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Basic Concepts and Principles in Modern Musical Analysis

Basic Concepts and Principles in Modern Musical Analysis

Bulletin of the Transilvania University of Bra şov Series VIII: Art • Sport • Vol. 4 (53) No. 1 – 2011

BASIC CONCEPTS AND PRINCIPLES IN MODERN . A SCHENKERIAN APPROACH

A. PREDA-ULITA 1

Abstract: This subject is fascinating through the interpretive possibilities that it opens. The accurate understanding and practice of Schenker’s theories leads to a different perception of the and to a natural way of performing. Therefore, we consider the not only a theory, but also a comprehensive way of understanding musical works. Schenkerian analysis provides a comprehensive view of music from the small to the large representing thus a great asset to hearing understanding and performance.

Key words: musical analysis, Schenker, background, middle ground, foreground, , structure

1. Introduction the long-range structure is defined Background (or , The schenkerian analyses are a method while the surface aspects of the music are based on the theories of the Foreground . One can state the idea whose purpose is to disclose the structure that "the background of a musical of a tonal piece, through musical notations. composition is arrhythmic" or, "rhythm is The basic principle in the structure of a a characteristic of the musical foreground.” piece for the Schenkerian analysis is In the most common way, the purpose of showing hierarchical relationships amongst schenkerian analysis is to omit the the notes of the passage through making unessential and to emphasize the important reductions of the music and through a relations. specialized symbolic musical notation that Schenker developed to demonstrate 2. Basic concepts various techniques of prolongation. He considered that the deep, long-range There are many methods of approaching structure of a piece of music has no the schenkerian analyses. Schenker, particular rhythm, so the musical followed by Jonas, began by describing the reductions of Schenkerian analysis are essential structure of music: the triad and usually arrhythmic. Schenkerian analysis its linear unfolding through arpeggiation

1 Department of Music Performance, Transilvania University of Brasov .

48 Bulletin of the Transilvania University of Bra şov. Series VIII • Vol. 4 (53) No. 1 - 2011 and through passing and auxiliary notes, in piece, whole sections may prolong V its most abstract form. Next, they discuss (Schenker called this a “” of the the forms that these structures could have dominant) and also, there may be other in any musical context. Schenker’s harmonic sections prolonged in between the approach relies on the fundamental initial I and the V of the final perfect , principles of the and the bass of the fundamental structure . Allen Forte and Steven E. appearing in many different layers of a piece. Gilbert, on the other hand, began by The bass line is only a harmonic progression showing different apparitions of the and Schenker's theory seeks to comprehend arpeggiation, passing tones, etc. at the music in terms of a two-part contrapuntal note-to-note level before showing the way structure. to use these in order to create musical Layer or level (Schicht) represents the forms of greater proportions. Other music fundamental idea of Schenkerian theory theorists, for example and that music consists of a series of layers of Carl Schachter, added to and spread elaboration. Schenker suggests that simpler Schenker's ideas. By the 1960s, layers underpin the complex ones in almost Schenkerian analysis had begun to attract the way in which a variation on a theme renewed interest, and by the 1980s, it had supports the “surface” of the music. become one of the main analytical methods Background (Hintergrund) refers only used by many music theorists. to the Ursatz form that covers a whole piece or movement. In some cases, one can 2.1. Structural concepts use it to refer to the Ursatz and its immediate (like the initial Fundamental structure (Ursatz) is the ascent etc.) that are usually part of the first representative progression of which all tonal level of the middle ground. In theory, one pieces are hypothetically an elaboration that simple progression that spans the entire Schenker believed to be (along with a number piece is the foundation on which the of variants) the most basic expression of tonal composer created the entire piece. music. It consists of the descending First-level Middle ground refers to the progression from , or in the upper part immediate prolongations of the Ursatz that (Urlinie ) over a bass progression Schenker restricts to a small number of (Bassbrechung ) that emerges in the strictly defined forms. The background background as part of the fundamental sometimes refers to this level of the structure. This progression represents one of structure as elaborations. the simplest contrapuntal expressions of the I– Middle ground (Mittelgrund) is the V–I unit. Schenker described the fundamental surface layer of a piece of music, the structure as a tension span, as the tension background being the deepest layer, of introduced by the initial is not resolved until which the whole piece is understood to be the music reaches the final over the tonic. an elaboration. The middle ground has a For Schenker, this tension span was what tied variable number of occurring layers that a complex and various pieces of music into a Schenkerian analysis will identify between single coherent work of art. the foreground and background. Schenker considered that any piece of tonal Foreground (Vordergrund) is the music can be described as an elaboration of surface layer of the music. Schenker this pattern: tonal pieces generally start with I regards music in terms of layers of and the V – I epitomizes the final perfect elaboration from the profound structure to cadence of the piece. Nevertheless, in a longer the surface.

