Cambridge Drabkin HeinrichSchenker

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Author o f t h e chapter William DrabkinTitle of the chapter Heinrich SchenkerEditor/s Thomas ChristensenTitle of the book The Cambridge History of Western Music TheoryISBN 0521623715Publisher Cambridge University PressPlace of publication Cambridge, UKYear of publication 2002Chapter/Page numbers 812-843


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Heinnch Schenkerattended t h e Gymnas ium i n t h e capital city o f Lemberg (L'viv in present-day Ukraine)and completed h is schooling in Brezezany, where h e also h a d music lessons from t h ecelebrated Chopin pupil Karl Mikuli. After taking t h e Matura examinations, h eenrolled as a la w s tuden t a t t h e University ofVlenna i n 1 8 8 4 , gaming a doctorate in l awthere s ix years later. In h i s last three years a t university, h e also attended classes a t t h eVienna Conservatory, wh er e h i s teachers included Anton Bruckner.

After grad uatio n, Schenker embarked o n a musical career which included composi-tion, journalism a n d accompanying. H e gave u p composing while in h i s early thirti es,after realizing that h e would never b e able t o equal t h e achievements o f t h e masterswhom h e admired above all else, a n d f o r most of h i s life h e earned a living a s a pianoteacher m Vienna, devoting himself in h i s free tim e t o music theory a n d analysis. H i spubl icati ons we re financially su pp or te d b y f r iends, a n d b y people whom h e t aught o rwith wh om h e shared tho ugh ts o n music, a n d this enabled h i m t o abandon h is w o r k inmusic jour nalis m a n d t o wri te in a more serious w a y f rom t h e early years o f t h e twen-tieth century until t h e e n d o f h i s life.^

H is publis hed wo rk incl udes critical editi ons, a treatise o n ornamenta t ion , a n d c o m -mentaries f o r facsimile editi ons o f composer autographs. But i t i s by his detailed anal-yses o f music a n d t h e work ing o u t o f a comprehensive theory o f tonali ty - t h e t w otypes o f wri t ing commingle in textbooks, monographs, pamphlets , yearbooks, a n dcritical comm ent ari es - tha t h e h a s become widely known. Schenker's analyses exem-plify, ove r a broad range o f t h e l i terature a n d i n considera ble detail, a view o f music tha thas gained sufficient esteem in North America ( a n d more recently in par ts o f Europe)to establish itself a s o n e o f t h e foremost approaches t o musical structure.

Although Schenker is best known fo r a high ly specific vie w o f music, a n d a methodfo r describing h o w music behaves, h is writings cover a broad range o f approaches a n dembrace editorial technique, performance practice, a n d criticism. A theoreticalproject, built around t h e four-volume Neue musikahsche Theonen un d Phantasien, spansa thirty-year period y e t shows a remarkable degree o f consistency. T h e first threevolumes i n t h e series a r e based o n t h e traditional disciplines o f harmony a n d counter-point: Harmonielehre (1906) a n d a two-volume Kontmpunkt (1910, 1922). T h e fou r thvolnme, Derfreie Satz (1935), w a s initially conceived a s t h e third volume of Kontrapunktb u t marks a more radical break with t h e t radit ional study o f t h e contrapuntal specieswith reference t o a cantus firmus; it is more a book about analytical method than c o m -position technique.

T h e texts devoted primarily t o t h e analysis o f whole pieces include a monograph o nBeethoven's Ninth Symphony (1912) a n d t h e periodical publications Der Tonwille(1921-24) indDasMeisterweyk in (192^-30) . Tho ugh Tonwille and Meisterwerkare largely devoted t o small- t o medium-length studies, sometimes o f short keyboard2 To date, th e fullest account of Schenker's life is contained in the opening chapter of Federhofer,H einnch S chenker, nach Tagebuch em imdBnefen, pp 1-47


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8 I 4 W I L L I A M D R A E K I N

pieces o r sonata movements, they also contain longer analyses o f three major worksf rom t h e Classical symphonic repertory: Beethoven's Fifth Symphony (1921-^3)^Mozar t ' s Symphony i n G minor, K.550 (1926), a n d Beethoven 's Eroica Symphony(1930). T w o o f these a r e , m effect, Beethoven sy mph ony m ono gra phs whic h, togetherwi th t h e book o n t h e Ninth , const i tu te a tri logy o n t h e symphon ic ou tp u t o f t h e co m -poser h e esteemed above all others.

