REVIEW-ESSAY

An Update on the Current State of Schenkerian Research:

Volumes Edited by Hedi Siegel and by Allen Cadwallader

Walter Everett

B ooks edited by Hedi Siegel (Schenker Studies, Cambridge: Cambridge University Press, 1990) and Allen Cadwallader (Trends in Schenkerian Research, New York: Schirmer, 1990) bring together twenty-three essays of

broad and narrow focuses by eighteen of the world's most prominent or promising scholars of Schenkerian theory and analysis. Both volumes stand proudly on the shelf alongside David Beach's Aspects of Schenkerian Theory (New Haven: Yale University Press, 1983) and Maury Yeston's anthology of previously published arti­cles, Readings in Schenker Analysis and Other Approaches (New Haven: Yale University Press , 1977). Since Siegel and Cadwallader include contributions from comparable (and intersecting) pools of authors, there are few sharp distinctions between the two volumes other than the fact that Siegel's contains fourteen essays to Cadwallader's nine. Siegel presents leading figures (Charles Burkhart, John Rothgeb and Carl Schachter each appear only here) while Cadwallader's writers are less seasoned (several were Ph.D. candidates at the time of their contribution). Each book includes three brilliant essays that stand out for their musicality, analytical insight, originality of approach, overall writing, and/or significance for the field: the three best, by Patrick McCreless, William Rothstein, and Schachter, all appear in Siegel; Cadwallader's best essays are by himself, David Gagne, and Eric Wen. A second tier of articles, based on the same criteria, would include those by Burkhart, David Loeb, Roger Kamien, and Wen (all in Siegel), and by Rothstein and Channan Willner (in Cadwallader). Because of the consistently high level of research provid­ed in both books other readers with interests different than mine are likely to have different rankings, but on the whole, the Siegel collection represents a greater vari­ety of viewpoints and greater weight of authority than does the Cadwallader. Siegel has collected publishable conference papers from the 1985 Schenker Symposium that have not appeared elsewhere (references are given for conference papers not includ-

122 THEORY AND PRACTICE

ed therein) as a Festschrift for Felix Salzer, while Cadwallader has solicited essays (which are allotted an average of some ten to twenty percent more space each than those in Siegel) specifically for this book. Siegel provides a brief introduction to each group of essays (bundled by general topic), while Cadwallader offers nominal remarks in a short preface; his articles are not categorized but presented in alphabeti­cal order by author's name. Siegel includes a useful index of scholars, composers and works, and Cadwallader has notes on contributors. Both volumes have received excellent proofreading. 1 Siegel's format is preferable: her uncentered text creates margins generous enough for the most enthusiastic glosser, and she features conve­nient footnotes (as opposed to Cadwallader's endnotes). Schirmer has placed all of Cadwallader's musical examples only at the extreme top or bottom of any page, a decision that sometimes leads to unnecessarily premature appearances, or clogged reserves, of examples (most annoyingly with examples 4.8-4.10). There are no more substantive differences than these between the volumes.

This essay responds to each of the twenty-three contributions with a brief pre­cis and/or critical remarks, and with expansions on aspects of articles by David Loeb, Arthur Maisel, Patrick McCreless and Carl Schachter. In Siegel's manner, I have chosen to group the articles loosely by topic; essays designated "[AC]" appear in Cadwallader's collection, and those marked "[HS]" are in Siegel's. My review con­cludes with a summary of certain trends observed in the essays which point the way to future Schenkerian research.

I. The History of Schenker's Theory: Epistemology and Reception

William Pastille, Hedi Siegel and John Rothgeb discuss sources in the development of Schenker's thought-Pastille on Schenker's epistemology and Siegel and Rothgeb on Schenker's study of composers' manuscripts. William Rothstein and Jonathan Dunsby discuss the contemporary scope of American and British interest in Schenker.

William Pastille: "Music and Morphology: Goethe's Influence on Schenker's Thought" [HS]

Pastille [HS] shows how Goethe's scientific work was influential in the devel­opment of Schenker's musical ontology.2 He summarizes how Goethe developed a morphological taxonomy of living and inanimate objects, classified under prototypes that include characteristics common to all forms within that class (the famed Urpflanze is the "type" of the plant world); the prototype is conceptual yet percepti­ble through the imaginative comparison of one object with previously observed examples. Each object is classified through a great insight (the aperru) that matches the object with the governing prototype. The different forms of the class, some more like the prototype and some more different, come into being through a play of four conflicting forces.

The concepts of the prototype and the aperru, Pastille demonstrates, come into play in discerning strict contrapuntal functions within free composition, a process already speculated on in Harmonielehre, identified in both volumes of Kontrapunkt, and highly developed in Der freie Satz. Goethe's ontological principles form the

CURRENT ScHENKERIAN RESEARCH 123

basis of an interpretation of Schenker's concept of the interplay of vertical and hori­zontal forces.

Schenker's analysis of Hassler ' s "Lustgarten" tune (appearing as Figure 116 of Free Composition), in which a "normal" background structure is perceptible despite anomalies in the middleground and foreground, leads Pastille to conclude that regardless of lower-level anomalies, "so long as the foreground permits the recogni­tion of the underlying models . .. the piece still belongs to the class unified by the [prototype]." Obviously, a normal background structure would not have been evident to Schenker in many late nineteenth-century works and in atonal works, but it would be interesting to see an application of Goethe's taxonomic principles in the catego­rization of various repertoires that might include anomalous structures at lower levels and still permit the perception of typical backgrounds . Perhaps it could be shown where many works that blend contrapuntal and harmonic principles, such as six­teenth-century motets and madrigals or a great deal of this century's more interesting jazz and rock musics, might fit under Schenker's umbrella.

William Pastille: "The Development of the Ursatz in Schenker's Published Works" [AC]

Pastille [AC] traces the growth process of the Ursatz from the concept of melodic fluency (first discussed in 1910), which accounts for the structural line(s) underlying a potentially disjunct surface or which normalizes rhythms (to use Rothstein's term-see below) so as to clarify a contrapuntal structure, to the discovery of the various permutations of the archetypal Ursatz structure through related prolon­gations at various levels-Schenker's main focus during the period 1925-1935 . Along the way, Schenker introduced the terms Urlinie in 1920 (in an expansion of the con­cept of melodic fluency) and Ursatz in 1923 (in defining a two-voice structure resembling those of strict counterpoint, with a number of lower levels of voice-lead­ing prolongations). By 1925, published examples show that the Urlinie always descends to I by step from 8, 5, or 3 , and is accompanied by a bass arpeggiation of tonic harmony that supports upper-voice passing tones. Schenker's notational system reached maturity in the publications of 1930-35.

Hedi Siegel: "A Source for Schenker' s Study of Thorough Bass: His Annotated Copy of J. S. Bach' s Generalbassbiichlein" [HS]

Many of Schenker's ideas concerning thorough-bass theory are collected in one 1917 manuscript, "Von der Stimmftihrung des Generalbasses." 3 This document, including many references to the work of J. S. Bach as well as to that of C. P. E. Bach, reveals some of the intimate connections Schenker perceived between practical thorough-bass instruction and the more abstract realm of harmony. Siegel's essay treats Schenker's copious annotations to his copy of a fifty-page instruction on fig­ured bass attributed to J. S. Bach (and published in 1880 as an appendix to Spitta's biography). Of central importance in her exposition is the fact that Schenker saw the latent beginnings of the composing-out of harmony within primitive figured-bass exercises that stand at the threshold of free composition. This connection is clear both from the stems, slurs and identifications of scale degrees (with capped Arabic numerals for the soprano voice and with roman numerals for scale steps) that

124 THEORY AND PRACTICE

Schenker adds to the exercises, and from his commentary that complains of the limit­ed adequacy of the figures to communicate to the student the functional harmonic structure underlying any of several given passages, as when the bass line itself is contrapuntally ornamented. Unfortunately, there is no way of knowing when any of Schenker's various annotations were added to the text; Siegel gives documentary evi­dence that he still referred to the "Generalbassbiichlein" at least as late as 1932.

John Rothgeb: "Schenkerian Theory and Manuscript Studies: Modes of Interaction" [HS]

Schenker is regarded by many as the father of autograph studies; not only did his analyses and his own performing and critical editions break ground in their reliance upon composers' manuscripts , but he was also involved in amassing a great archive of photocopies of such documents in Vienna, under the direction of his stu­dent , Anthony van Hoboken. 4 With the aid of three Beethoven examples, Rothgeb provides an introduction to musical content that can be present only in aspects of composers' orthography. Aspects of fair copies, but also of sketches and drafts, are considered. It is in discussion of the sketches that Rothgeb brings us close to the rich artistic necessities that demanded changes during Beethoven's compositional process. In a penetrating analysi s of the unusual retransition to the recapitulation in the opening movement of the "Pastorale" Symphony, we are told that extant sketches reveal that Beethoven had a great deal of trouble with this return to the recapitula­tion, but we are deprived of any reference as to how the sketches reflect the process of Beethoven's solution in this case .5 Having been teased, we can only hope that Rothgeb will approach this topic again, in a forum that will permit a more expansive study.