A. PREDA-ULITA : Basic concepts and principles in modern musical analysis. … 49

Prolongation refers to the elaboration of Ursatz , including all the elaborations of contrapuntal structures. Schenker this pattern. The basic harmonic considered that all tonal pieces are progression appears as contrapuntally therefore, a prolongation of the Ursatz . elaborated, normally creating harmonic The concept of prolongation lies at the patterns such as I-III-V-I or I-II-V-I. foundation of Schenker’s theory and is the refers to the embellishment most influential element of it. Using the of simpler musical structures beneath the basic principles of consonance and surface of the music and describes the dissonance from species counterpoint, process of linear units prolonging Schenker identifies a number of common harmonic ones. The process of analysis is linear units that he calls . partly one of looking ‘behind’ the surface Because diminutions must prolong a diminutions, but Schenker was more harmonic unit in Schenker's theory, only a interested in a process of generation from note that is consonant with the prevailing background to foreground (composing- harmony can generate a diminution. out). Schenker used the basic principles of Prolongation is an extension through consonance and dissonance from species time (by an , for example) in a counterpoint in order to identify a number piece of music of a harmonic unit (a chord of common linear units that he calls or a note from that chord). Schenker’s diminutions. His analyses, at their most analyses, at their simplest level, show how simple level, show how these linear units linear units prolong harmonic units. prolong harmonic units. A theme and Tonicization is the Schenkerian term for variations is a very good example of modulation. The use of this term highlights diminution, because in this genre, the the fact that a tonal piece corresponds to a theme supports increasingly complex contrapuntal realization of the tonic. figurations. Each variation is different but the presence of the theme beneath the 2.2. Melodic concepts surface of the music unifies the whole work. Fundamental descent (Urlinie) is the Arpeggiation ( Brechung ) is a simple top line of the two-part Ursatz , comprising elaboration that consists of notes a note by note descent from , or to . consonant with the prolonged harmony. It The term reflects Schenker's belief that this is a single movement through notes from a archetypal descending motion underlines harmony, in the same direction, prolonging all tonal pieces. a harmonic unit by arpeggiating the notes (Kopfton) is the first note of the triad. An arpeggiation can only of the Urlinie (meaning the , or ). prolong a triad with the exception of the Finding the correct primary tone is an dominant seventh chord. This chord is important aspect as it can make a universal in tonal music that in many considerable difference to the rest of an situations it makes sense to treat it as a analysis. If the Urlinie appears is elaborated consonant sonority like the triad. In of an initial ascent, the Kopfton will not be Schenkerian analysis, diminutions usually found right at the beginning of the piece. prolong a harmonic unit and a particular Bass Arpeggiatio n (Bassbrechung) note from that unit. In the arpeggiation literally translates as ‘breaking of the (where all the notes belong to the triad), bass’, but is more often referred to as the just context could enlighten the main note . The Bassbrechung is the that is being prolonged, although I-V-I that support the Urlinie as part of the diminutions are always a prolongation of

