinetic character of the t hen1e, thus
reinforced, is carried fon:vard by tl1e 1nocion between soprano and

Like otl1er reJationsl\ips-i111plicative, hierarchic, and oonformant-
generated during t he :first t'ir\' Cllt}r measures of the ''Les ... Sonata, t11e
contrast betwee11 t l1e conter11plative melar1cl1oly of the Adagio and the
fervent: intensit}r of tl1e Allegro the1ne has conseq11ences rhrough the m.ove-
ment. But the analysis ei1d here-not only becat1se the reader's interest
111ust be flagging and his paticn.ce exhausted, b t1t because, as inentiotled
earlier, the rigorot1s of etl1etic relatio11sl1ips is beyo11d my kno\vledge
and sl<lil.
Material corn d1ro1tos autorais
M.uch 1vork needs to be do11e, both in this aspect of analysis aud in the
study o,f implicative. processes and hierarchic strucrures. There will be
disagreeme11t:s about these matters. So1i-1erin1es different exrplanations of a
passage or co1nposicio.n \.vill really con.flier: for instance, '\vhen rhey Stem
from fundamental differences in theory. At other tin1es, disagreement will
be more apparent t1'1an real, and explanations will tJe con1plen1entary, not
conflicting: for instance, wl1en diff:erent hierarchic levels or different param-
eters are made the chief focus of attention; or 1vl1en different kinds of
relationships conf ormant, implicative, 11ierarci1ic, or ethetic 011es--Gre the
basis for the analysis of a parcicl1lar " 'Ork.
Wh.arever the reasons for disagreeme11ts, they should encourage,
rathe.r than discourage, critical n l y s i s ~ not only because tl1e task itself is
challengitlg and fascinating, hr1r beca11.1se there is no escape. For our devotion
to music ultimately stems from our delight in, and love for, parcict1lar com-
positions. 1\nd e\rerything \Ve do-all of ot1r study ai1d researcl1-seeks in
the end to i11t1mi11ate as ful l)r as possible the S():Urce and basis of their po'ver
co and entrance us.
Material corn direitos autorais
Index o Subjects and Names
Abraham, Gerald, n.
Abstraction. See Patterning; Understand-

Accompanirnent: absence of, permits am-
biguity, structure clarified by. 161,
r70, 175, 184
Actualization. See Realization
Ad hoc h)' potheses. See H )' po theses
Aesch}rlus, 1..6.
Aesthetic experience. See Experience
Affective experience: depends on cogni-
tion, 113; deviation and, ll J ; intellec-
tual experience and, Qi 1 r 3, z 13. See also
Ethos; Kinaesthetic experience
Alternatives: awareness of, affects under-
standing, !_Cl,_ 111-113; con-
sidered by critic, 18 f. (see also Com-
poser s) ; awareness of, depends on pat-
terning, 111 f. See also Criticism; Im-
plicative relationships
Analysis. See Criticism; Style analysis
Anomaly: discussion and explanation of,
!Qi 1!!t2z3, 247; possibility of, w f.
Ancecedenr-co11sequer1t parrerns ( A-A'):
discussion of, to-1 i, !.12 !.2 f . [Ex. !1 lL
2i.i !.H [Ex. !11 E f . [Ex.
f ., [Ex. 4Z1 ilU f.
ii1 103
!..41 [Ex. 56] , 142- 144 [Ex. 21
[Ex. 211 l.8.1 f . [Ex. 218-130
I Ex. 129] , 210-134 [Ex. 130-131], 240 f.
[E."<. 134] i equivocal case of, 132 f .;
hjgh-level, rhythm does not struc-
ture, 86.
Archet}'pal scl1cn1ata. See Schemata
Aristotle, 2.6.
Avant-garde, music of, 66
Axial n1elodies, 2!b 183- 191: additive and
f orn1al. 2!i djscussion of, 24.t !1i [Ex.
51] , 184- 187 [Ex. 221 187-191 [Ex.
roo-101] , I..8fi f. [Ex. 1o6]
Bach, J. S., !.!_, u f., !.h 1!i