William Rothstein: "The Americanization of Heinrich Schenker" [HS]

Jonathan Dunsby: "Schenkerian Theory in Great Britain: Developments and Responses" [HS]

Rothstein and Dunsby provide brief estimates of the current health of the Schenkerian movement in America and Britain, respectively. It is difficult to imag­ine how Schenker ' s legacy could have flourished had not an important group of Schenker's students-Weisse, Jonas and Salzer chief among them-emigrated to the U.S. in the 1930s. Rothstein mentions this group briefly in his elegant, entertaining and multilayered paper that Dunsby has rightly referred to as the unofficial keynote address of the 1985 Symposium.6 Rothstein also acknowledges Babbitt and Forte for having accorded an Ivy League entree to the Schenkerian method, but this is the extent of the detail provided on the American history of Schenkerism. Rather, Rothstein provides a more personal account of the ascendancy of Schenker's approach in the American academy (aspects of which ascendancy are insightfully compared to the farings of other intellectual and social movements) and the specific difficulties that Schenker ' s adherents have routinely had to face in that academic cli­mate . The essay ends with a progress report on Forte ' s 1959 checklist of topics that demand Schenkerian treatment, including "the nature and history of musical style within the tonal era," a topic that is addressed, in part, by Rothstein's own Phrase Rhythm in Tonal Music (New York: Schirmer Books, 1989). 7

CURRENT ScHENKERIAN RESEARCH 125

Dunsby's apology for the slow reception of Schenker's ideas in Britain (due, he says, to a general absence of academic musicology before the 1960s, and more specifically to a stronger focus on modern and early musics than on the common­practice repertoires) turns to a complaint against the doctrinaire and wrong-headed approach in his country to early and secondary music education as preparation for standardized examinations. Like Rothstein, Dunsby proposes a number of avenues for further study; most suggestive is the call for a "thorough, frank, comparative appraisal of fifty years of Schenkerian work."

II. Issues of Interpretation and of Stylistic Context

Carl Schachter and William Rothstein address theoretical problems that arise in Schenkerian interpretation. In applying Schenkerian principles to works outside of the common-practice canon, Saul Novack, David Stern and Arthur Maisel broaden the stylistic contexts for a Schenkerian understanding of tonal mechanisms.

Carl Schachter: "Either/Or" [HS]

Schachter writes of the analyst's dilemma in determining harmonic identity when confronted with two plausible alternatives, the solution of which requires a high degree of intuition in the search for the determinative clues. Examples from Chopin, Haydn, Bach, Mozart and Schubert illustrate five different types of interpre­tative problems that at times present themselves because of the truly abstract nature of harmony. In some cases, details can illuminate the context (as when motivic design-specifically, a complete upper-neighbor figure decorating the fifth scale degree-clarifies the subordinate relation of (IV) to I in the opening phrase of Chopin's G# minor Mazurka); in others, the opposite is the case (as when, in the sec­ond movement of Mozart's C minor piano concerto, the "tonic" represented by the abbreviated first return of the rondo theme is heard as parenthetical, predominantly because of connections between the surrounding episodes). Characteristic of much of Schachter's recent work, this article continuously acknowledges the complex psy­chologies of both the masterwork and the listener, courageously insisting upon an open, non-dogmatic approach to hearing. This, for Schachter, is the essence of cre­ative analytical thought; as he cautions in his final sentence, "we run the risk of becoming imprisoned in our vocabularies and ways of thinking; without vigilance on our part, these can all too easily block our access to the music we wish to make our own."

All of the vexing forks in the true path to harmonic understanding posed in this essay are successfully overcome through the imaginative application of Schenkerian principles. Similarly intriguing is one dilemma, related to the type of problem with which Schachter grapples, that Schenker seems never to have resolved for himself. The technique of the 5-6 exchange arises in a rare intersection of the usually separate domains of counterpoint and harmony.s Even in "white-note" exercises involving the 5-6 exchange over a fixed bass note (see Example 1), the sure identification of roots potentially a fifth apart becomes intertwined with the understanding of anticipations

126 THEORY AND PRACTICE

Example 1: 5-6 exchange over fixed bass

' ~ JSJ?g C: IV

5 - 6 v (II?)

and neighbor tones, both contrapuntal functions. Central to the problem is the bal­ance of the roothood tendencies of both the subdominant and the fifth progression from II to V. In free composition, analytical difficulties involving examples of the 5-6 exchange are compounded not only by free textures, but also by such techniques as the ellipsis of the fifth, the addition of a root below the sixth (creating an illusory "root position" triad) chromatic alterations that create contrapuntally-derived applied chords, unfoldings of both the fifth and the sixth, and rhythmic shifts, all of which can conceal a 5-6 exchange from the surface. These constructions are treated with varying degrees of consistency in Schenker's analyses (even in his final publications, and occasionally in contradictory analyses of the same passage). Some writers, fol­lowing Schenker, maintain that the nature of the 5-6 is understandable through the middleground, or that it is determined through an appreciation of context, but despite scores of examples relating to the 5-6 in Schenker's published writings, systematic criteria for harmonic interpretation have never been established.9 What factors may lead to consistent analytical approaches? The intention in raising this issue is not to express a hope for the reduction of a host of complex variables to a simplistic view of related but different techniques, but to seek a clearer understanding of the criteria that may have guided Schenker's (perhaps unconscious) interpretation of harmony. The following paragraphs speculate as to how two factors seem to have provided unspoken guiding principles for Schenker in raising the sixth chord in the 5-6 exchange from the status of a passing happenstance to that of a harmonic function . (Judgments made below concerning Schenker's privileging of one Stufe over another are based upon tthe presence or absence of roman numerals and figures, slurs, and parentheses in his late published sketches, particularly in Free Composition.)

For Schenker. following Kirnberger, the 5-6 exchange has a fundamentally con­trapuntal function. 10 Largely because of the roothood tendency imparted by the ver­tical fifth Schenker usually seems to favor hearing the step progression IV-V in situa­tions such as that .in :Example 1, with the 5-6 exchange functioning to eliminate par­allels; the sixth is heard as an illusory passing interval unless other factors bring it into prominence, leading to an equal hearing of IV and II, or, rarely, the hearing of IV as subordinate to IL The many examples in Free Composition involving a 5-6 exchange over "IV," leading to V, show that Schenker consistently heard the upper sixth as an anticipation of the fifth of V, unless an upper-voice descent to 2 could increase the autonomy of the second scale degree, leading to a strengthened percep­tion of supertonic harmony and masking the contrapuntal effect of the elimination of fifths. This is apparent from the inclusion of Roman numeral II in Figures 76/2,

CURRENT Sc:HENKERIAN RESEARCH 127

109b and 63/l of Free Composition (the last should be compared to an earlier hearing of the end of the trio from the third movement of the "Eroica" Symphony, sketched in Fig. 42 of Das Meisterwerk in der Musik III (1930). which has "II" placed in paren­theses). These examples are representative of Schenker ' s consistent approach to the role of the upper line in the identities of IV and II in his last work. In Counterpoint, Book II, Schenker may be imagined to support this hearing when he says that the foreground in free composition emphasizes "sometimes the sixths and sometimes the fifths according to need (specifically the needs of the fundamental line)."11 In Free Composition, he says, "the nature of the IV and the II is determined by their signifi­cance within the cadence of the prolonged fundamental structure."12

The second factor that seems to raise the sixth chord to a higher structural sta­tus for Schenker is the creation of an illusory but strong octave by the addition of a root. The addition of a "root" below the sixth chord in a 5-6 succession appears in examples from Free Composition only when applied to the I-VI change of harmony, which is so indicated with roman numerals even in cases where "VI" does not lead to II, but returns to I. So strong is the addition of a root in Figure 153/2, for instance, that Schenker represents the passage as embodying a pseudo-harmonic "I-VI-I" motion rather than the 5-6-5 neighboring pattern that is the essence of the voice lead­ing. A related hearing, "I-(VI)-I," is given by Schachter in his analysis of the rela­tionship between the first couplet and surrounding ritornelli in the Gavotte en Rondeau from Bach's E major violin partita (an analysis cited in "Either/Or").13 As a parallel to Schenker's conception of the leaping passing tone, Charles Burkhart has dubbed the added root of "VI," beneath the I5-6-5 structure, a "leaping neighbor tone." 14

In some of Schenker's analyses that feature sketches in multiple systems, a contrapuntal hearing usually informs a deeper level than does the change of harmony, which might be indicated on a lower level. This would seem to stem from Schenker's dictum that composition is based on voice leading that derives from a sin­gle harmony, but it would also seem to undermine his view that abstract Stufen are less tied to the surface. Apparently, the balance of the contrapuntal and the harmonic in the 5-6 exchange was a dilemma that challenged Schenker to the end of his life.

William Rothstein: "Rhythmic Displacement and Normalization" [AC]

Criteria based on rhythmic principles of strict counterpoint serve Rothstein in the process of "normalizing" rhythmic displacements. a part of the process of reduc­ing musical content in moving toward deeper levels. In this reworking of several chapters from his 1981 dissertation-which reverberates with both Schachter's meth­ods of rhythmic reduction (giving a nod to the latter's distinction between durational rhythm and tonal rhythm) and Westergaard's species-based laws (in the codification of a number of related rules that verticalize underlying harmonies, whether expressed as arpeggiations, as linear progressions, or as dissonance-produced disruptions of simultaneities)-Rothstein displays an impressive command of r:elationships between harmony, counterpoint and rhythm in free composition. As an unexpected and highly valuable bonus, all three aspects are combined in a study of texture (on which more is promised in the future, under the rubric of the "imaginary continuo") .15

128 THEORY AND PRACTICE

In a highly musical essay, the writer reminds us that the displacement process functions as an intensifier, and he often suggests connections between the tensions existing between structural levels (as observable through Schenkerian analysis in general and rhythmic normalization in particular) and musical affect (as in the descriptions of hermeneuticians). Partially in deference to his own book, Rothstein is careful to limit his discussion to sub-phrase relationships; he demonstrates his findings with rich hearings of the first eight measures of both the final movement of Mozart's B~ Sonata, K. 333, and Chopin's "Military" Polonaise.