A s I t w as primarily as a piano teacher that Schenker earned a living, o n e should n o tb e surprised t o find h is work addressed as much t o practical musicians as t o t h e worldo f scholarship. T h e major i ty o f h i s longer essays include detailed suggestions on per -for ma nce ; thes e invariably follow, a n d a r e derived fr om , t h e analysis o f t h e scor e, some-t imes supported b y t h e evidence o f t h e sources. Schenker frequently stated that aninspired performanc e o f a work could only b e obtained b y w a y o f fol lowing i t s compo-sitional growth from t h e background t o t h e fo reground . I t is clear, from h i s extantremarks o n perfor mance, that th is d i d n o t a mo u n t t o an "analy tical" style o f playing,whereby elements o f a s t ruc tu ral "bac kg ro und" a r e b r o u g h t o u t crudely. ( T h e oppo-site is closer t o t h e truth: foreground dissonances require greater weight than t h e co n -sonances from which they a r e derived.3) Schenker 's long -proje cted Kunst des Vortrags,never completed b u t recent ly brought o u t i n English translation as T h e Art ofPerformance, expresses concerns as much in tune wi th h i s earlier wri tin gs as with th elater theoretical formulations.^

I f Schenkerian analysis entails a pro found a n d detai led understanding o f t h e rela-t ionsh ip o f t h e notes o f a piece t o o n e another , then a n essential condition o f a n analy-sis IS a n accurate tex t o f t h e piece. This w a s a problem o f life-long concern: i n t h e daysin which t h e texts o f musical works were overlaid b y editors with additional dynamica n d articulation marks, a n d when t h e notes themselves were often changed arbitrarily,t h e unders tand ing o f a work could begin i n earnest only after i t h ad been establishedw h a t t h e composer h a d actually writte n.5 ( I n this activity Schenker w a s assisted by hispupils Otto Erich Deutsch a n d A n t h o n y v a n Hobok en , bo th o f whom followed distin-guished careers as musicologists.) T h e search f o r t h e best musical text, a salient featureo f t h e Erlautermgsausjjaben o f Bach's Chromatic Fantasy a n d Fugue a n d four ofBeethove n's late sonatas, extends t o Schenker's other editorial work, h is commentaryo n a facsimile reproduction o f t h e "Moonl igh t" Sonata , a n d t h e essays o n Mozar t ' s Gminor Symphony a n d Beethoven 's Eroica. With Beethoven a n d , t o a lesser extent,Haydn , a n additional measure o f t h e composer ' s purpor ted in ten t ions w a s sometimesprovided b y t h e t ranscr ip t ion a n d in terpre ta t ion o f sketches. T h e practical texts3 Referring to the Bach C major Prelude, he wrote to a pupil that " t h e dissonances . should alwaysbe played louder than the consonances"; see Drabkin, "A Lesson in Composition," p 247 See alsoRothstem, "Schenker as an Interpreter o f Beethoven's Piano Sonatas "4 Recent studies m this field include Burkhart, "Schenker 's Theory o f Levels"; Schachter, "Twentieth-Century Analysis "5 This matter is treated briefly mroKW!/fe, vol. Ill, pp 24-25 and vol vi,pp 38-40, and at greater lengthin the essay "Weg mi t dem Phrasierungsbogen" in M eisterw erk, vol. i


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Heinnch Schenker 815include a commenta ry o n ornamenta t ion in eighteenth-century music , a n edi t ion o fth e complete Beethoven piano sonatas, an d a two-v olume selection o f keyboard worksby Carl Philipp Emanuel Bach.

T h e parsing o f this prodigious oeuvre should n o t , however, obscure t h e fact tha t , f o rSchenker, many aspects o f music - theory, analysis, performance, manuscript study, a ndth e preparation o f edi t ions - were interrelated a n d hence discussible in an integratedformat. F o r contemporary musicians outside t h e academy, e . g . , concert pianists a n dpiano teachers, were h 's most important contributions t o t h eliterature o f music, providin g in an integrated format a n authoritat iv e text o f t h e music,an analysis, commentary o n t h e autograph score a n d other primary textual sources,remarks o n per formance , a n d discussion o f t h e secondary literature. Their musicalinsights wer e rec ogniz ed b y performers wi th n o particular theoretical ideology.''