50 Bulletin of the Transilvania University of Bra şov. Series VIII • Vol. 4 (53) No. 1 - 2011 either their first or last note. The Mixture ( Mischung ) is the flattening or Schenkerian model is a dynamic one - the sharpening of scale degrees, the most diminution is not static but moves either to common of which being to ♭ , which in or from a principal note. the first level middle ground can change Consonant Skip is a term used by Allen the mode of the piece from major to minor. Forte and by some Schenkerian analysts to It is ornamentation rather than a refer to simple two-note (or incomplete) diminution because it does not derive from arpeggiations, which usually constitute the rules of strict counterpoint. It describes some sort of unfolding. The term refers to the flattening or sharpening of scale a particular diminution in which the voice degrees and it usually appears in the first leaps from one note of the harmonic unit to level middle ground in connection with another note of the same harmonic unit. A as shown below. It has the effect of consonant skip contains only notes from changing the mode from major to minor the harmonic unit that it is prolonging. In a and back again. Schenker most often uses Schenkerian analysis, diminutions the term mixture to refer to alternation generally prolong either a harmonic unit or between the third in a a particular note from it. As in an tonic triad. arpeggiation, both notes from the (Zug) is the consonant skip are belong to the triad of Schenkerian term for a passing note the harmonic unit, thus the prolonged note intensification that elaborates a specific depends on the context. harmony in the middle ground or Neighbour Note (Nebennote) is a foreground. Its first and last notes must be diminution in which a note is ornamented a part of the harmony at the end of the by a figure that moves stepwise to a note progression. A linear progression can be above or below the original note before either ascending or descending, therefore it returning to it. In other words, it elaborates moves only in one direction. Schenker a note of a chord through stepwise motion appreciates that the linear progression is to and/or from a dissonance. Neighbour the unfolding of a two-note interval made notes may also be incomplete (move to a up of its initial and final note. In other note a step away and not return to the words, the interval between these notes original note). A complete neighbour note (first and last) gives a linear progression its moves stepwise a dissonance and back name. The simplest linear progression is again. An incomplete neighbour note can the passing note, which is dissonant as it move from the dissonance to the passes from one consonant note to another. consonance or the reverse. Passing note (Durchgang) Some 3. Basic principles Schenkerian analysts recognize most passing note progressions as Linear Heinrich Schenker’s analytical approach Progressions (see separate entry). In order of music engages looking beneath the to be a true linear progression, however, surface of music in order to understand the passing note must be the elaboration of how it connects into larger spans. It is a harmony. A passing note right at the important for the performer to reflect on foreground (surface) of a piece of music the direction and shape of the phrases, in a may not always fulfil this condition. natural and logical way. At the basic level, Examples might be a chromatic passing one can understand Schenker's ideas as a note or a note that connects two surface formalization of his intuitive thinking that . music should not be regarded as a series of