Saul Novack: "Foreground, Middleground, and Background: Their Significance in the History of Tonality" [HS]

Novack provides a thumbnail portrayal of the emergence of various relation­ships between hierarchical tonal levels in medieval and Renaissance modal reper­toires, a survey of important developments of same during the tonal era, and a hint as to the compositional purposes that require a focus on the foreground and middle­ground (and the dismissal of the background) levels in the structures of Wagner and beyond. As the reader is advised at the outset, this essay is broad and brief, with lacunae and generalizations; four pages are devoted to pre-Baroque literatures, four to Monteverdi through Wagner, and three to summary and conclusion. No graphic examples accompany the discussion and no contemporaneous theorists are cited, but several references are provided that do help to flesh out this skeletal outline­Novack's own contribution to Beach's collection, for instance, includes graphs of plainchant, polyphonic examples from Compostela and the Notre Dame school, and an example from the formes fixes; all help to substantiate points made here. 16 The most important other reference is to the final chapter of Counterpoint in Composition, which provides a series of graphs of repertoire from Binchois through the common-practice period and beyond.17

Novack focuses on the ramifications for differentiated structural levels of the emerging of prolonged consonances in early polyphony, of motivic design in the early Renaissance, of harmonic fifth motions in the sixteenth century, and of the deep development of all of these aspects and others in the common-practice period. The essay's strongest passages treat Bach's settings of modal chorale tunes in a tonal con­text and the essential aspects of the sonata-allegro structure. The writer's hope is to "suggest paths for further study"; only a Schenkerian with the stamina of a Blume or a Grove could envision following all of these paths within a single project.

David Stern: "Schenkerian Theory and the Analysis of Renaissance Music" [HS]

Stern responds to Schenker's many characterizations of an historical context for his theories of voice leading and tonal structure with an essay that proceeds from an overview of harmonic and contrapuntal practice of the late Renaissance as related to that of the eighteenth and nineteenth centuries, to a Schenkerian view of motivic and tonal structures in passages from two Josquin works. This article is high schol­arship, based as it is on a careful study of the contemporaneous treatises and the essential related writings of this half of the twentieth century. Following Rivera, Stern uses Gafurius's (1496) and Zarlino's (1558) discussions of the triad to substan-

CURRENT ScHENKERIAN RESEARCH 129

tiate the analysis of Josquin ' s works in harmonic terms. Most interesting is Stern ' s speculation as to the rise of the 2 - I cadential figure from the tenor part (as the lower part of a 6-8 cadence in the Renaissance) to the upper voice (with the advent of the basso continuo ).

Arthur Maisel: "Talent and Technique: George Gershwin's Rhapsody in Blue" [AC]

In Maisel's study of the triumph of a genius ' s intuition over his lack of train­ing, the central argument is that Gershwin's talent is manifest in a coherent yet improvisatory expression of a long-range plan in Rhapsody in Blue. The coherence is evident in Maisel's convincing sketches, which show hidden motivic repetitions working at all levels , governing the large tonal structure and generating the epiphanal "Blues" theme. The essay's introductory page s make a case for judging the Rhapsody against the organically coherent forms of the common-practice period; similar comparisons against fantasias and rhapsodies written by trained composers would be more informative. Perhaps Maisel or others could lead the way to a new understanding of these eighteenth- and ninetenth-century genres along the lines sug­gested in this essay.

In order to suggest more fully the breadth of Gershwin's talent and technique, the following paragraphs cover two important jazz-based structural aspects of the Rhapsody not developed by Maisel (nor, for that matter, treated in Gilbert' s Schenkerian discus sion of Gershwin ' s work) . 18 More attention might have been given to the related roles of the tritone and the whole-tone scale in the Rhapsody . In this piece, strong dominant functions are often colored by enharmonic tritone substi­tution : this operation is hinted at, but not made explicit, at the end of Maisel ' s Example 4.6, and is the heart of the "referential collection" given in his Example 4.8. Other structural dominants are treated similarly, but one (at measure 382, the prepa­ration for the episode marked "Agitato e misterioso," which introduces the Finale) is given an astounding twist. As abstracted in Example 2, this transitional passage (cul­minating in mm. 375-382) moves through a circle of fifths carrying V7 functions (F#7-B7-E7-A 7), which chords are inverted on downbeats so as to highlight a descend­ing chromatic line in the bass (additionally, a chromatic passing tone is introduced in the alto register in m. 378 , and is treated sequentially in m. 382, so that the three sus­tained voices descend by half step). This structure supports the upper-line develop­ment of the "Blues" theme, first (in mm. 375-78) at its original transposition level and then (mm. 379-82) a step lower. Note that the "Blues" theme, in measures 375-76 and 379-80, is given a whole-tone presentation (see stemmed noteheads) ; these use the equal intervals that best work as passing tones within the expansion of the altered V~~ chord heard in this passage (although the unaltered fifth is also heard , and indeed given acoustical priority). 19

The transition gives way, with the resolution of A7 not to the expected first­inversion D chord but to a root-position F# minor chord, as the upper voice sustains C#5 rather than resolving to D5 (which note function s not as a chord tone, but as an upper neighbor that is fir st heard as a dissonance). What is startling about this pas­sage is the unusual sort of tritone substitution here , based upon the structure of the altered dominant seventh : the tritone G-C#, initially heard as part of V7 of D, is twist-

130 THEORY AND PRACTICE

Example 2: Analysis of Gershwin, Rhapsody in Blue, mm. 375-383

B~ E6 5

A4 2

ed so as to function, not as in the classic case (as part of V7 of A~), but as part of the altered V~~ of F#. This structural transition, the tritone between root and lowered fifth of these altered chords, the importance of the augmented dominant seventh in the "Blues" theme (as at m. 307), and the work's other whole-tone passage-in preparation for the final "Grandioso" reprise (marked in Maisel's Ex. 4.9)-indicate that the whole-tone collection and related altered dominant sevenths are important structural features of the Rhapsody.

One other blues sonority deserves note here. That is the so-called "#9" chord, otherwise heard as a major-minor seventh with added minor third (e.g., F-A-C-E~­A~ ). With fifth omitted, as the chord is often performed, this happens to be the chord (a common representation of collection class [0, 1,4,6]) heard at the end of the open­ing song of Schoenberg's Op. 15, and as such is characterized by Allen Forte as one "with a very special place in atonal music. It could occur in a tonal composition only under extraordinary conditions, and even then its meaning would be determined by harmonic-contrapuntal constraints ."20 In fact, George Harrison's "Taxman" (1966), Jimi Hendrix's "Purple Haze" (1967) and countless blues compositions give this all­interval tetrachord a straightforward tonal context bound by very few constraints . The opening of Gershwin's Rhapsody features the #9 sonority in a number of con­texts, illustrated in Example 3. The identities of examples with roots of E~ and F are self-evident (compare the voicing of the #9 chord on F, m. 4, with Forte's nearly identical Schoenberg reference!). The example taken from measure 5 juxtaposes the B~ major triad with the major-minor seventh on G (ornamenting the local B~ tonic with blues-derived parallel major chords on the sixth and lowered-seventh scale degrees); when the B~ and G7 chords are heard in proximity (especially with the F sustained above), the effect of the #9 chord on G is produced. This sonority, so important in the work's opening, also sheds light on the chromatic motion from G to G#, over E, in measures 28-29, an essential part of the voice leading here that is not addressed by Maisel in his discussion of these measures regarding his Example 4.2. The final illustration in Example 3, from measure 383 (also included in Example 2), highlights another structurally significant appearance of the #9 chord. (Additionally, the EP chord, in its various contexts illustrated here, also highlights the E~-D~ dyad in ways that support Maisel's focus on this interval in his Ex. 4.lb.)

CURRENT ScHENKERIAN RESEARCH 131

Example 3: Analysis of Gershwin, Rhapsody in Blue, selected harmonies from mm. 3-18

_A J_

11 t)

I :x· h

B~:

~ :IE

10 IV 19

7

0 CP

I.. ::'.ll

-u-

10 v 19 7

0 @ M_ :!!- -bJz:

~~ ~ :-__.JO ~ .,.., TT/

_il_

::E ::s..: ::s: ~ ::n: Lli:

10 I 10 I - Vl<l9) EP: I 19 A~ :

7 7

III. Analysis of Works by Bach and Handel

CP

s: u

&

10 v 19 7

•

The three essays on Bach-by David Loeb, David Stern and Larry Laskowski-focus on issues in the analysis of both vocal and instrumental forms: Stern deals with the former, Laskowski with the latter, and Loeb with both. This section will conclude with comments on Channan Willner's essay on Handel.

David Loeb: "Dual-key Movements" [HS]

Loeb presents transitional sections (normally identified as movements) from the St. John Passion and the sixth Brandenburg Concerto that do not form self-con­tained tonal statements, but rather move from one tonal center to another. Only in his final paragraph does he speculate that perhaps these sections ought not to be thought of as "movements," a notion that could lead to a great deal of profitable research into the comparable functions of discrete sonata movements, conjoined con­certo movements, transitional operatic numbers, sectional preludes and fantasies and the like. Not given the space to investigate this larger question of formal relations, the writer offers highly persuading voice-leading analyses of his two passages and hints at deeper future exploration of the boundaries within some large Baroque works.

In a scene from the Passion, Loeb discovers strong voice-leading connections between two arias that are joined by the intervening pairing of a recitative and an arioso. The nature of the tonal coherence among the four numbers is contrapuntal (based on an ascending 5-6 sequence) rather than harmonic (as compared with, for instance , Komar's hearing of many of the key relationships among the songs of Dichterliebe) .2 1 We are told that the arioso ends with a question that almost demands a musical continuation into the following number. Had Loeb explored the poetic text any further, he would have found strong support for the linking of these four numbers into a scene; perhaps Loeb assumes that the reader knows that these movements directly follow the portrayal of the crucifixion, and that both the intermediary num­bers (the recitative and the arioso) describe the rending of the temple, the quaking of

132 THEORY AND PRACTICE

the earth and the rising of spirits from open graves-all good reasons for Bach to have created unstable musical settings in the two pieces that are flanked by the tonal­ly stable, meditative arias. One other disappointment : in connection with Loeb's Example 1, it would have been good to see a discussion about the division of the structural upper line between vocal and continuo parts, as at recitative cadences.