2L J 10, 205
Bar-form patterns (a-a-b): anapest
rhythms cquivaler1t to, (see also
Rhythtn); discussion of, l2 f. [Ex. !11
85-98 passi1n [Ex. 47] , 1..8.8. [Ex. 100],
!12 [Ex. t 3 3] , 16..1 [Ex. I 48-149] , z..61
[Ex. 150) , 165- 267 [Ex. c53] ; other in-
stances, but not discussed as bar forms,
Examples l.L !2J. 63, 66, 85- 87, r 34;
sf>nata-form not,
Baroque music, 209: incomplete rhythms

uncommon in, 205
Barth, John, 1
Beardsley, M .. C., ll n.
References to particular composicior1s are give11 in the Index of Music.
Material com dire tos autora1s
Ileetho,en, L. van, 8. u_, !!:L 5.L 67,
110; lace st)le of, E f.
Beginnings, in11>onancc of, !...!.z
Bci11t1n1, Eduard ,an, _
Berg, A., i1
Berlioz, H .,. i1
La\\' re nee, n.
Ilifurcation of f<>rn1 and process. See F orn1
and process
Binary for1tl ( i\ - B): discussed, [Ex.
16] . See also Rou11ded f orn1
Bot1lez, Pierr e,
Brahms, J., !Q. 55, 11
Broder, Nathan,
Bro\vn, Earl, 6
Bro\vn, !\ onnan 0 ., l
Bruclmer, A., l1
Bunge, 8 n..
Cadential 1>attcrn.s. See Gesture
Cage, Joh11, h Ho
Changing-note 111elodies, 191- 1<}6: disctis-
sion of, f. [Ex. 102]
192- 194 [Ex.
Character, r11usical. See Ethos
Characteristic a basis for unit),
6B. .;objectivity
Choice: i111plicatior1 guides, 112; necessity
of, r 1 r f.; llasecl 0 11 patterning. 8.. 11 r.
See also Composers; Criticisn1
Classical r>criod, n1t1sic of: axial 111clodics
unco11n11on in, 184; cadcr1rial patterns in,
152, 167, 211, 217
241 ; changing-note
melodics occur in, !..2.! n.; inconiplcte
rhyth111s occur in, 205 i ar1d 11ineteenth-
centur)1 1nusic contrasted, !2.i n.; schc-
n1ata i11, !..!..2 f.; of dcccptiYc,
163, 176, !..H.b 191, !JI
Classification: not the goal of criticisn1, 6-
7.J !..4i St) le involves, L. 18;
depends on, t.8 f., 21 1
Closure: additi\rc for1ns lack, 181 f.;
l>asis for, cr>da enhances, 1 38; con-
vergence enhances. 157, t6j, 198,
224; degrees of, R&f. ; elision \VCakcns,
w f.; e11d-accented rhyrhn1s cr eate, 18,
u.8 (see also Rh)thrn); extension
enhances ( see Extension); f orn1al e\' Cnts
defined t>y, 90; structural gap cre-
ates ( see Gap, stn1crural); harmonic
(see Harr11on\') ; hierarchic chancrcr

of, 89; hierarchies b)' , ChaJ>-
rcr l\T pnssi111; a11d iniplication, Chap-
ters \ TI-VIII interruption height-
ens, 191 ; 111clodic ( see i\1clody); r1on-
c.:origrucncc affects, H.b f., 88, U4l
based 011 11arreming, para111ctric con-
gruence creates, !!2i performance en-
hances, 1 38; takes prccedc11cc over i111-
l1licarion, 1 38i prolongations dela)1, 1 30,
!.1.! ( see ,1/so Extension); rcpcticion and,
52, 84-86, 88, 101; return e11hances, 50,
88, 138, 152, 155; re\ersal articu-
lates, !...!.Q (see also Rc\' ersal);

structure inferred fron1,

89; experience and, 138; to11al
departure needed for (see Insrabiliry);
uniforn1icv \vcakens, 16. !.!2 (see also

U niforn1it\' )