Where n o t accompanied b y t h e musical text, a typical analytical essay neverthelessincludes some or al l of the following: observations o n t h e text o f t h e piece (including,where relevant, alternative readi ngs i n t h e auto grap h score a n d early sketch es), sugges-tions f o r performance that arise from t h e analysis, remarks o n modern edit ions a n darrangements, an d a survey o f t h e secondary literature. A s Schenker 's stature as a theo-rist grew, a n d h e became more convinced o f t h e t ightness o f h i s views o n music, h ebecame less concerned with attacking t h e wri t ings o f other scholars. T h e N i n t hSymphony monograph (1912) w a s expressly concerned with t h e opinions o f earliercommentators, as i ts subti t le makes clear/ b u t t h e Eroica essay (1930) mentions onlytw o studies peripherally concerned with t h e work's s t ructure , a n d does s o only briefly.

In both h is published writ ings a n d private communications, Schenker decried t h emixing o f politics with music; t h e immortal i ty o f great music w a s itself proof thatpolitical beliefs h a d little t o d o with musical values. Y et t h e not ion o f hierarchy, o f astrict ordering o f t h e tones o f a compos i t ion , is so thoroughly consis tent wi th h isdeeply conservative ou tl oo k o n life a n d culture that it is difficult t o uncouple h is theoryentirely fro m t w o o f h i s most consistently expressed ideological stances: ( 1 ) t h e cen -trality o f t h e German people in European culture, underscored b y their preeminencein music, an d ( 2 ) t h e steady decline o f cul ture a n d political order in Europe since t h elate eighteenth century, ultimately resulting i n t h e complete demise o f musical a r t b yth e beginning o f t h e twentieth century. Schenker admitted only t w o foreign compos-ers into t h e pan theon o f German music, Chopin a n d Dome nico Scarlatti . Alth oug h h eencouraged h is private pupils in compos i t ion , h e found nothing favourable in eithermainstream modern music o r t h e tona lly accessible jaz z a n d popular music of h i s t ime.

6 See, for example, Paul Badura-Skoda, "A 1 le," in which Schenker's analysis of the Piano Sonata in At?,Op 110, IS championed, three-quarteis of a century after its publication, as "a monument of precisionand insight, by far the best analysis ever made of one of the last Beethoven sonatas" (p 87)7 Darstellunjj des m usikalisch en Inh altes unterfortluufender B eruoh iLh tigung auch des Vortra^es und derLiteratur ("a representation of its musical contents, together with a running commentary on perfor-mance and the critical liteiatuie")


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8 l 6 W I L L I A M D R A B K I N

H e reserved h i s harshest polemics f o r t h e atonal composers, y e t made n o qualitativedist inct ion between t h e w o r k o f contemporary composers as stylistically diverse asDebussy, Strauss, Schoenberg, a n d Hmdemi th .^

Tha t Derfreie Satz is n o t only h i s opus ultimum b u t also a pos thumous work - it waspublished some months after h i s death in January 1935 - ha s ha d important conse-quences f o r o u r unders tand ing o f Schenker 's work. Although i t i s the t ex t o n whichh i s repu ta t ion is based, a n d remains t h e basis o f explanat ions of h is theory and of theanalytical a n d graphing techniques that arise from i t , i t would b e a mistake t o regardI t a s the definit ive formu lat io n o f Schenkerian theory. F o r o n e th ing , it is generallyreckoned as incomplete, especially with regard t o t h e discussion o f form, metrics andr h y t h m, a n d style a n d genre. Second, t h e earlier writings, though they a r e formatteddifferent ly a n d u s e t erminology m a different w a y (especially t h e words Urlinie andZ h ^ ) , shed a great deal o f l ight o n Schen ker's analytical tec hni que ; they a r e sometimespreferred t o t h e later writings, whose insights c a n sometimes seem tangled inside anelaborate theoretical w e b . This means tha t a single account o f Schenker 's contr ibut iont o music theory is an illusory goal, even i f Derfreie Satz remains t h e largest repositoryof h i s analytical work and is probably t h e best vantage -point fr om which t o view i t .