Given the space, the transitional qualities of this passage might have been com­pared to those in other crucifixion scenes, from the sublime (see "Er stirbt" in C. P. E. Bach's Die letzten Leiden des Er!Osers, "Er ruft: Es ist vollbracht!") to the ridicu­lous (see "er gestorben" in Kiihnhausen's Passion nach dem Evangelisten Matthiius, mm. 430-31); but given that the poetic text of Bach's "St. John" arioso ("Und siehe da") is taken directly from the Gospel of St. Matthew, it would have been most inter­esting had the writer chosen to compare Bach's two settings of the same text in the two great Passions, regarding the musical place of each piece within its own group of surrounding numbers. Given the fact that Bach's setting of the St. Matthew Passion sometimes works against Picander's clearly demarcated scenes (today we have a number of conflicting interpretations of the "proper" segmentation of the St. Matthew), this would have been an especially profitable direction. In fact, the "scene" in St. Matthew that would be analogous to the passage chosen from St. John is not only a good deal longer (depending upon the chosen segmentation, it would comprise the six numbers from "Sehet, Jesus hat die Hand" through "Mache dich, mein Herze, rein," or even the nine numbers from "Und da sie an die Statte kamen" through "Mache dich"), but it is also a good deal more complex than the St. John group.

Instead of having chosen a group of paired passages with similar functions, Loeb presents a very different second case-one without the benefit of an accompa­nying poetic text that could programmatically justify tonal instability. His analysis of the Brandenburg movement (which becomes an expanded version of the tonally transitional function common in slow Baroque sonata and concerto movements) is unusually perceptive, particularly in noting the summarizing references to fugal entry points in the movement's codetta (see p. 81)-an organic hearing on a par with Schenker's discussion of the coda to Bach's C Minor Fugue from WTC I in the Meisterwerk essay on fugue (though this particular technique is not heard there ... one wonders how common it might be in Bach).22 Also of interest here is the discus­sion of the motivic value of key centers as references to events in surrounding move­ments (see p. 82); coincidentally, the motivic relationship between key centers of various movements (beyond the mere citation of Matthesonian key "characteristics") has been found very informative in the structure of Bach's cantatas .23

Loeb's chief contribution lies in showing that the entire contents of a single movement need not be assumed to be in one key. The transitional nature of the dual­key movements chosen for illustration marks their problem as one fundamentally dif­ferent from that ,discussed by Harald Krebs in his contribution to the Schenker Symposium, or from the situation involving an auxiliary cadence (as in Chopin's Op. 31, the "D~ major" Scherzo), but Loeb has suggested an approach that should greatly encourage Schenker-svmpathizing analysts of Wagner, Mahler and Puccini as well as of Bach. 24 When dealing with multi-key pieces that accompany a poetic text in song, choral work or opera, the analyst must confront Schenker's dictum that "music is

CURRENT ScHENKERIAN RESEARCH 133

emancipated from every external obligation, whether it be [the expression of] words, the stage, or the narrative aspect of any kind of program."25 Loeb offers the analyst the approach necessary to understand the underlying musical control of many such drama-related situations.

David Stern: "Hidden Uses of Chorale Melodies in Bach's Cantatas" [AC]

Stern's essay proceeds from a brief overview of Bach's and Kirnberger's gener­al practices of adapting chorale melodies, to the study of "hidden," expanded appear­ances of chorale tunes and their structures in movements from Cantatas 38, 90, 140 and 14 7. 26 Stern is to be commended for his excellent choice of examples in support of his argument, in that the chorale tunes are faithfully represented in his analyses of Bach's recompositions. In reducing the foreground to the underlying chorale melody, Stern has made no arbitrary choices of notes (some from one structural level and some from another, the bane of much motivic analysis), but it should be noted that in the passages cited in Stern's Example 7.16, Bach gives notes of the chorale melody different metric emphases than they possessed in the original tune.

A few points in Stern's graphs do attract question. In his Example 7 .8, would it not be instructive to hear the bass C in measure 5 as a neighbor to Bb, marking both with asterisks as references to the chorale tune? In Example 7 .9, it seems that the G3 of measure 11 is not a goal but provides consonant support to B4 in such a way as to avoid parallel fifths in approaching the goal of A4 over D3. In the discus­sion regarding Example 7 .12, the motion from E to C is described as the descent of a third (so as to represent a hidden motive); this represents the descent of a third no more than the example's first four eighths represent the melodic descent of a fourth-in each case, two voices are represented.

On occasion, Stern states that "large-scale ideas ... grow out of ideas on the surface" (p. 120) and that "the larger voice leading springs up in the most organic way from the surface motives" (p . 128). While it is granted that these movements are based upon prior melodies, profitable discussion might have grown out of a consider­ation of the complementary compositional concerns that involve content and context (as discussed by Kirnberger et. al.), especially in light of the reference (p. 123) to Schenker's essay on the opening chorus of the St. Matthew Passion, which describes a highly unusual minor-mode tonal support for a major-mode melody.27 In a related matter, on p. 119, Stern alludes to the tonal setting of one modal chorale tune, the Phrygian "Aus tiefer Not." This is a topic deserving of greater expansion; one might cite the dramatic difference between the first four and the final fifth settings of Hassler's Phrygian "Lustgarten" tune in the St. Matthew Passion. Clearly, Bach has to be credited with composing "from the top down" as well as "from the bottom up."

Larry Laskowski: "J. S. Bach's 'Binary' Dance Movements: Form and Voice Leading" [HS]

Laskowski presents the proposition that "binary" dance movements do not share a single form-type based on voice leading. He offers analyses of the Menuet and Sarabande from the E Major French Suite to support his anti-intuitive yet tanta­lizing argument that the dominant at the double bar need not be of deep structural

L

134 THEORY AND PRACTICE

value, allowing for a good number of possible formal arrangements of the fundamen­tal structure and first-level middleground. His reasoning given on pages 90-93 is solid, as is his characterization of Schenker's writings on form, but his premises depend upon convincing analyses, which are not provided here. His fundamental claim could not be refuted before undertaking a thorough review of all of Bach's major-key binary dance movements (one or more that would satisfy his conditions may well exist), but this reviewer has studied a representative sample-all such movements in the E major French Suite, the E major Violin Partita, and the C major Cello Suite-and finds all of Bach's dominants at the double bar in these works to be of the deepest structural value.

The crux of Laskowski ' s most controversial argument is presented in a state­ment (p. 88) to the effect that in the Sarabande, the dominant at the double bar con­nects the opening I to the #I of measure 12, and in a paragraph (p. 89) that finds the Menuet and Sarabande therefore to be of fundamentally different structural design .ZS Example 4, presented as an alternative to Laskowski 's Example 2, indicates that the #I of measure 12 can instead be heard to have a low-level passing function, and main­tains that the Sarabande has a structure remarkably similar to that of the Menuet (as shown in Laskowski's Example 3).

Laskowski 's other analyses are not problematical; I agree fully with his discus­sion of the Menuet on pp. 85-86, and he provides a wonderfully sensitive reading of the relationships between consonance, dissonance and rhythm in the Sarabande in the second half of the second paragraph on p. 87. Carl Schachter notes in his contribu­tion to the same book (p . 173) that "a dominant , say, at the double bar of a movement in a Bach suite can function as a relatively low-level divider rather than as part of the fundamental structure without necessarily ceasing to function as a dominant." This may be true, but I have not been persuaded here.

Channan Willner: "Handel's Borrowings from Telemann: An Analytical View" [AC]

Schenkerian analysis serves as a tool in Channan Willner's study of Handel's borrowings from Telemann, and as such is in service of a somewhat larger question than those posed in most other essays in Cadwallader's book. Willner, who compares two Handel concerto movements and an oratorio symphony with movements from Telemann's Musique de table, filters his findings in voice leading, phrase rhythm, hidden repetitions and large-scale structure through a critical ear for thematic tension and integrity so as to compare aspects of the conservative Baroque and the pre-classi­cal galant styles in related works by the two composers.

Willner often argues with strong evidence that Handel's composition is far rich­er than that of his model, but the writer is also sensitive to the intrinsic value of Telemann's work. The essay ends by touching on Handel's motivation for borrowing, a question that may be constantly in the back of the mind of the reader who is shown time and again the brilliant originality of this composer, but a question that cannot be fully addressed in the scope of these pages. Willner does refer the reader to other treatments of this issue, and in general his scholarship is exceptional in covering issues of sources and current research into Handel, Telemann and related contempo­raneous techniques.

CURRENT ScHENKERIAN RESEARCH

Example 4: Analysis of J..S. Bach, Sarabande from E major French Suite

A

3

E: I

A

2

(I ~~~~~~~~~

v

IV. Analysis of Works by Mozart

(N6-8) y6- s cons. supp.

135

Mozart contributions come from Roger Kamien, Eric Wen, David Gagne and Larry Laskowski.

Roger Kamien: "Aspects of the Neapolitan Sixth Chord in Mozart's Music" [HS]

As does Willner, Kamien demonstrates a keen ear for the intricacies of thematic construction. The subject of his essay is most narrowly defined: the role of the Neapolitan sixth, featuring the upper-voice contrast of natural and lowered second scale degrees within varied repetitions of thematic ideas, in Mozart's mature writing

136 THEORY AND PRACTICE

(greatest attention is devoted to K. 366, 488, 516, 527, 540 and 543). (A develop­ment of the topics introduced in these works is sketched in footnotes that provide voluminous references to related passages in other Mozart works; notes also serve to provide a larger context for this narrow topic.) A Schenkerian perspective is most useful in discussing both hidden repetitions of motives and phrase expansion (Schenker's Dehnung) involving ~116 , which is at times shown to be expanded by par­enthetical passages. 29

Because of the importance of motivic design in Kamien's discussion, it is notable that no mention is made of Schenker's motivic justification for the existence of the Phrygian II. Schenker's theory of the Phrygian II has a direct bearing on the motivic construction in the passages cited in Kamien's first example, and might prof­itably have been considered in relating the pairs of diminished fifth (within qll6) and perfect fifth (within ~116) in many of the cited passages.JO

Kamien s analytical work is first-rate, but in the midst of an otherwise percep­tive observation in footnote 14 on page 97, one wonders why he seems to relate the chromatic descent of the cello line in measures 236-3 8 (of K. 516, initial Allegro) more closely to the same instrument's chromatic descent in measures 20-22 than to the first violin line in measures 235-37, which it imitates at the interval of one mea­sure; the latter phenomenon explains the noted rhythmic similarity to the first violin line in measures 1-3. Of course, his general point as to the incorporation of ideas from measures 20-24 in this opening of the coda is well taken.