Cohen, l\ lorris R., I.8
Co111plcn1cnrar)' n1elodics, 175-183: cot1-
forn1a11ce in, 175, 177, !.l!! f., 181; con-
\crgcnt and divergent, r..8a f.; dcfi11irion
of, 175; discussion of, !1.! f ., !.ll [Ex.
91 l, W f. [Ex. 94], 176-178 [ l(x. 2i1
178- 180 [Ex. Q6:91], 181-183 [ Ex .. 98)
c()ll1J')lexit)' : f<Jreground vs. l1icrarchic,
163, !fil n.
C..0111poscrs: cl1oiccs of, underscanding. 1 R-
io, u f.; constraints needed LI)' as
critics, 12; culture influences, 56-59; free
agents, 20; intentions of, 73-75;. psychol-
og}' of, Ut f.; theories of, rcle-
,ance, l.l f.
CAnc, Ed\vard, !2
Conf orn1ant rclarionshjps: coherence cre-
ated by-, i5i i3 f., i21 65; definition of,
!H.l <liscussion of, Cl1apter Ill passi111
[Ex. 21- 46], u!! [Ex. 66] , !_i! [Ex.
[Ex. !J.1 146 [ Ex. 1 36] , 249,
[Ex. 141 ], u. [Ex. 247], 263-265 [Ex.
1i1- 152]; ethos and, 48, 145, 263; form
arriculaced by, 1:2i 5...! f., 2.!J 2:h Chap-
r:crs \ l ll- VJll passi111; forn1al and pro-
ccssi"c, ! f., s..Q.i il f.; clarifies,
!..22J 249, 155; hierarchic, :ill .ii inat1di-
Material com d1r rtos autora1s
hie, 26-28; intention and (see Inren-
cionalit}' ); masking of, 45-48, ill mem-
OI)' aided b)1, 70, 2Zi n1cthodology
and ( see l\1cthod, exigctic; Reci, R. );
morivic indi,
iduality enhances, f.; in
nineteench and t1.ventieth centuries, 5 5-
l.2.i parameters and (see Parameters);
proccssivc, f ., iJ. f., 61 ; ps)rchic 1)arsi-
n1ony and ( see Parsimon}' ) ; in prolon-
gations, -z.27, 241; Reti's of, 59-
7.!!. f. ( see aiso Rcti, R.); rhyth111 ar1d
( see Rh)rthm) ; significance of, bec\veen
n1ovements, 5.1 f ., 70-72. 2Zi significance
of, between works, 71-73; strength of,
46-49, 2.1! Zi f.; style and, 74-75; thema-
tic transforo1ation and, 55- 59; unity and,
64-67 ( see also Unity)
Cor1junct patterns, i 31-144. See also Lin-
ear melodies
Contextual discrepancy, 1 21, 196-11 3; ba-
sis for implication, !!&i ? 18, z44. See
also Potentiality
Continuation, principle of, lh 130
Convergence: discussions of, 100 [Ex. fil
fEx. 68]. 142-144 [Ex. 70-74) , !12 f.
[Ex. 76] , !J2 [Ex. zz1 ill [.'<. 82].
f., [Ex. 86] , !1Q [Ex. 90], w_
[Ex. 2.!.1 um [Ex. -97] , [Ex. 105],
214 [ E.,. 114] , 16.z [Ex. 150]
Cooke, Deryck, n..
Counterfactuals: ps)rcl1ological sig11ificar1ce
of, r r 2; understanding and, ill.
Counterpoi111:: fourth species, !.i.! f., 168,
l 59i gesture and, :ut8 f.; probabilistic, 1.i
pure process and, 2! n.; sixtcenth-cen-
tur)1, 8
Critical anal)rsis. See Criticism
Criticisn1: ad !Joe h)' potheses used i11, 12-
!..4 (see also 11ypoc)1cscs) ; affective ex-
perience and, alternatives considered
in, l8 f., 116; composer's choices and,
LB f .. u f.; conscientious, lii descrip-
tion and, 2? disagreements about, 121,
268; docucnentation and, 2..1 f.; not ex-
or definitive, 14 f., 105; ex-
plar1ation and, <J=l ?, I 30 ( see aiso
Explanar:ion) ; lcnowlcdgc neccssar) for,
w length of, !.4 f.; limits of, f., !i?
f., r 10; n1ethods used in, u f.,
Chapter \ TI passi111, 231 n. (see also
Methods) ; need for, !.ii
168; objections to, 4-6; particulars ex-
plained b)' , 6 f., 12-1 5 (see also Hy-
potl1cses) ; a11d perforn1ance (see Per-
formance ) ; relevance of sk'etches for,
77- 79; style analysis and (see Style
anal)rsis) ; theory and, 2! !b of
composers and theorists and
2.1 f .; in-
di vidual responses r1ot explained by, 1
Deflections: alternative goals created by,
119, 130; definition, u.8 f .; discussion,
uu rEx. 54], u.8 (Ex. i21 !.!i hl
!.ii rEx. 80], 162 (Ex. hl !II. [Ex. 25.1
gap creates, !l.:i: (see also Gaps, struc-
tural ) ; reversal a special case of,
( see ai;-o Reversal)
Deccr111inism, mistaken applied to music,
Dialectical change, music as, 56-59, f.
Digression: need for, 10=1:z. [Ex. 1 & 41
!h 241 . See also ln!l'tabilit)'
Disjunct patterns, 144-174. See also Gap-
fiJl n1elodies; Gaps, structural; Triadic
Dra)' , Willian1, !.2
J))nan1ics: ethos and, lli 4 f ., 128-130,
166, 11 1, 243; ps)rchological intensity
and, 267; structure clarified b)r, 1oz, !.ti!
155, 2 2 3
167; S}' ntaccic function of, li f.
( see also Stress)
Echo: n1orphology nor111alized by, 104
[Ex. 57]; potential realized by, w [Ex.
Z21 stability \.Veakened b)' !iZ f. [Ex.