Outline of the theoryI f o n e were t o a t t e mp t t o reduce Schenker 's understanding o f music t o a singleconcept , "hierarchy" would perhaps b e t h e best choice. F o r Schenker, music - greatmusic - IS tonal , a n d hence a composi t ion is governed ultimately by i t s principal chord,t h e tonic triad; all other harmonic funct ions a re subo rd ina te t o t h e ton ic , a n d analysismust always make a distinction between essential a n d passing harmonies. Similarly,t h e notes o f a melody c a n be described as either essential o r transitional. Moreover, th eno t ion o f essential versus passing, o f harm onic versus non-h armo nic, appl ies n o t onlyt o t h e surface o f t h e music b u t in forms t h e deeper levels, t o o : a harmony might beessential a t o n e level b u t transitional a t another , a passing note a t o n e level might bet h e star t of a n important " l inear progression" a t another .

8 Only tw o modern works were subjected to analysis by counter-example a passage from Stravinsky'sPiano Concerto and the whole of Reger's Variations and Fugue on a theme of Bach, Op 8 i Both appearm M eisterxerk,vo\ 11Schenker's polemics proved an embarrassment to his disciples, many of whom were forced to fleeNazi Germany m the late 1930s After 1945, Schenker's ideological position w as untenable to a Germannation trying to come to terms with th e horrors it had recently perpetrated , and for a long time after-wards th e offending passages from his texts were excised from later editions and translations of hi s writ-ings, o r relegated to an appendix The more virulent parts of his published work, above all the sectionsof Tonvjille an d M eistemerk devoted to miscellaneous "thoughts on art and its relationships to the generalscheme of things," have until recently been ignored altogether, though some writers have argued thatSchenker's polemics are inseparable from his theory, se e Cook, "Schenker's Theory ot Music as Ethics","Hemrich Schenker, Polemicist", Bent, "Schenker e la missione del genio germanico "


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Heinrich Schenker 8 1 7Example 2 6 . 1 Hamomelekre, Example 1 5 3 : Analysis o f a n a "Bufi u n d R e u " f romBach's

Fia-moll: V

m US'ZJJVI (IV) VI shall outline t h e essentials o f Schenker's theory using four further concepts: Stufe,

SrAzcAt, an d linearity. Additional terms will b e intro-duced in relation t o these.

This term is ofte n t ranslated as "scale degree" o r "scale step," expressions that have amelodic conno tation . B u t i s a harmonic concept, o n e which provides a means o fdist inguishing imp ort an t harmonies fr om transi t ional ones {Duychgange)\ thus i t p r o -vides a means o f assigning different values t o what might otherwise appear t o b einstances o f t h e same chord. I t makes an early appearance in Schenker s wri t ings - inth e Harmonielehre o f 1 9 0 6 - a n d represents a n important milestone in his deve lopmen tof a hierarchical view o f musical structure. I n discussing t h e ritornello o f a n a n a f r o mBach's S t. Matthew Passion ( see Example 26.1), Schenker showed h o w only o n e o f t w oC# major chord s could b e under s tood as a t rue dominant of Fjt minor , a V. Stufe .9

At * w e see th e appearance o f a complete triad o n C# , which could represent t h e dominant harmony K but the listener would have been directed most speciGcallyb y e rhythm of the falling Hfths I-IV-VII-III etc to viewing this triad as merely apassing configurati on o f three voices; even i f w e were t o ignore t h e fact that t h e mversion of the Hfths supports this view, and that e re is no need to invoke a V here since o n eappears ex officio m t h e very next m e a s u r e , there is no question of i t having t h e weight o f

9 i87,seeakoFederhofer,AAWK'ZSAm#An(%,pp 66-67


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8 l 8 W I L I l A M D R A B K I N

a Stufe. Each o f t h e three voices in fact h as i t s o wn reason f o r passing this point T h e Din th e bass passes thr oug h C# to B as a possible [root o f ] IV , t h e suspended fourth G int h e soprano passes thr oug h E# cn route to i t s resolution, Fp, and finally t h e suspended Ein th e inner voice moves th ro ug h Gj: to A in parallel sixths with t h e sopiano. Thus theircoming together must b e taken f o r what i t truly is: a contrapuntal accident.

