CUSTOM EDITION UNIVERSITY OF CALIFORNIA, IRVINE ANALYSIS OF TONAL MUSIC: A Schenkerian Approach THIRD EDITION Allen Cadwallader David Gagne Source material from: Cadwallader and Gagne, Analysis of Tonal Music: A Schenkerian Approach, 3rd ed. 978-0-19-973 247-0 Oxford New York OXFORD UNIVERSITY PRESS OXFORD UNIVERSITY PRESS Oxford University Press is a department of the University of Oxford. It furthers the University's objective of excellence in research, scholarship, and education by publishing worldwide. Oxford New York Auckland Cape Town Dares Salaam Hong Kong Karachi Kuala Lumpur Madrid Melbourne Mexico City Nairobi New Delhi Shanghai Taipei Toronto With offices in Argentina Austria Brazil Chile Czech Republic France Greece Guatemala Hungary Italy Japan Poland Portugal Singapore South Korea Switzerland Thailand Turkey Ukraine Vietnam Copyright© 2015 by Oxford University Press. 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ISBN 978-0-19-022563-6 Contents Part 1: BASIC PRINCIPLES 1 1 Introduction 3 Beethoven, Piano Sonata, Op. 2, No. 1, I 4 2 Melody and Counterpoint 15 Some Characteristics of Melody 15 Counterpoint 21 Structural Melody 34 3 Bass Lines and Harmonic Structure 41 Tonic Harmony (T Class) 42 Intermediate Harmonies (Int Class) 46 Dominant Harmony (D Class) 51 Larger Contexts 56 The Imaginary Continuo 66 Chord Prolongation: Summary 68 4 Linear Techniques 75 Linear Progressions 75 Linear Intervallic Patterns 86 The Neighbor Note 97 Linear Intervallic Patterns: Summary 99 5 Tonal Structure 106 Notational Symbols 106 Tonal Structure and the Ursatz 109 The Bass Arpeggiation (Bassbrechung) 113 The Fundamental Line (Urlinie) 113 Structural Levels 21 The Principle ofinterruption 21 More on the Ursatz 21 6 Techniques of Melodic Prolongation 12 7 The Initial Ascent 127 The Arpeggiated Ascent 129 Unfolding 132 Motion into an Inner Voice 135 Motion from an Inner Voice 137 Voice Exchange 139 Shift of Register 142 Descending and Ascending Register Transfer 142 Coupling 145 Superposition 147 Reaching Over 147 Cover Tone 152 Substitution 154 The Phrygian 2 156 A Mixture of Scale Degree 3 159 Techinques in Combination 160 Appendix Introduction to Graphic Notation 164 Open Noteheads 165 Slurs and Filled-in Noteheads 165 Beams 168 Broken Ties 170 Stems with Flags 170 Diagonal Lines 171 Diagonal Lines and Beams 172 Rhythmic Notation at Lower Levels 175 Roman Numerals 176 Sample Graphic Analyses for Study 178 Examples from Free Composition 181 -~z-----~ art 1 BASIC PRINCIPLES Part 1 of this book covers principles that are fundamental to the study of Schenkerian analysis. Chapter 1 provides a glimpse into the kinds of associations Schenker's method can reveal (the associ­ ations in this chapter are motivic in nature). A<> is well known, his mature theory addresses the interrelationships among counter­ point, harmony, and linear principles. For pedagogical reasons, we introduce these topics individually: Chapter 2 concerns basic aspects of melody and counterpoint. Chapter 3 focuses on bass lines and harmonic structure and how they are interrelated. Chap­ ter 4 introduces the important and related concepts of linear pro­ gressions and linear intervallic patterns. In Chapter 5, we recombine harmonic and contrapuntal prin­ ciples and introduce the basic components of Schenker's concep­ tion of tonal structure: the Urlinie, bass arpeggiation, and Ursatz (fundamental structure). This chapter also introduces the tech­ nique of interruption, which holds far-reaching ramifications for form and structure. In Free Composition, his last great work, Schenker lists the primary techniques that elaborate fundamental structures. In Chapter 6 we follow the general plan of Free Composi­ tion and explain the techniques individually, in the context of se­ lected passages from the literature. One of the guiding principles of our approach is that a sin­ gle, harmonically closed phrase (closed in the same key in which it began) can be considered an entire "piece" for analysis. This pedagogical strategy mirrors one of Schenker's most significant theoreti­ cal discoveries: that forms of the fundamental structure are "transferred" to lower structural levels. Chapter 7 examines passages ranging in length from 8 to 16 measures, focusing not only on the Ursatz, but also on the specific techniques of melodic prolongation (from Chapter 6) that rep­ resent the "composing out" of the tonal structure and give each passage its unique character. This plan prepares the student for the longer com­ plete pieces examined in Part 2. 