Eliot, T. S., 6
Elision: bifurcarion of form and process
creates, 100; eo1phasis created by, !..12
fEx. 149]; morphol<Jgical dissonance
created by, ill [Ex. 13 1), 2 36 [Ex. 133];
sequence \Velded b), !12 [Ex. !..ll}
Ethetic r elationships. See Ethos
Ethos: cor11pressio11 affects, 263, 167; de-
\iarion and, 119, 221 . 121, 143; im-
plication inseparable frorn, 218. 223,
Mat rial com dtr 1tos autorats
Ethos ( conti11ucd)
243-245, f. ; kinaesthetic experience
of, 113 , '12 f. , !!! (see .1lso Kinaesthetic
experience); rr1asks conforn1ance, 48;
parameters a11d syntax define, ll:i f .,
140, L.66. f., 130, 243, 256, 267;
perfor111ance aod, f., r 18-130; theory
of, needed, 246j \\lords inadequately ex-
press, 243, 246
Events, kinds of. See Deflection; Ger1era-
tive evcnrs; Medial cver1ts; Prolonga-
tions; Reversal; Tern1inal events
Evolution, concept of in music, Q f., 2..!
Expectation: concept of in1plication pre-
f erred to, !_!in.
Experience: aesthetic, !.2.i 168; affecti\e
( see Affective experien.ce) ; intelligible,
3-6, !.2J 11 li kinaesthetic (see Kin-
aesthetic expcrie11ce); n1usical (see Un-
derstanding; Listener ) ; n1ystical, ii na-
i vc, l! ur1ique, f.
Explanation: aesthetic and generic distin-
guished, 77- 79; complete, not 11ecessar y,
!.4J f.; conceptualization needed for,
16, 113, 116i description not, 2.i goal of
criticisr1\, !..Ii hazards of, 25; laws and,
8-14; le11grh of, !.!i f.; 111ctl1ods used in
(see 1'1cth<,ds, analy tic);
reasons en1ployed in, See also Un-
Extensions: closure enhanced b)' , 2.ii 130,
138 [Ex. !11 150-152 [Ex. 78] , l.6o
[ x. [Ex. 2.21.i rnomen.tum
slowed by, w f. [Ex. 131)j n1orpho-
Jogical length stretched l>)', Ifil. r Ex.
hl IM I Ex. hl m t. Ex. 2.!.1 w f. [E.x.
131]; '"ithin phrase, in1plicati,,.e, 136-
212 [F.x. U1]
Faulk11e.r, , ,\ fm., l
F'erguson, Dor1ald N., n..
Forn1: additive, Bae hierarchies, 2! !!!.1 93-
(se<: also Axial rnelodies; Osth1ato;
Strophic for111; Ternary for111 ); co11-
f ormance articulates (see Conforr1\ant
relationships); evenc.r; in, defined by
closure, (see also Closure ); l1ierarchic
structuring of, 38-40 [Ex. !J.1. 44 f. [Ex.
ll.1 Chapter I \ T passi11z f Ex. 47]; i.n-
f errcd f ron\ closure, kinds of, 95-
21.!. naming of, 2.!.i nonco11gruence
and (see Parameters, noncongruence
of); process and, djstinguisl1ed, 90-
( see also Form and process); pro-
cessive ( see Processive for111s); relation-
sl1ip bet\veen movements and, 21 (see
also Con formant relationships). See also
Antecedcnc-consequcnt patterns; Bar-
for1TI patterns; Binary form; Rounded
binary form; Sonata-fom1; Ternary
Form and process: bifurcation of, defined
and discussed, (Ex. fil 98-100 [Ex.
fil Ull [Ex. 54], [Ex. 511 !.2l [ Ex.
103], !!2. [Ex. !.!2Ji !_li fEx. !.1!1 265-
267 [ E.x. & 150]; hierarchic alterna-
tion of. 90; mixed in 111ost \vorks, 2!t 22
Frar1ck, C., ffi iZ.i 2.
Gafurius, F., u
Gap-fill rnclodics, 145-1 57: cornn1on in
tonal music, 101; described, 145; gap
and fill separable in, uu f ., 109; high-
lcvel, 100=-102 LEx. fil 150-r 51, f.
[Ex. z!1 111i.ddle-level, 151-154 [Ex.
12.1 160 [Ex. hl L6..l rEx. low-
levcl, uu f. [Ex. il1 103, !.il [Ex.
f. fEx. hl !21 f. [Ex. hl W .
[Ex. liL !.iZ f. [Ex. f. [Ex.
7zJ. [Ex. 86] . 166 ([Ex. hl !.2.2 f.
[Ex. 106] , :w:8 f. [Ex. tOQ=l to], 2 c4-116
[Ex. 117]. 111 [Ex. 130], 24C):=253 LEx.
141 l
Gaps, structural : ancillat)' , 1 39, 146 f.,
199; closure e11hanced by, 141,
170 fEx. 221.i !.2J [Ex. 25.1 deflection
crea red by, !l..4 [Ex. hl t.00 [ E.x. hl
descending, unco1nmon, 1 34; explana-
tion of, filled by proxy, I..66 [ Ex.
perfect fourths as, ro3 n., 145
1.6.I n.,
166; imply fill, 124 f . [Ex. hl !..J.i
[Ex. 144
[Ex. 86], [Ex.
101] , !..21. LEx. 105] , 203 [Ex. 107], 100
[Ex. 108], uB. [Ex. 120] . 220 [Ex. 122-
12 3], lll LEx. t 14]. gs [Ex. !.!5. BJ,
!.!2. f. [Ex. 129], w [Ex. 130]; fill of,
Mat nal com d1r 1tos autora1s
provis1ona1, 111; reversal created by (see
Reversal ); size of, and irnplication, 145;
triads as, 102, l IQ, 125-117, 147, 2 r8
(see also Triadic melodies)
Generative events, 2-!.l J 18, 141, !A'.i
Gesture, 1o6-213: basis for, 207 f .; caden-
cial, 110 [Ex. 59A], !_ [Ex. & 78] ,
!..ZQ rEx. 111 [Ex. !..!i & 132], 214-
m [Ex. 117] , !..!1 [Ex. I 19], !4:.! [Ex.
134) ; arid Characteristic sryle, 207 Q.:.i
coda, [Ex. !Ii & 116], !i3 f. [Ex.
!..ll & r 36]; conventionalit}r of, 107-113
passi111, 243- 245 passi11z; discrepancy of
context and, 207-116 passi111, 246 f.;
fugal, .l.Q8 f. fEx. 102:"1 to]; kinds of,
206'f.; n1obile, 118-221 (Ex. 121-124];
potentiality and, 2o6-226, :z.43- 247; t};-
polog)' of, needed, 207. See also Sche-
Gombrich, E. H., f .
Grout, DonaJd J., u
Grove, Sir George, :u8.
Gushee, Lawrence, u n..
Harmo'l}' : an1biguous, 140, w f.;
closure and, Chapters IV, Vl-VTII ,pas-
si:nz; conformance and (see Conformant
relationships); ethos affected by, 140,
230, !.iJ f., 267.; gesture and (see
Gesture, cadential); hierarchic discon-
rinuity of, f .. ; implication and, Chap-
ters Vl -Vlll passi111; n1obility of,
86, 1 f ., 198
266j noncongruent
in deceptive cadence, 81, and se111ica-
dence, 85 ; probabilistic, 2i rhythm clari-
fies, 265; structure articulated by,. Chap-
ters I\T, VJ- Vlll passi111; style and, lli

