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Unraveling Schenker's Concept of the Auxiliary Cadence 161 Unraveling Schenker'sConcept of the Auxiliary Cadence L. POUNDIE BURSTEIN Schenker created the term "auxiliary cadence" (Hilfskadenz)-along with the synonymous term "incomplete transference of a form of the fundamental structure" (unvollstdndinger Ubertragung einer Ursatzfbrm)-to refer to a progression that begins on a non-tonic Stufe and is closed off (abgeriegelt)from the preceding harmonies. In most cases, only the final chord of the auxiliary ca- dence functions on deeper structural levels, so that this progression tends to yield a sense of ex- pectancy and forward momentum. Schenker valued these progressions for their dramatic potential and their ability to aid in creating a sense of harmonic fluidity. ALL, ACCORDINGTO HEINRICH SCHENKER,a their ability to enhance tonal fluidity. His approach to the AFTERnon-tonic opening is a prime means by which Art understanding of non-tonic openings forms a central part of can confront Nature. It adds an illogical, human his theories, especially as regards the relationships between touch to a composition by reversing the normal procedures compositional organicism and artistic expression. of tonal development. As an analogy, consider the way in Schenker's discussion of the non-tonic opening reaches which this paragraph begins. My first sentence would be its most mature presentation in his formulation of what he more appropriate in the middle of a paragraph. But whereas termed the "auxiliary cadence." His concept of the auxiliary my opening, is, admittedly, a bit odd in the present context, cadence has been extremely influential, and it may be found it would not be out of place in a work of art. Indeed, many a at the core of many analytic discussions.1 Yet his descriptions book, play, or piece of music begins as though already "in of the auxiliary cadence are not easy to follow, and they often progress. have been misinterpreted. Not surprisingly, many have cited Schenker was greatly intrigued by the power of such in Schenker's discussions of the auxiliary cadence as among his medias res beginnings, which he felt could be realized in most difficult to decipher.2 As a result of these difficulties music through the use of non-tonic openings. Perhaps more than any theorist before him, Schenker recognized the im- I These include (among others) Anson Cartwright2001; Brown 2003; Burkhart and Kamien Laufer plications of harmonic progressions that begin with non- 1990; Jackson 1999, 2001, 2003; 1999; 1999a and b; Lehmann 1998; Marvin 2001; McGee 1996; Modena tonic chords, admiring them for their dramatic potential and 1991; Platt 1992; Rothstein 1981; Schachter1988; Schmalfeldt 2004; Sobaskie 1999 and 2003; Suurpai 1999a and b; Wagner 2004; and I would like to thank Charles Burkhart,Allen Cadwallader,Deborah Willner 2005. Carmichael,Lynne Rogers, and Hedi Siegel for their helpfulsugges- 2 For instance, see Cadwalladerand Gagne 1998, 376; Laufer 1999a, tions and commentson earlierdrafts of this essay. 135; and Marvin 2001, 137. 159 16o MUSICTHEORY SPECTRUM 27 (2005) and misunderstandings, some feel that the auxiliary cadence sorts of deceptionswhich spiritedauthors have in storefor us, particu- at the of a is either a static construct or an abstract concept that engages larly beginning work.5 subliminal or forces. I on the con- largely mysterious argue, Schenker explicates this notion at greater length earlier that a of Schenker's of trary, proper understanding concept within the same volume, where he precedes an examination the cadence reveals it to be a device that auxiliary dynamic of non-tonic openings by invoking a linguistic analogy involves concrete features of musical In of experience. spite (?16): the difficulties involved, examining Schenker's ideas on the The sentence"Father rode his horse the woods"["Der ritt cadence not only tells us much about non-tonic through Voater auxiliary den makesa different from the other but also his theoretical durch Wald"] impression possible openings, helps demystify approach versions of the same sentence: "His horse rode father the in through general. woods" ["Esritt der Vaterdurch den Wald"]or "Throughthe woods father rode his horse"["Durch den Waldritt der Vater"].The latter two INCOMPLETE URSTAZFORM TRANSFERENCE: versionsdiffer from the originalone by a nuanceof tension.The natural THE AUXILIARY CADENCE way of proceedingis first to introduce the subject of our statement, and then to explainwhat it is all about regardingthat subject.But ... aesthetic reasons induce the writer to a different Although Schenker developed the auxiliary cadence as a may prefer order, engenderingan effect of tension.... The belated introductionof the full-fledged concept only towards the end of his life, its basic subjectfinally resolves the tension, but tension undoubtedlyhas been be found in a number of his earlier writ- underpinnings may created first. What could we not have thought during that brief Not does he the