Kamien broadens his scope somewhat by relating, if only in a brief way, the poetic text and music in his two operatic examples, a welcome nod to the particularly dramatic nature of the Neapolitan sixth. Perhaps most importantly, by indicating the variety of many different contexts for the same highly individualized function, Kamien tacitly demonstrates the incredible wealth of Mozart's compositional ideas.

Eric Wen: "Enharmonic Transformation in the First Movement of Mozart's Piano Concerto in C Minor, K. 491" [HS]

Wen [HS] treats the reader to a perceptive accounting of structural motivic relationships involving thematic and transitional materials in the first movement of Mozart's C Minor Concerto, K. 491. Because of the chromatic nature of two of the three central motives in the work's opening theme and related passages, enharmonic relationships obtain both in Mozart's thematic transformations and in his notation. As stated in the title, these are Wen's points of focus-even if the concept is not introduced until p. 114, more than a third of the way into the article.

The opening pages set the stage with a detailed reading of the motivic structure of the first theme, based on voice leading. A problem that surfaces here also affects later discussion; namely, a tendency to relate chromatic ascents or descents through the same pitch classes as though they are necessarily motivically related, even when they function differently. One curious example (p. 109) is of the repeated references to the G of measure 3 as the goal of an A~ upper neighbor, rather than as a passing tone on the way to F#, a function that is made clear in Examples 1 b, le and 2a, and in discussion on p. 112. A related ambiguity occurs with the reference on p. 112 to the D~-Bq diminished third in the flute, measures 18-20: this interval is primarily heard

CURRENT SCHENKERIAN RESEARCH 137

as a repetition of the unison D~ and Bq of measures 6 and 8, respectively, with pass­ing tone C added; Wen might have made this clear by emending his Example 2b as suggested here in my Example 5. But then this hearing does not agree with the asser­tion in his Example 10 that D~ would be heard as part of a larger chromatic descent, from oq. There also seems to be a tendency toward overkill: it is not clear why Wen insists on hearing (even tentatively) Bq as a C~ in measure 8 (p. 114): as his analysis shows, the interval certainly functions as it is written, in resolving to tonic-would he necessarily expect the second oboe in m. 8 to resolve to B ~? While I find nothing earthshaking in the assertions of a relationship between C~ and Bq through pp. 114 and 116, the relationship between the Bq of m. 8 and the C~ of m. 130 (as revealed on p. 117) is a worthy issue. This focus on non-issues tends to weaken an argument that is buttressed by much stronger examples-the discovery (presented on p. 120) of the motivic relationship between the chromatic line A~-D in measures 3-8 and that of G#­D in measures 233-39, with the three motives of the opening theme in measures 228-39, is particularly prescient. Also attractive is the notion (see pp. 122-23) of Mozart's recomposition of transitional chromatic ascents (as in Examples 14 and 22) in one measure (m. 488) heard just before the cadenza.

Example 5: Alternative reading of Wen's Example 2b

c: 1(5)-6 VII~ 16

On page 122, Wen follows Schenker by stating matter-of-factly that the dimin­ished seventh, being dissonant, cannot be prolonged. Instead of as serting a harmonic prolongation, he hears an undescribed "association" between two articulations of the same diminished chord (in mm. 223 and 238) ; this seems contrary to his hearing of mm. 5-8 in his Example 10. In any case, it might have been useful to place the hear­ing of these passages in K. 491 in the context provided by Robert Morgan's examples from Schubert, Liszt, and Wagner, or Aldwell/Schacter's analysis of "Der Wegweiser." 31

Eric Wen: "Illusory Cadences and Apparent Tonics: The Effect of Motivic Enlargement Upon Phrase Structure" [AC]

Wen [AC] focuses on not only a narrow, but also a very original topic: he

138 THEORY AND PRACTICE

shows that a tonic chord (even an expanded tonic harmony) within the expanded con­sequent phrase of a period, might have only an apparent tonic function, in the service of some other harmony (as part of an unfolding of a passing ~. as a locally tonicized point within the arpeggiation of another harmony, or as support for an upper-voice passing tone). The discovery of the function is not original here-Wen himself likens the effect to that produced by an expanded "tonic" chord within a development section, no stranger to Schenkerians-but the fact that Wen discloses various permu­tations of this relationship in subordinate themes in three of Mozart's late instrumen­tal works (the E~ Symphony, K. 543, IV; the D Major Sonata, K. 576, I; and the B~ Concerto, K. 595, I) hints at a point of stylistic development in Mozart's music which, if studied further, could be a major contribution to Mozart scholarship.

Wen displays an uncanny ear for rich "hidden" motivic relationships that help to unify the varied presentations of Mozart's themes. His examples abound, but I cite two here: the expansion of IV6 - qJV~7 in the first movement of the B~ Concerto, K. 595, measures 47-48 (his Example 8.10) and 50-67 (Example 8.13), and the rela­tionship between arpeggiations of B~ major, C~ major, and B minor, as discussed in his footnote 11. Furthermore, Wen provides a compelling analysis of a symphony passage in his Examples 8. 7 and 8.8 that is among the most tonally involved struc­tures tackled in the two books. Given these two strengths, Wen disappoints in not identifying the outer/inner voice relationship between Cq5 and Aq4 (highlighting CS) in his Example 8.6, a relationship that also obtains in other composings-out of the dominant at various foreground levels: in the voice-exchange in measures 62-65 (given in Examples 8.7 and 8.8), in the structural V at measures 79-81 (given in Examples 8.8 and 8.9), in the pseudo-cadence in measure 67 (which might have been shown in Example 8.8), and in the true cadence in measure 84 (given in Example 8.9)

Another aspect of Wen's otherwise exemplary sketches remains unclear: in his Example 8.11 (m. 51), the abbreviation "CP" accompanies a tone lowered by mixture that functions as a neighbor and supports a diatonic passing tone; in Example 8.12 (m. 56), "CP" accompanies a thoroughly diatonic leaping passing tone. Neither attri­bution is discussed in the text. The label "CP" has more of a standard application in Example 8.13.

David Gagne: "The Compositional Use of Register in Three Piano Sonatas by Mozart" [AC]

Gagne discloses registral connections within the opening movements of the sonatas in C major (K. 330), F major (K. 332) and B~ major (K. 333). His topic includes not only the type of large-scale registral associations developed by Oster, but also the role played by register in dramatic changes of texture at structural points in all three movements.32 This latter focus makes clear the importance of register in articulating relations between texture, color and dynamics, with form and tonal struc­ture, in such a way as to be an essential resource for performers who understand that dynamics, articulation and placement are not merely surface features but should reflect expressive aspects of deeper structure as well. In addition, Gagne addresses some ways that registral changes in recapitulations (as in K. 330, on p. 26, and K. 333, on p. 35) can unify structural pitch functions; some of these compositional

CURRENT ScHENKERIAN RESEARCH 139

changes are dictated by the range limits of Mozart's keyboard.33

Larry Laskowski: "Voice Leading and Meter: An Unusual Mozart Autograph" [AC]

While Wen and Gagne have found similar compositional interests-and perhaps unifying stylistic features-across multiple examples in Mozart's late work, Laskowski [AC] concentrates upon a single anomalous situation: the rebarring within the autograph score of the duet, "Bei Miinnern," from Die Zauberf!Ote. Laskowski contends convincingly that Mozart's choice of metrical notation reflects the duet's musical growth, culminating in the unified, text-related descent which begins in mea­sure 44. On pp. 44 and 47. he provides substantial musical reasons for preferring Mozart's original, abandoned barring through measure 43. (Laskowski does say that the voice leading in mm. 12-13 hints at the revised barring, but I hear the deceptive cadence in mm. 13-14 as a motion from strong to weak, and therefore "correct" in the original barring.)

The emphasis on pp. 43-44 and 46 on the relation between poetic text, register, combined vocal parts and fundamental line does Mozart great justice . Because Mozart-like any composer-at times combines the voice leading of both soprano and bass singers into a single line, it would have been useful for the reader to have some clarification of the relationship between sounding and functional registers, especially the multiple functions of a basso (sometimes functioning as the upper voice, sometimes as the bass, with register not the deciding factor).

V Analysis of Nineteenth-Century Music

Musical examples from the nineteenth century are the focus of contributions from Patrick McCreless, Charles Burkhart and Allen Cadwallader.

Patrick McCreless, "Schenker and Chromatic Tonicization: A Reappraisal" [HS]

McCreless uses examples from multi-movement works by Beethoven and Schubert to illustrate how tonicized triads derived from mixture and from chromatic relationships may have such a strong supracontextual association that their identity (tied to pitch-specific events in other movements) can be heard to exist prior to the voice-leading structure within a single piece. Thus, strands of chromatic voice lead­ing have been so skillfully woven as to accommodate the reference to Flores tan's A~ major aria in the C-major Leonore Overture No. 3 and the allusion to the E major conclusion of Die schone Mullerin in the B~-major "Pause." (But why is there no reference to the overture's offstage trumpet that sounds the B~ arpeggio in mm. 272-77, a premonition of the same rescue signal that figures in the opera's climax?) These analyses, which call into question the single-mindedness with which Schenker clings to the primacy of voice leading over individual harmonic entities, follow the presentation of a methodological justification that bridges Schenker 's views on chro­maticism, tonicization, and motivic unity with those of Leo Treitler that propound links between keys and affect, between the various movements of a work, and between historically associated works and composers. McCreless's sensitivity to the

140 THEORY AND PRACTICE

structure and drama of the poetic text and the subtleties of musical textural rhetoric, combined with his ear for voice leading, allow for a particularly rewarding hearing of "Pause" and a better appreciation of its place within the cycle.34

McCreless justifies hearing a supracontextual identity for a pitch-specific triad, which because of its strong marking (particularly if it does not arise diatonically, but "forces" its way into a chromatic appearance) and because of its referential capacity (particularly if it appears elsewhere with associational significance, as with related themes in the poetic text) may have extra-movement motivic significance.35 He does not go so far as to claim such powers for a single pitch or pitch class, but this is wor­thy of consideration. Because of the manifold characteristics of the individual vocal instrument, and because of the uneven qualities of pre-modern wind instruments and keyboards (as suggested in David Gagne's discussion of registral contrast in Mozart's fortepiano, [AC]: 24), one could argue that in some repertoires a given pitch may be marked for identity even for listeners who do not have absolute pitch, even in an equally tempered tuning system, and even without such obvious tonal contrasts as those produced by open vs. stopped strings or full voice vs. falsetto.