Hegelianisn1, exigetic method based
Hierarchic equivalence: la,v of, !1ii par-
ticular im"tances discussed, [Ex. 75],
!.i.2. rEx. zz1 !J [Ex. illi !ll [Ex. Z21
!._TI f. [Ex. 2.!.1 [Ex. 2.5.1 [Ex.
101] , 200 [Ex. 1o6] ; provisional realiza-
tion and, !_!! [Ex. 134-136 [ Ex.
66], 142-144 [Ex. 2Q & 73-74]. See also
Structural tones, selection of
Hierarchic structures: analyzed, 1,8-40,
83-89, Chapters \TJI- Vlll passi111 (see
also 1: om1, hierarchic of;
,l\1f elody, hierarchic structuring of;
hierarcl1ic structuring of);
arched, 21.! braided, 2Zi conformance
and, define forr11, 2!..!. conjuncci,rc flat,
2b countercumulacive, 2 58; criticism
analyses, !1.i different disciplines study,
ios; discontinuity of, f.; flat, !b
93=96, f. (see also SttOJ)hic form);
form a11d process alternate in, 90, 120.
2 z.Sj i111f)lication a11d, 120, 253; in1por-
tance of, 66 f., inferred fron1 closure,
levels of, and forms, 81. f., 131
n1clodic, 111, !.2il objecti\rity of, 41
parametric closure articulace.s, 81=98,
(see also Closure); patterning basis
fo r, 8J. f.; potential, 256, z..6.l [Ex. 148-
150] i strongly shaped, 194; unity depen-
dent on, ill 66 f.
H}rpotheses: ad hoc, expJajn particulars,
11-14 r8, 118, 111, 158, !.HP. 187;