2 CHAPTER Introduction During the latter part of the twentieth century, many principles and ways of thinking that were first introduced by Heinrich Schenker have become an inte­ gral part of musical discourse. Concepts such as prolongation and structural level are now frequently taught to music students, and analytical graphs are com­ monplace in theory journals. Notions about Schenker and his work differ greatly. For some, Schenker's legacy is associated with broad, general ideas that pertain to the essential nature of tonality, while for others his approach is a way of revealing the individual and intricate features of specific compositions. His work, in fact, embodies both char­ acteristics. Schenker's theoretical ideas developed from the analysis of a very large number of individual compositions, where he focused on the details of melody, counterpoint, harmony, and form. It was not until relatively late in his life that he formulated the theoretical principles that are now widely associated with his work. Many of Schenker's writings are now available in excellent English transla­ tions, which are listed in the Bibliography.1 His mature theory is presented in Free Composition, which was published after his death in 1935. Despite its great importance, this work is not suitable for use as an introductory text: it is orga­ nized as a treatise rather than a textbook, and is written in a compressed man­ ner with language that is often difficult to understand.2 Once you know more about Schenkerian theory, with the aid of this book you will be able to read Free Composition and to understand Schenker's ideas, as well as the analyses that he published. Schenker's approach is grounded in the fundamental principles of har­ mony and counterpoint, and requires solid musicianship and a developed mu­ sical ear. Schenker began his musical career as a pianist, composer, and music critic. He also was a pioneer in the study of autograph manuscripts and the use of autographs to prepare musical editions.3 His interest in theory and analysis 3 4 Basic Principles grew naturally out of these activities, since he believed the theoretical under­ standing and teaching methods of the time to be inadequate. Schenker always valued performance and practical musicianship, and saw himself as both a the­ orist and an artist.4 It is our goal in this book to present Schenkerian analysis in this light: not just as a theory, but as a comprehensive way of understanding a musical work. Though a Schenkerian graph focuses on elements of harmony and counter­ point, analytical decisions involve consideration of all aspects of the work. Schenkerian analysis provides a comprehensive view of a work in all dimensions from the small to the large. As such it is a great asset to hearing, understanding, and performance. A Schenkerian graph uses noteheads and various rhythmic no­ tations, not in the usual ways, but to represent various kinds of analytical inter­ pretation. In the early chapters of this book you will learn the basic principles that underlie Schenkerian analysis, and then we proceed to analyses first of phrases and then of complete pieces. In Schenker's approach, the analysis is not imposed on the music. Rather, you will learn how to evaluate a musical context based on your hearing and perception of all aspects of that context:" Schenkerian analysis can address a variety of concerns. For instance, an analysis can illuminate general theoretical principles, such as the relationships among various structural levels and the interrelated functions of harmony and counterpoint in a tonal composition. Such matters inform our understanding of the concept of tonality as it operates broadly throughout the tonal repertory. The focus, however, can also be primarily analytical, addressing the individual aspects of a composition that relate to matters of musical coherence (a concern of para­ mount importance to Schenker). One type of tonal coherence (or "unity") oc­ curs when a configuration of tones recurs in identical form, whether in immediate succession or over a broader span of music-such a recurring pattern is called a motive. Schenker's extended concept of motive is one of his most pro­ found and tar-reaching contributions to the understanding of music. As an introduction to the Schenkerian approach, we explore some motivic aspects of the first movement of Beethoven's Piano Sonata, Op. 2, No. 1. Before you read further, play or listen to the entire movement. Notice the large sections of the form, and the key areas associated with them. Although we focus primarily on motivic aspects of this movement, we do so in relation to the form. 6 Our dis­ cussion is based on an analysis by Schenker, but one that wa'> done prior to the mature work for which he is best known. After you have read this book, you may wish to return to this piece and study Schenker's original analysis. 7 Beethoven, Piano Sonata, Op. 2, No. 1, I Example 1.1 presents bars 1-8 of the exposition. If you play or listen to these bars, you will notice a propulsive energy created by the rapid arpeggiated ascent in the right hand that reaches a~ 2 in bar 2 and b~ 2 in bar 4.