By way of illustration, Schubert's Winterreise includes several nestings of pitch- and pitch-class-specific extra-song motives, one set of which, discussed in the following pages, helps to convey the poetic image of deception. The cycle has a sub­stantial cluster of the related themes of illusions (including weird natural events such as ignes fatui and parhelia) and the wanderer's delusions, his self-deceiving misinter­pretations of events. These phenomena, and the manner in which they lead the wan­derer astray, symbolize the sweetheart's original deception that had compelled the singer to leave town and become lost in his surroundings as well as in his thoughts. Throughout the cycle, the theme of deception is portrayed musically by a pair of upper neighbors to E and B. Several appearances of this pair of motives will be doc­umented here, and this discussion will be followed by a poetic justification for the musical settings.

In "Die Wetterfahne" (A minor) a weathervane atop the sweetheart ' s house, moving about recklessly in the erratic wind, functions as an emblem of the occu­pant's fickleness and is heard particularly in the E-F-E neighbors (See Examples 6a, mm. 1-2, and 6b, 8-9, etc.). The symbol is easily associated with its position at the top of the roof when these pitches appear in the E5-F5-E5 register (as when high­lighted with the fermata at "Dach," mm. 27-28-see Example 6c); the same motive locates the raven (also a symbol of inconstancy) on the roof in "Friihlingstraum" (A major), measure 21 (see Example 6d)

In "Tauschung" (A major) a dancing light which radiates from a house window seduces the traveler away from his path. Its deceptive flickering is portrayed by a teasing foreground F#-as-neighbor-to-E in multiple upper registers (mm. 7-9-see Example 7a) and by a more general poetic reference to deception (mm. 36-39-see Example 7b), where the traveler's apprehension surfaces as he approaches the house with an imagined loving soul within, and moans the song's last line, "only deception is left for me," with a deceptive E-F#-E neighbor motion in the bass. In the song's B­section (sketched in Ex. 7c), the traveler is led by a mixture-produced Cq-as-neigh­bor-to-B to explore his inner susceptibility to deception. In "Irrlicht" (B minor) a will-o' -the-wisp lures the traveler into rocky depths that again symbolize his soul-

CURRENT ScHENKERIAN RESEARCH 141

Example 6: Excerpts from Schubert, Winterreise, "Die Wetterfahne"

0 a.

b.

@ [Jeise]

c.

wie auf dem Dach, nur nicht so taut.

d.

142 THEORY AND PRACTICE

Example 7: Schubert, Winterreise, neighbor motives

a. "Tauschung," mm. 6-9

tanzt freund-lich vor-mir her _ _

b. "Tauschung," mm. 35-41

@

~

und ei ne lie - be See - le drin nur Tan schung ist fiir mich ge - winn.

p A:

~11·~1 8 - 7

6 5 v 4 - 3

c. analysis of B-section of "Tauschung"

A:

T-) --f y 6

4

N

d. analysis of B-section of "lrrlicht"

b: I VI ~II6 y4- 3 I

CURRENT SCHENKERIAN RESEARCH

Example 8: excerpt from Schubert, Winterreise, "Riickblick"

G: v7 v7

(I q) VI

(CTo') IV 6 \__,/l

da war's ge-schehn um dich, ge-sell,

cresc.

vrro' ~ ---- ~

\__;;iV4 3

Example 9: excerpts from Schubert, Winterreise, "Die Nebensonnen"

a.

den da so stier, als woll-ten sie _ nicht weg von mir.

A: VI v

b.

143

144 THEORY AND PRACTICE

(Example 9 continued)

c.

ich auch wohl drei: nun sind hin - ab die be-sten zwei.

searching; as in "Tauschung," the contrasting B-section of "Irrlicht" (mm. 29-43-see Example 7d) is based upon C-as-neighbor-to-B ; C functions as a tonicized Neapolitan.

The themes of illusion and deception exist on three levels in "Riickblick" (G minor) . While the singer is contemplating the fickleness of the town he has left behind, he is reminded of the inconstancy of his beloved, and an image of her two glowing eyes is itself a vision, as he maintains that he is actually seeing the eyes amongst the linden trees and bright rippling brooks. The glowing of the eyes, "zwei Madchenaugen," is represented in measure 41 (see Example 8), where the singer dec­orates a de ceptive harmonic motion (V7-IV6 of VI, which, in the abstract, functions as a neighbor to V of G major) with F#5 as neighbor to E5.

The cycle's final reference to the girl's deceit , once again symbolized by an illusive form of light , is heard in the penultimate song "Die Nebensonnen" (A major) .36 This song, which depict s the rare natural phenomenon of mock suns, includes both F# (see Examples 9a, mm. 10-3, and 9b, 28-29) and the F~ produced by mixture (mm. 23-25-see Example 9c) as important upper neighbors to E in the bass part. As in "Riickblick," the textual reference to the illusion (here the two false suns in mm. 20-23) is accompanied by a superficial deceptive cadence (the deceptive sur­face "resolution" of V7 to VI in m. 23 is heard quite differently at the phrase level­as the consequent member of a 6-10 sequence, V7 actually substitutes for V6 of VI; thus F is the goal of a descending arpeggiation and finally resolves into the half­cadence in m. 25). The bass line of measures 23-25 follows the E5-F5-E5 lead of the singer ' s highest pitches (mm. 20-21) . As in "Tauschung," the declamatory middle section of "Die Nebensonnen" is based upon the prolongation of the dominant and the fundamental line 's second scale degree, B4, in an interrupted 3-line, through its

CURRENT ScHENKERIAN RESEARCH 145

half-step upper neighbor Cq5. In "Tauschung," this section described the wanderer's introspective reasoning for having followed the deceiving light, and in the returning A-section his own personal fears were attached to that light: in Die Nebensonnen," the B-section is similarly introspective and the subject's association of the girl's eyes with the suns takes place in both the B- and A'-sections. It seems as though in both songs the C5-B4 neighbor, produced by mixture and functioning as a "sighing" appoggiatura (the cry "Ach" begins the contrasting sections of both songs) above an implied dominant, paints the woeful cry of the traveler as a visual illusion reminds him of something painful within himself, and the descent to his inner thoughts is accompanied by an interrupted descent of the fundamental line.

It has been argued here that both neighbor motives have appeared in harmonic structures (as in deceptive cadences involving E, and with dominant prolongations in contrasting sections involving B) and as foreground ornaments, in their motivic development of the deception theme. It appears that the neighbors to E have a slight­ly different function than the neighbors to B: the F(#)-E motive tends to accompany observable instances of physical illusions or deceptions in expository (A- or A'-) sec­tions of songs (the dancing light in "Tauschung," the weathervane of "Die Wetterfahne," the raven in "Friilingstraum," the glowing eyes in "Riickblick" and the mock suns of "Die Nebensonnen"), while the C-B motive consistently appears with the deceptions within the wanderer's own psyche (his self-deception and his memo­ries of previous deception) in introspective "developmental" sections of songs (his willingness to be led astray in "Tauschung," his acquiescence to the same in "Irrlicht" and his problematical memories of his own "suns"-usually taken as a vague reference to the memory of his sweetheart's eyes). In this sense , the C-B motive represents the character's strongest, most deeply spiritual illusions, and the F(#)-E motive functions as a metaphor (through individual, observable poetic images) for C-B.

Alternatively, it could be argued that nearly all appearances of C-B appear at a deeper structural level than those of F(#)-E, and thus foreground appearances of a motive tend to identify individual physical acts of deception, while more structural appearances might be heard to represent deeper levels of deception. This view would uphold the anomalous structural role of F#-E in the bass line of the expanded decep­tive motion in "Tauschung," emphasizing the complexity of the question of the role of the loving soul within the house, and the concluding statement, "nur Tauschung ist ftir mich Gewinn."

In support of the argument for pitch-specific intersong motivic reference in Winterreise, for which significant statements of neighbors to E and/or to B are heard in the keys of A minor, A major, B minor, G minor, C minor, E major and D major, is the fact that none of these songs were among those several which, after composition was complete, were transposed at the publisher's request. With the exception of "Friilingstraum" (the four-measure introduction of which was drafted in G major and then scratched out so the entire song could be written in A), all choices as to keys were set before the preparation of the extant drafts and fair copy. The music of the A-section of "Tauschung," however, has been transposed down a whole-tone from its B-major appearance in Troila's "Lied vom Volkenmadchen," a ballad that opens the second act of Schubert's opera, Alfonso und Estrella, and there treats the story of a

146 THEORY AND PRACTICE

"cloud-maiden, bathed in light," whose dance and Siren-like voice lures a hunter to his death . 37

While one can argue that these pitch-specific motives may be significant, and can even speculate that the songs' transposition levels may have been chosen to achieve these ends rather than ones more practical (such as a singer's range), it is more difficult to substantiate that, in the compositional process of any of these songs, any one specific event preceded the voice leading that supports it. But I have always liked the chicken-and-egg problem, and McCreless has defined a similar one that may (especially through sketch study) lead to important new insights.