cor11J11on-sense, Q-11; cr1nc1Sm requrres,
21 !.2.i 116; from other disciplines, 14;
i1nplicative inferences as, 113, J 16; sryle
anal}rsis provides, !1.? l.8 f., 118; theory
of music provides, 21 !.it 18, !.i
Jconology of 1nusic: possibility f., !
Implicative relationships: affect and, 113;
alternative, !.2 f., 11 r f., Chapters Vl-
Vlll p.assi111; ar11biguity of, 1 11, ij9_ f.,
f .; a11ornal}' and, 111 f., J 18, :i4oi
awareness of, 1 f., 161, 237; axial
melodies, weak, 185-186; bases for,
113; choosing based or1, r 1 r f .; closure
ta lees precedence over, 138, 156 Thi con1-
plexicy of, 113, 119, 197, u8 f.; con-
forn1ance 111askcd by, il.i conjunct pat-
terns generate, 1 31-144 (see also Linear
melodies); context affects, i! f., 196-213
( see also Potentialit)' ) ; convention en-
hances, :07 f., 217, 119; criticism ex-
plains, !L 116, J 30; defined and dis-
cussed, 110-113; deflections change, 118,
130 (see also Deflections); dela }' en-
hances, !1!i 161, Chapter VII pas-
Mat rial com dtr 1tos autorats
Implicative relationships ( co11ti11tJed)
si111; clisjur1cc j)atter1ls generate, 144- 1 74
(see also Gap-fill melodies; Gaps. scruc-
rural; Triadic 111elodies); and e[hos, 140.
156; expcccacio11 a11d, r 1 n.; extensic>ns
and ( ;ee Ex[ensions) ; gaps create (see
Ca p-fi II 111clodies; Gaps, strucrura 1) ;
gestures create, 206-2 r 3, 118. !.!.J (see
,1/so Gestures) ; har1non}' and, 84, 85
I 00, Cha peers Vil-vr1 I passi11i; are hi-
erarchic, 1 ?O f ., ' 31, 2 5 3; l1icrarchic
equivalence governs, !1!l (see also Hi-
erarchic cqt1ivalcnce); as ll}'))Otheses,
I 1 3, 116; incomplereness and instabiliC)'
basis fo.r, 118, Chapters Vll - Vlll
pnssi1t1 (see also I11co111pleceness); in-
ferred f ro111 patterns, 1 Io, 11 l ; ki11-
aesthetic aspects of, 113. 119; of
conr1r1uario1l governs, I 30; n1elodic,
22.i Chaprcrs \ ! I-\Tf ll passi111 ( see also
J\lelod !. ) ; 1nobilit)' and ( see J\ lobility);
patcerning basis for, !h. f!.h 1 1 o, 113 f .,
121, 1 Chapters Vll- \
111 passi1Jli po-
cencialic)' creates, 222 113, 1=11 3 (see
also Potcntialit)' ) ; probabilit)' and ( see
Prol)ability) ; prolongation and, 119, 151,
126-1-lt, Z.f.Q, 261, 165; realization of ( see
Realization) ; repetition and, i! f., io6,
2 29, 2 31; retUin regeneraces, u8. f ., c 26,
!1 f ., 180, 182, 156i rctrospectivc un-
dersta11ding of, r 11, r 13, r r8, Chap-
ters VII- Vlll passi111; reverberation of,
t 1 7
1? 1; reversal and ( l'ee Re,crsal) ;
rh!rth_m and (see Rf1!
th111); schc111ata
and ( see Schema[a ); as sigrts, 111 ; 5111all
differences affect, 3J f., !.!l f., 195, !!2 f .,
!..l! f. (see also wfechods, anal}tic) ; spe-
cificiC)' of, 11 7, 137, 143, 181, 212,
246, 148; sy111n1etrical patterns generate,
1 74- 196 ( see 11lso A.xial melodies;
Cha11gi11g- nocc n1elodies; Cornplc111en-
tary 1neJodies); tonal te11dencies gcr1cr-
ace, r 2 3- 126. Cha peers \ Tfl- VIII passi11z;
unancicipated eve11cs and, 20, !..!.1 f.; un-
dersca11ding, 28, r 10-1l3, 117; uniforn1-
it}' generates ( see UnifonniC)) ;
ening of shape creates ( see Shape)
l11con1pleccncss: i1l1plication generaced by,
113; proccssiYc and tonal djscinguishetl,
113; vc and to nal discussed, 1 2 3-
!.!L Chapters Vll- \ ' 111 passi111; rh}1th-
n1ic, 203-2o6 (see also Rhych111 )
India, 1nusic of, iii 66
D' l nd)' , V., iZ
lnevitalJilit} in music, :w f ., 56-58
lnscabiliC)'; required for closure, 88,
138, !.22. f., 191 , 200. See also J\lobility;
U tlif orrnicv