A. PREDA-ULITA : Basic concepts and principles in modern musical analysis. … 51 notes, but in terms of larger-scale shapes phrase are like words into a sentence. One and patterns. analyzes a word as a part of speech, The basic method of Schenkerian having, in the same time, a function within analysis is to show how elaborations such the sentence. as neighbour and passing notes, Felix Salzer (1952) introduced a concept progressions and group into that describes very well the schenkerian forming music. These patterns do not analysis: structural hearing . He considered appear only on the surface of the music but that the understanding of tonal music is a that they also span much larger fragments. matter of hearing, and the ear has to be Schenker regarded music like a trained to hear not only a succession of superposition of layers/levels, the surface tones (sounds), melodic lines and chord layer being the elaboration of a simpler progressions, but also their coherence and layer beneath that surface. The surface of structural signification. the music defines as the foreground, the Schenker’s conceptions rely on an deepest layer the background and those observation that represents the corner stone layers of elaborations in between refer to of his research: the distinction of the as the middle ground. In addition, an “chord grammar” and “chord signification” important feature of Schenkerian analysis (Salzer, 1952). “Chord grammar” signifies is showing how melodic figures are the usual method of analysis, this being the elaborations of harmonies. most important feature of a harmonic The basic ideas stated by Schenker in his analysis that has the purpose of status theory are quite simple, but the process of recognition of the chords in a musical analysis is a complicated one, mostly piece. On the other hand, the study of because music itself is complex. Analysts “chord signification” shows his specific that approached this kind of analysis found role in a phrase, or an entire piece. that it provides richly rewarding insights Schenker discovered that the roles that into the shape and structure of tonal music. chords have are diverse. Two identical Schenker is probably most famous for chords that appear in the same phrase can his suggestion that musical works are fulfill different functions. The signification elaborations of the basic model that he and the function of a sound or of a chord called the Ursatz – a two-voice reductive depend on the direction of the movement structure forming the basis for an and on the purpose, in other words on the analytical approach that emphasizes the context. essential simplicity of tonal music. It Schenker made a distinction between shows how pieces are contrapuntal structure chords and prolongation chords, elaborations of a tonic chord. Schenker by means of chord grammar and stated that we could reduce a piece of signification, taking into consideration the music to the Ursatz , and we can explore direction of music – this being the main the complexities of the piece by idea of his approach. Salzer considered considering them in relation to this simple that this method of understanding the model. movement of music represents the Some theorists (like Steven Porter instinctive perception of a truly musical (2002)) that approached schenkerian ear; this can be called “structural hearing”. analysis referred to grammar in order to The structural outline and framework work explain the principles of Schenker’s signifies the main movement to its goal, theories, taking into consideration that showing the shortest way to it. notes and chords that belong to a musical Nevertheless, the tension of music consists

52 Bulletin of the Transilvania University of Bra şov. Series VIII • Vol. 4 (53) No. 1 - 2011 in modifications, expansions and only refer to members of a harmonic elaborations – called prolongations of the progression; these are “harmonies” in the structure, and the artistic coherence rises if true sense of the word, because they one understands their basic direction. connect based on a harmonic association The distinction between structure and (Salzer, 1953). Chords not based on prolongation led Schenker to a new harmonic associations are products of conception of the functions of harmony motion, direction, and embellishment and and counterpoint in creating organic unity: have a horizontal tendency. Harmonic not all chords are of harmonic origin , this chords are also structural chords (they statement having an effect on constitute the structural framework), and understanding the music. the contrapuntal ones are chords of Schenker’s harmony explains the tonal prolongation (they prolong and elaborate system like a group of major triads derived the space between members of harmonic from the harmonic series, like a vertical progressions). aspect of music. His theories of counterpoint show the way that simple References progressions can be ornamented following simple rules based on the succession of 1. Cadwallader, A., & Gagné, D.: consonant and dissonant intervals, like a Analysis of Tonal Music: A horizontal aspect of the music. In Free Schenkerian Approach. New York: Composition (1953), Schenker explains the Oxford University Press, 1998 way that harmony and counterpoint 2. Cook, N.: A Guide to Musical combine in tonal compositions. Using the Analysis. New York: Oxford basic principles of consonance and University Press, 1994 dissonance from the species counterpoint, 3. Forte, A., & Gilbert, S. E.: Schenker identifies a number of common Introduction to Schenkerian Analysis. linear units that he named diminutions, New York & London: Norton, 1982 showing, by means of concrete analyses, 4. Jonas, O.: Introduction to the Theory the way that these linear units prolong of Heinrich Schenker. New York & harmonic units. The concept of London: Longman, 1982 prolongation is the base of the schenkerian 5. Salzer, F.: Structural Hearing. Tonal theories and because the diminutions have Coherence in Music. New York: to prolong a harmonic unity, just a Dover Publications, Inc., 1962 consonant tone with the harmony can give 6. Schenker, H., Oster, E., & Jonas, O.: rise to a diminution. : New Musical Beside the structural and prolongation Theories and Fantasies. Pendragon roles or the diverse functions that chords Press, 2001 can have, they can have harmonic or 7. *** SchenkerGUIDE. Available at: contrapuntal importance. A chord performs http://www.schenkerguide.com. a harmonic function in the context of a fundamental progression. Schenker considers that the term “harmony” should

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