Charles Burkhart: "Departures from the Norm in Two Songs From Schumann's Liederkreis" [HS]

Burkhart discusses two of three songs from Schumann's op. 39 that are based on an unusual tonal structure for an entire piece-an incomplete progression, the auxiliary cadence, V-I; the two songs have other traits in common as well. With a sensitive middleground-level reading of text-music relationships (at a depth which is rare even in Schenkerian discussions of song), Burkhart captures the differences between specific foreground and general middleground textual meanings in his analy­ses of phrase rhythm in "Mondnacht" (pp. 148, 163), and of the relationships between phrase expansion and German grammar in "Schone Fremde" (p. 162). As a bonus , a number of connections are drawn between analytical findings and perfor­mance suggestions (as on pp. 149, 152 and 155).

One particular detail merits amplification: in his analysis of the final section of "Mondnacht," Burkhart discovers that the vocal part hovers on a cover tone and resists following the fundamental line until the protagonist is drawn "nach Haus," at which time the singer descends 3-2-1' in his last three measures. While the relation­ship between the vocal part, the accompaniment and the tonal structure may often be more complex in Schumann than in his forebears (a topic worthy of great expansion), this compositional use of the singer ' s descent of the fundamental line to represent the completion of a journey is one of a number of conventions linking text-painting to structural levels in German song; elsewhere I have referred to it as a Gehenlinie.38

Allen Cadwallader: "Form and Tonal Process: The Design of Different Structural Levels" [AC]

Cadwallader proceeds from very precisely-drawn definitions of form (the pat­tern of divisions between tonal processes) and design (the musical characteristics of those processes) to flesh out a hierarchical view of their interrelation, which is offered as one potential aspect of an imagined Schenkerian Formenlehre-which Schenker himself merely suggested in Chapter Five of Free Composition. 39 As illus­trations, the writer has chosen two of Mendelssohn's "Songs Without Words," both rich with inter-level interactions and transformations of design features, and seam­lessly homogeneous in several surface aspects. Cadwallader's commentary on the simultaneous and complementary workings of repetition and contrast at various lev­els is often brilliant. For instance, in discussing Op. 62, no. I, Cadwallader deter­mines that while the theme of the B section would traditionally be heard as a digres-

CURRENT ScHENKERIAN RESEARCH 147

sion from that of the A section, it actually expands a version of the opening two-mea­sure linear progression over the course of six measures; thus, "repetition and contrast simultaneously characterize different levels" of the two formal sections (p. 7). "Hence a complete picture of design can never emerge solely from describing surface and foreground appearances (the focus of most conventional Formenlehren) .... A theory of form must be a theory of transformations that traces the evolution of formal patterns as they develop from one level to another" (p. 14).

Those troubled by such issues as whether sonata form divides into two or three parts can take some measure of comfort, if so inclined, from the essay's assertion that a work can represent both a two-part and a three-part structure, at different lev­els: the middle section of a song form may represent (as may, presumably, the devel­opment section of a sonata movement) a fully self-contained tonal process that may have evolved from a transformation of a prior process within a preceding section at a deeper level (such as, in a sonata, the prolongation of the dominant within the first branch of an interrupted structure).

Siegel and Cadwallader present the scholar with a healthy array of approaches and topics for further application and development, thus insuring the prospect of dynamic growth in Schenkerian research for some time. But these volumes and other publications of the late 1980s bring the field to a new watershed. Forte's 1959 pre­scriptions for Schenkerian contributions to important research issues in theory have now been largely addressed: a) the controversial application of Schenkerian tech­niques to atonal works-an area untouched in the two books considered here-has been recently brought to a high level by scholars such as Joseph Straus, James Baker, Allen Forte and Paul Wilson;40 b) finely worked-out theories of tonal rhythm have been established by Rothstein, Schachter and others; c) applications have shed light on compositional technique (Forte's and Schachter ' s sketch studies of Beethoven sonatas have been followed by rich and varied contributions by Rothgeb [HS] and by Laskowski, Maisel, Stern and Wiliner [AC]; d) improvements in pedagogy have been issued by Forte, Schachter, Rothgeb and Beach; and e) a better understanding of the sources of triadic tonality and the tonal system has been advanced here by Novack and Stern [HS].

The essays in these two volumes exhibit common interests in, and further development of, other recent forays: relations between strict counterpoint and free composition have been detailed by Rothgeb, Rothstein [AC], Siegel and Stern [HS]; the concepts of motivic and thematic structure, including hidden repetition, phrase expansion and parenthetical function, have been advanced here by Burkhart, Gagne, Maisel , McCreless, Rothgeb, Schachter, Stern and Wen. Perhaps most promising as new directions for the future are new emphases on a) aspects of formal divisions and larger structures, as evidenced in Cadwallader, Laskowski [HS], Pastille and Schachter,41 on b) texture and register, as approached by Gagne and Rothstein [AC], and on c) the emergence of historical stylistic contexts for the study of individual works, as suggested by Novack, Stern [HS], and others elsewhere.

148 THEORY AND PRACTICE

These books do little to mine a few other areas that may prove profitable. Asides from Burkhart and Gagne constitute the books ' only mentions of performance issues (where are the long-promised German and English editions of Die Kunst des Vortrags, which are to be based upon Schenker's documents passed down to Jonas?). Notwithstanding the groundbreaking work of Matthew Brown, Howard Cinnamon, David Damschroder, Warren Darcy, Patrick Mccreless, Deborah Stein and others, Schenkerians still have a great deal to contribute to the understanding of 19th-centu­ry tonal structures in transition, and to problematical dramatic works of all tonal periods (Burkhart asks the books' only sustained questions pertaining to text-music relationships, although they could have led to promising results in other essays as well). In addition, Maisel has opened the door to popular music-there are master­pieces by the likes of Paul McCartney, Billy Joel and Paul Simon as well as their jazz cousins and tin-pan-alley forebears that permit surprisingly deep study.42

While Schenker's most important work is now available in English, we await published translations of the critical editions of the late Beethoven sonatas, a half dozen Meisterwerk essays and more than 30 substantial pieces from the Tonwille booklets. Translations of most of the other short critical and theoretical essays for periodicals (1891-1901, 1927, 1933) are probably not likely in the near future, but an English edition of Federhofer's documentary biography would be most welcome. Much archival work remains-the availability of the Oster collection now allows the study of hundreds of Schenker ' s previously unpublished sketches and thousands of other items, and we still have not seen all of the graphs from Salzer's Nachlass intended for the second volume of Urlinie-Tafeln.

More important than the filling of these lacunae is the need to emulate Schenker's essential focus on the individual musical text, especially as taught by Ernst Oster and his own students. This spirit has been nourished in admirable fash­ion by these volumes, perhaps most directly in the contributions from Schachter and Rothstein. Two memorial characterizations of Oster, by Burkhart and Schachter respectively, set the spiritual course for hopeful analysts and theorists:

Oster was totally uninterested in music theory. He was interested in music .

He was not content with a merely correct theoretical explanation of [a] strange passage; he looked for the compositional idea behind it and for the means the composer used to make the passage sound convincing and beautiful. 43

Let this quintessence guide all musicians, Schenkerian and otherwise.

CURRENT ScHENKERIAN RESEARCH 149

NOTES

The awkward title of this essay goes out with apologies to David Beach, whose third of four com­prehensive Schenker bibliographies ("The Current State of Schenkerian Research," Acta Musicologica 57 /2 (1985): 275-307) preempted the logical title of this and all future assessments of Schenkerian affairs. The writer wishes to thank Joseph Kraus for his close reading of a draft of this essay, which inspired a number of improvements.

1. Typographical errors in Siegel: a) on p. 49, the legend for Example 3 has incorrect measure numbers. b) carats are missing on p. 79 (second new paragraph, line 6), p. 91 (first new para­graph, line 13) and p. 155 (second new paragraph, line 6). c) p. 120 (first new paragraph, line 3) has "base" for "bass ." Cadwallader errors: a) p. 95 (penultimate line) has "then" for "than." b) p. 105 (first new paragraph, line 2) has "bar 4" for "bar 3." c) p. 124 (fourth line from bottom) has "ascent" for "arpeggiation ."

2. Schenker's motto, "semper idem sed non eodem modo," reverberates in the Klang of Goethe's thought. Schenker quoted Goethe scores of times, and the latter's poem, "Die Metamorphose der Pflanzen," is reprinted in its entirety without comment from editors Jonas and Salzer-sur­rounded by numerous aphorisms from Goethe-in Der Dreiklang 7 (Oktober 1937): 164-65. Regarding the controversy that has grown from Pastille's "Heinrich Schenker, Anti­Organicist," 19th-Century Music 8/1 (1984): 29-36, see Kevin Korsyn, "Schenker's Organicism Reexamined," Integral 7 (1993): 82-118 . The reader may also take interest in Korsyn ' s "Schenker and Kantian Epistemology," Theoria 3 (1988) : 1-58.

3. A portion of this manuscript appeared posthumously in Der Dreiklang (1937) , the entirety of which Siegel promises, in English translation , in the final installment of The Music Forum (612) .

4. See Appendix B, "Schenker' s Editorial Work and the Vienna Photostat Archive," in Oswald Jonas, Introduction to the Theory of Heinrich Schenker: The Nature of the Musical Work of Art, transl. and ed . John Rothgeb (New York: Longman, 1982), 162-66. For an earlier Schenkerian sketch study, see Allen Forte, The Compositional Matrix (Music Teachers National Association, 1961 ). Carl Schachter has also demonstrated the benefits of autograph study in "Beethoven's Sketches for the First Movement of Op. 14, No. 1: A Study in Design," Journal of Music Theory 26/1 (1982): 1-21, his introduction to Dover's 1975 reprint of Schenker 's performing edition of the Beethoven sonatas, and in "Mozart-The Five Violin Concerti: A Facsimile Edition of the Autographs," The Strad 98/1166 (1987) : 448 .