l r1ccntional it)f : cunf orn 1ant relationships
and, 73-75; ini probabiliC)' ir1dicaces, Z4i
!..42 n.
J au1es, \ V rn. , L 6
Ja1)an, 111usic of, 109
Java, 111usic of, 109
Jo11es, David E. H., !..5.
f cr1l1a11, josepll, Ull ff.
Kinaesthetic experience: affect and, 11 3,
f.; association arld, f. ; i11elody
and, w f. ; timbre and, 112 f .
F. E., 68. f., 207 n.
l(ocsclcr, .A..., !.1 f ., !b
Kohler, L,. a11d Ruchardt, A., phra.c; i11g of
i\ l ozart The111e, Chapter 11 passn>J
Kurth, Err15t, u
La\\' S.. See F.xJ1lanation; H)pothcscs
Learning: educacjon and, !1i through
111usical experic11ce, z !b 16, Zii See
also I .. Understanding
Lehrer, To111, i
Lenr1ebcrg, I Jans, 2 12 n.
Lichtentha I, Peter, 6B:
Linear 1T1elodies
i 31- 144: co11-
verging and di,crging disti11guisl1ed,
CO.f. f. ; bilinear converging, discussed,
!.;1Q f. [Ex. 68], 1-11- i44 I Ex. 70-74] ,
fEx. 86] , 178- 181 [Ex. 96-97], u.8 f .
[ Ex. 129] ; bilinear diYergi11g, discussed,
l 31-133 [Ex. 64-65] , [Ex. 76] ;
bili1tc<lr and bilev<.:l, disti ngujshed, !.! f. ;
bilevel, discussed, [ Ex. !.Q1 f.
168-170 Lx. 170-173 [Ex.
91-g2], !.21 [Ex. 105], !i2 (Ex. 142] j
high-le\'cl, f x. hl 134-1 38 rEx.
Mat nal com dtr 1tos autora1s
66] , [Ex. fil !_2.4 f. [Ex. 103-104],
IE.x. 111J, 231- 233 LEx. r30-11.!1
240 [Ex. I 34]; l'niddle-lcvel, Ul2. f. [Ex.
fil [Ex. hl 210 [Ex. 112-113],
ll.J f. [Ex. !..!41 224 f. [Ex. !..!ili low-
lcvel, 83-87 [Ex. 47] , 2! f. LEx. 11 s.
u.8 [Ex. i21 ill [Ex. 6o] , w f. (E..x.
hl lli f. [Ex. hl u8 [Ex. hl
[Ex. z.z1 !.iQ [E.x. fEx. hl 1.00
[Ex. I..6.r f. [Ex. hl !3 f . [Ex. 86],
L.6.6. f. [Ex. 88] , w [Ex. 211 [Ex.
25.L t.8ti [Ex. 221 188- 190 [Ex. 100-
101 ] , [Ex. !.Q11 !.!.l f. [Ex. &
126], 236, [Ex. 133) , 240 [Ex. 134) 1
!!! f. f Ex. 141], !.i! f. [Ex. !.i! & 145B]
Listener: COlt1petcnce of, based on expcri-
e11ce, 1 1 o, I 30
207; conceptualization
unnecessar}r for , 15-17, r 16; gestures and
schen1ata understood by, 107, 1 14, 213 ;
irl1plications understood b)', 1 1 o, 113,
116; inferences made by, 110, 1 r3; kin-
aestl1ctic experience of, 141; memor)r
in1portant for, 8.o (see also l\lemory);
probabilities understood U)' , 2 8. 130;
pro\isio11al realization reinforces, 11 7;
ref ere nee to not necessar}', 1 1 o, n.
See also Understanding
Liszt, F., ill l.Z
l.-ord, Albert B., Iii n..
l\1[acha\lt, G. de, !..QQ
l\1larthesot1, Jol1anr1, 11 2, !J2
Mcdja} c\rent, 2b 1!9. f.
an1biguit}' of, 169; ascending vs
descending, w f.; axial (see AxiaJ n1elo-
dies ); changi11g-note (see Changing-note
melodics); choice of exa1nples, 11 o; of
Classical period (see Classical period);
classification of, 131 , 1.06. f.; closure ar-
ticulated b)' , 83- 89
2..! f ., 98-1042 Chap-
ters \ 1J- \ TIII pa1si111; cornplcmcntar>'
(see Con1plen1entary nlelodies); con-
junct and disj unct intenrals basis for,
i 3 1; gap-fill (see Gap-fill 111elodics;
GaJ">S, structural ) ; gesture and (see Ges-
ture); hierarchjc structuring of, 131,
81-88 LEx. fil 28-100 (Ex . .u1 100-
lD..2 [Ex. H1 Chapters VJ- \ 7111 passi111;
linear (see Linear r11clodics); motor bc-
h.avior ( kinacsthesis ) and, w f. ; 11eigh-
bor-note pattern, 265 f. [Ex. l 55]; of
nineteenth century (see Nineteenth-cen-
tllr\1 r11usic); present stud\' of, lin1itcd,
' ;
1 ro; sin1jlar, co111pared (see Methods,
anal}itic) ; adequate theory of, lacking,
109; triadic (see Triadic rnelodics)
axial n1elodics ser\'C, con-
forn1ant relationships aid, 58, 70,
2.Ii l1ierarchic struct:ure facilitates, 80;
individuality and, schematic aid,
l\ Jeter: cross, weakens shape, 200 f .; dis-
turbance of, 2 36; ethos and, u8 f .; fast
t e111po i!..! 83, u8