non-tonic of ings. only analyze openings moment of tension! "Who rode his horse?"friend? foe? stranger? several individual compositions throughout his career,3 but acquaintance?etc.6 he also directly addresses the topic of non-tonic openings in Schenker then relates this linguistic situation to instances each of the three volumes of his magnum opus, New Musical where the tonic is withheld from the of a Theories and Fantasies.4 beginning piece of music, pointing out how such an opening likewise can create a In Harmony and Counterpoint, the first two volumes of sense of disorientation. He underlines the notion that an off- this trilogy, Schenker deals with this subject in rather broad tonic opening does not derive strictly from natural processes, terms, describing the non-tonic opening as an artistic sub- but rather represents an imposition of the will of the com- version of normal tonal procedures. For instance, in dis- poser, and that the handling of such passages is one factor by cussing off-tonic beginnings in Harmony ?135, he notes that which "the true master reveals himself and manifests his su- most with a tonic-as the tonic .... compositions begin responds best periority vis-ht-vis minor talents."7 to the postulate of development.We should be wary, however,of all Schenker attempts to give these musings a more technical footing in Free Composition, the final volume of New Musical Theories and within a section devoted to 3 See, for instance, Schenker [1920] 1972, 15-16; [1925] 1992, 31-34; Fantasies, "Specific Events." This section [1926] 1996, 7; [1930] 1997, 52-53; and [1932] 1969, 54ff; see also Foreground begins with a discussion of various analysesfrom the Oster Collection, such as Schenker'sanalysis of Brahms'sop. 76, no. 4, in File 34/39-44. 5 Schenker[1906] 1954, 255. 4 Neue musikalischeTheorien und Phantasien,Vol. I: Schenker [1906] 6 Ibid., 31-32. As Mann Borgese'sinelegant translationsuggests, the dif- 1954; Vol. II: Schenker[1910 and 1922] 1987; and Vol. III: Schenker ferent versionsof the sample German sentence do not convertreadily [1935] 1979. Henceforth, unless otherwise noted, all referencesare to into English. Schenker [1935] 1979. 7 Ibid.,?16: 37. UNRAVELING SCHENKER'S CONCEPT OF THE AUXILIARY CADENCE 161 "transferences of forms of the fundamental structure" (Uber- At the top of Figure 110 of Free Composition, Schenker tragungen der Ursatzformen).8 To understand Schenker's use lists various bass lines that could support an auxiliary cadence of this term, it must be remembered that he regards the (see Example 1). Each auxiliary cadence is depicted as a pro- background as the essence of a musical artwork. As he sees gression that begins midstream, consisting of either a domi- it, background structures are not small progressions writ nant moving to a tonic or a pre-dominant and dominant large; rather, small-scale progressions are imitations of the moving to a tonic.13 To demonstrate each of these possibili- larger framework. That is, for Schenker, middleground and ties, Schenker provides several analyses of works that exhibit foreground progressions replicate or "transfer" a possible auxiliary cadences of varying lengths.14 Several analyses show form of the background to a local level.9 that the V chord of the auxiliary cadence may occur in inver- Much as the forms of the fundamental structure begin on sion or be represented by a VII6 (as in Figure 110, b2) and a root-position tonic chord, so transferences of them usually that the pre-dominant chord likewise may appear in inver- start on a root-position tonic as well. However, in ?244 and sion (as in Figure 110, e4). ?245 of Free Composition, Schenker notes that it is also pos- Many of his analyses indicate that 16 may also serve as the sible for the opening root-position tonic of progressions to initial "non-tonic" harmony of an auxiliary cadence. As be left out, thereby forming "incomplete transferences of Schenker claims elsewhere, the lowest tone of a chord tends forms of the fundamental structure" (unvollstdndige Ubertra- to serve as its root.'15As a result, for Schenker 16 often is un- gungen der Ursatzformen).10 To describe such incomplete derstood to function in the manner of a III chord. For in- progressions, he invents the more concise term "Hilfska- stance, in ?245 Schenker cites the bracketed I6-IV-V(6)-I denz," translated by Ernst Oster as "auxiliary cadence."11 progression of Example 2 as exemplifying the III-(IV)-V-I Thus, an auxiliary cadence is a middleground or foreground progression seen in Example 1(c), with 16 substituting for replication of an Ursatzform that omits the first element of III. Evidently, according to Schenker this 16 functions in the the bass arpeggiation; namely, it omits the opening root- manner of a pre-dominant; it does not represent the tonic position tonic.12 As in the passages cited above from Har- Stufe. mony, Free Composition views progressions with off-tonic openings as variants of normative, complete progressions.
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