5. This "Pastorale" passage shares remarkable formal and harmonic affinities-involving the set­ting of a strongly structural thematic return with a passing, illusory, "tonic"-with a Bach excerpt discussed by Schachter ([HS] : 172).

6. Dunsby's conference report appears in Music Analysis 4/3 (1985); seep. 333 .

7. The wording is from Rothstein [HS]: 202. See Allen Forte, "Schenker's Conception of Musical Structure," Journal of Music Theory 3/l (April 1959) and Rothstein's Phrase Rhythm in Tonal Music.

8. Ramifications of 5-6 patterns, including those discussed here, were treated in this author 's "Schenker's Duck-Rabbit: Seeking a Clearer Understanding of the 5-6 Exchange," a paper pre­sented to the Music Theory Society of New York State, Baruch College of the City University of New York, September 1989.

9. See, for example, Schenker, Free Composition, ed . and transl. Ernst Oster (New York: Longman, 1979), 59; William J. Mitchell, "Heinrich Schenker' s Approach to Detail" [1946], repr. Theory and Practice 10/1-2 (1985) : 58; and John Rothgeb, "Strict Counterpoint and Tonal Theory," Journal of Music Theory l 912 ( 1975): 268.

10. Kirnberger, on a series of ascending 5-6's: "the analysis of the succession of sixth chords .. . shows that they are not really sixth chords: rather they result from anticipations in the top

150 THEORY AND PRACTICE

voice, and are founded on fundamental harmonies that follow one another very naturally." David Beach and Ji.irgen Thym, "The True Principles for the Practice of Harmony by Johann Philipp Kirnberger: A Translation," Journal of Music Theory 23/2 (1979): 200.

11. Schenker, Counterpoint, Book II, transl. John Rothgeb and Ji.irgen Thym, ed. John Rothgeb (New York: Schirmer Books, 1987), 112. Remember that Schenker's concept of the funda­mental line in 1922 was not confined to the as-yet unimagined background level, but embraced representations of upper voices functioning at any structural level.

12. Schenker, Free Composition, 114.

13 . Schachter, "The Gavotte en Rondeaux from J. S. Bach's Partita in E Major for Unaccompanied Violin," Israel Studies in Musicology 4 (1987): 16, Example 5. Compare the "5-6-5" designa­tion applied to Example 2c on p. 13. The question is begged: Are these hearings interchange­able?

14. The christening by Burkhart occurred in discussion following the "Duck-Rabbit" presentation cited above.

15 . Rothstein continues this foray in "On Implied Tones," Music Analysis 10/3 (1991): 289-328.

16 . Novack, "The Analysis of Pre-Baroque Music," in Aspects of Schenkerian Theory, 115-20.

17. Felix Salzer and Carl Schachter, Counterpoint in Composition: The Study of Voice Leading, new ed. (New York: Columbia University Press, 1989), 395-467.

18 . Steven E. Gilbert, "Gershwin ' s Art of Counterpoint," The Musical Quarterly 7014 (1984) : 423-56.

19 . The use of the whole-tone scale for passing tones within the altered V7 (with lowered fifth) is rarely heard outside of jazz, but is occasionally borrowed from that realm, as in the introduc­tion to Stevie Wonder's "You Are the Sunshine of My Life."

20. Allen Forte, The Structure of Atonal Music (New Haven: Yale University Press, 1977), l.

21. Arthur Komar, "The Music of Dichterliebe: The Whole and Its Parts," in the Norton Critical Score edition of Schumann's Dichterliebe (New York: Norton, 1971), 63-94.

22. Heinrich Schenker, "Das Organische der Fuge," Das Meisterwerk in der Musik II (Miinchen: Drei Masken Verlag, 1926): 75-76.

23. See, for instance, Eric Chafe, Tonal Allegory in the Vocal Music of Johann Sebastian Bach (Berkeley: University of California Press, 1991 ).

24. Krebs , "The Background Level in Some Tonally Deviating Works of Franz Schubert," In Theory Only 8/8 (1985): 5-18. See Schenker's discussion of the "Deduction of the Key" in Harmony, ed. Oswald Jonas, transl. Elizabeth Mann Borgese (Chicago: University of Chicago Press, 1954): 251-55 .

25 . Schenker, Counterpoint Book I (1987): 15. Schenker' s stand on this issue of musical drama is discussed more fully in this author's "Voice Leading, Register and Self-Discipline in Die ZauberflOte," Theory and Practice 16 (1991): 107.

26. Stern (pp. 116-17) cites the role of reductive analysis, based on voice leading principles, in the treatises of Mattheson and Kirn berger. The work of Heinichen, Czerny, Vogler and Sechler is also sometimes cited in this regard. Does this approach lie thoroughly dormant through the later nineteenth century, only to be revived by Schenker? At least one example would suggest that this is not the case : Bernard Boeckelman's performing edition of Chopin's B~ Minor Sonata includes a rough voice-leading reduction of the tempestuous final movement . See The Century Library of Music, ed. Ignace Jan Paderewski, Vol. 8 (New York: The Century Co., 1900) , 602-07. A history of reductive voice-leading analysis in Schenker' s forebears is sketched in Robert P. Morgan, "Schenker and the Theoretical Tradition: The Concept of Musical Reduction," College Music Symposium 18/1 (1978): 72-96 .

27 . Schenker 's discussion of the poetic effect of this phenomenon, amounting to a characteriza-

CURRENT ScHENKERIAN RESEARCH 151

tion of the major mode as the apparition of a message from above, is particularly evocative. Heinrich Schenker, " J. S. Bach: Matthauspassion , Einleitungschor (Erste Choral-Fantasie) ," Der Tonwille 414 (1924): 5.

28 . Laskowski 's analysi s, whereby a chromatic line from 1 through II to 2 is heard to take priority over traditional harmonic and formal divisions , is reminiscent of Schachter ' s hearing of the exposition of the first movement of Brahms's Second Symphony. Joseph Kraus, who brings this to the writer ' s attention , finds that others have since made use of thi s approach , as in con­ference presentations by Deborah Kessler (to the Music Theory Society of New York State, New York, 1991 ), and Roger Kamien and Edward Laufer (both to the Mozart Conference at Hofs tra Univers ity , 1991) . See Schachter, "The First Movement of Brahms' s Second · Symphony: The Opening Theme and Its Consequences," Music Analysis 2/1 (1983): 64.

29. The expansion of ~II6_qn6 via parenthetical counterpoint in Kamien ' s Example 9, from "Padre, germani, addio! ," ldomeneo, is reminiscent of one example from Edward Laufer ' s unpublished handout from the 1985 Schenker Symposium; the latter ' s Example 20 indicates how parenthet­ical material expands a voice-exchange on q1I6-~1I6 in mm . 61-69 of Brahms 's E~ mmor Intermezzo, Op . 118/6.

30. See Schenker, Harmony, 109-114; Free Composition, 114; Jonas, An Introduction , 29 .

31. Robert P. Morgan, "Dissonant Prolongations : Theoretical and Compositional Precedents ," Journal of Music Theory 20/1 (1976) : 58-79. Edward Aldwell and Carl Schachter, Harmony and Voice leading , 2nd ed. (San Diego: Harcourt , Brace Jovanovich , 1989), 540-41.

32. Ernst Oster, "Register and the Large-Scale Connection," Journal of Music Theory 511 (1961) : 54-71. Gagne cites Oster, Beach and other Schenkerians, but also broadens his scope with appropriate references to the Badura-Skodas, Rosen and Levy .

33. Such attention to recomposition due both to registral limits of instruments and to moti vic and tonal structure yields insights in Barbara Sturgis-Everett, "The First Movements of Beethoven' s Piano Sonata in E Major, Op. 14, No. l and His String Quartet in F Major, Op. 14, No. 1: A Critical Comparison" (D.M.A. dis s., University of Cincinnati, 1986).

34. Otherwise illuminating analy ses seem to be flawed by two minor errors in McCreless 's Example 4; the "V" underlying the C harmony in m. 26 should be qualified in some way , such as " V of V" (the label given for m. 31) . Secondly, the passage reduced in Example 4 (d) seems to end with m. 67, rather than 74 (as labeled) . (McCreless's conference handout offers no help here, as it is identical with the printed example in these respects .)

35 . This dramatic marking of a triad was observed by Maisel and Schachter at the 1992 Schenker conference.

36. Other references to the theme of deception with supporting pitch motives, not detailed here, are found in "Der greise Kopf' (C minor) , "Der Lindenbaum" (E major), "Friihlingstraum" and "Im Dorfe" (D major) .

37. These pages on motivic coherence in Winterrei se derive from the author's Ph .D. dissertation , "A Schenkerian View of Text-Painting in Schubert ' s Song Cycle Winterreise" (University of Michigan, 1988), 69-109 .

38. "Text-Painting in Mozart' s Three 'Lieder ' (K. 596-K. 598) of 14 January 1791 ," Mozart­Jahrbuch 1991 : 202.

39. Schenker's Nachlass in the Oster Collection (available in microfilm from the New York Public Library) includes 543 items collected by Schenker and hi s widow under the heading "Entwurf einer neuen Formenlehre"; see File 83 of the microfilm.

40. Roy Travis and Edward Laufer introduced topics on Stravinsky and Sibelius, respectively, to the 1992 Symposium.

41. Theories of tonal form are currently a central focus for William Caplin, Janet Schmalfeldt and David Beach (the last of whom presented work from his book-in-progress , Design and

152 THEORY AND PRACTICE

Structure in Tonal Music, to the 1992 Symposium) .

42 . Steve Larson has performed a good deal of Schenkerian research in modern jazz, some of which was presented to the 1992 Symposium. Allen Forte's study of twentieth-century American popular song is eagerly awaited.

43 . "Ernst Oster (1908-1977) in Memoriam," Journal of Music Theory 21/2 (1977): 345, 349.