cxigctic: circularity of, 65; de-

fi11cd .4. f.; use of, 1.!
i\iethodology, t.16-r 23: anomaly and, 118;
111ental experin1ent part of, 116; musical-
ity gujdes, !.fu normalization, !..Z (see
also Jvtethods, anal)rtic); objectivity of,
18, 64, J 16; octave transfers and, !31
( see also Occave); Rcti's questioned (see
Reti); retrospective r1ccessary, 1 3, 116;
scope of, Hi specification of implica-
tion needed, I 17; strict rules irnpossible,
I 2 t; and selection of structural tones
(see Structural tones, selection of); un-
realized impljcation and, 1 17. See also
Criticisrn; Methods, analytic
i\1cchods, anal)cic: n1odification or
r1orn1alization, u [Ex. 1- 3 compared
wich l & tli 31-34 [Ex. 8-10 w.irh .1
3.i [Ex. I ID ,,rith !} f. [Ex. 1i \Vlth
!!.1 fEx. z 3 C '"'ith z 3BJ, [Ex. U
\\rich ill.,. 50-5 r [Ex. ?8A & B \\ith 28C
& [Ex. 42 \vith 411.i. t20 [Ex. 59A
\Vith iQ1 124- r25 fEx. 6 1A & B \V.ith
filL !..i.4 [Ex. 8a. with 211 !.iZ [Ex. hl
w [Ex. 2!1. !..25 [Ex. 103], u6 [Ex.
x17B & B'with 117], ?18 [ Ex. 120F \vich
A and BJ, 222 f. [Ex. 124] , f . [Ex.
236 f. [ Ex. 133B \vith A], !J..2 IEx.
133C with A] , LEx. 138 -..'.\rith 139-
141] , !.i! [Ex. !..i.! \\ith 14 1]; b)' paired
comparison, Chapter Tl passim [Ex. 6.
\Vi th i1. [Ex. lil \Vi th 86 f . [Ex.
Mat nal com d1r 1tos autora1s
(\'lechods ( co11t i111,ed )
iZ \vith !11 I.Ill. f. [ Ex. 55-56 \Vith H1
!.!1 f. [Ex. \vith hl Chapters \'11-
Vlll passi111
J\ f itchell, \.\f111., us
acco11tpani111ent enhances, 139;
echo creates, ill f .; harmonic, 100,
117, Chaprcrs \ .' JI- VIII passi11z; rnelodic,
Chapters IV, Vl- \ TJII passi111; non-
co11gruence creates, ( see also Param-
ercrs, noncongrucnce of); and c losure
depend on paratl letric inneraction, 81,
88, Chapters Vl-\TJI( ptrssi111; prior or-
ganization and, 3.ii rltythn1ic, 28, 32-34,
Th 100, 127, Chapters Vll- Vlll
p.1ssi1J1; unifor r11it}" creates, 1.6 ( see also
U 11iforn1it)' )
J\lu111entun1: lengths extended b)', 161,
233. See also Uniformit)'
!\ lo rphological length: co111plcte before
extension, 2 3 3; elision disturbs, 2 33; es-
tablish1nenr o f, 114, '5'5i equivocal, 132i
extension of ( see Extension); nor111aliza-
tion of ( see Prolongations, norn1ali7.-
ing) ; patterning changes, [Ex. ll1.i
stretched ( see Extensio ns)
i\fozart, \V. A., !.Q.2
Narriicl ur, E::ugene. n..
Near East, music of, 6.6
N eigl1hor-notc structure, fEx. !iil
Ninetecnth-cenc:ur\.r music: axial melodies

occur in, !!:..i changing-note n1clodies
nut co111mon in, n.; conformant re-
lationsl1ips in, 5 5- 58, ZQi cultural in-
fluences on, 56-58; hierarchic sin1plicit}'
ci f, 163, 166, !.2.i n.; i11complece rhy thms
in, 205; size of coni posicions in, !l:2l
n.;, variations become processive

Norn1alizari r>n. See Methods,
Notation, li111irat ions of, u f .
Occa\e: functions as goal, 102, 197; range
defined 103, 118, !..4Q f ., 149, 1 58,
261, u6 !b 240; Stability enhanced b)r,
Cl1ai)tcrs \
1l- Vl ll passi111;