T h e example shows a clearly hierarchical view o f musical design: wh at is transitionalmus t , b y definit ion, b e dependen t o n t h e points enclosing i t . T h e starred C# majorchord cannot b e mistaken f o r a true dominant, since i t acts as a passing chord betweent w o chords along t h e cycle o f falling fift hs, V I o n t h e first beat and IV^ (substi tut ing f o rI I ) on the third.

I n Schenker's later writings, t h e status o f a chord is dependen t o n t h e perspectivefrom which it is viewed. A passing harmony a t a higher structural level {Schicht) couldg a m t h e weigh t o f a Stufe a t a lower level. I n t h e analyses t h e roman numbers a r e oftenlaid o u t simultaneously in differing degrees o f detail, sometimes with parenthesesenclosing a lower-level progression (see Examples 2 6 . 5 a n d 2 6 . 6 , below).

ScAzcAtMusical content is created by a n unfur l ing o f t h e tonic triad, referred to in some ofSchenker's writings a s t h e Klanj] in derNatur. t h e "chord o f Nature , " i . e . , harmony inI ts natur al state. This is achieved i n t h e first instance b y "hor izon ta l i zmg" t h e contentso f this chord as a simple two-voice setting. T h e upper voice, called t h e Urlinie, makes adiatonic stepwise descent fro m a note i n t h e toni c triad to i t s root , a n d hence traversest h e interval o f a th i rd , a fifth or a n octave (see Example 26.2). T h e lower voice, calledt h e Bassbrechung ("bass arpeggiation"), starts with t h e root a n d moves t o t h e fifthdegree a n d back t o t h e root . I t is no accident , f o r Schenker, that t h e roots o f bo th t h emediant ( t h e "relat ive major" m minor keys) a n d t h e dominant belong t o t h e tonictriad: this enables Schenker t o argue even mor e forcefu lly th at t h e tonic triad n o t onlyrepresents harmony in i t s natural state b u t also contains t h e essentials o f harmonicmot ion . I .e . , what other theorists would have called t h e "principal modulat ions."

T h e configuration o f Urlime supported b y bass arpeggiation is called t h e Ursatz. I tn o t only represents t h e melody in i t s most rudimentary form, t h e scale, b u t also t h ebasic harmonic progression underlying most eighteenth- a n d nineteenth-centurymusic: I - V - I m roman numeral terms. ( In this respect, t h e Ursatz is a strongerabstraction o f tonal music than Fuxian note-agamst-note counterpoint, which prefersstepwise motion m both parts, especially a t t h e cadence.)

10 The use of careted arable numbers fo r melodic steps is analogous to that of roman numerals for theharmonic Stufen, and is explained in a footnote to an analytical graph in Tomnlle, vol iii . Th e Tonmlleanalyses show a liberal use of these symbols, with hierarchy shown b y different sizes of number, by thetime of Der freie Satz, there w as only o ne fundamental descent of the Urhnie, 1 e , one descending Im eindicated by careted numbers


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Heinnch Schenker 8 igExampie 2 6 . 2 T h e three forms o f t h e Schenkenan f/Mak ( c f D e r f i g s 1 ,9-11)(a)

(b)

2 dr

I V I5 4 3 2

I V I8 7 6 5 4 3 2 1

w J J

V I

T h e Ursatz, which represents t h e contents o f a tonal work a t t h e most basic level,called t h e background (Hintergrund), gives rise t o more elaborate harmonic-contrapun-ta l designs. Thes e in turn generate further development, in stages, unti l t h e final elab-oration IS reached, which i s the piece itself with all its details o f rhythm a n d tempo,dynamics a n d articulation, a n d scoring. This level is called t h eforeground o f a compo-sition {Vorderjjrund). Between t h e extremities o f background a n d foreground lies t h emiddkground (Mittelgrund), a n area whose scope a n d complexity is dependent o n t h esize an d nature o f t h e composition.

T h e t o p staves o f Examples i6 .2a-c show that t h e linear descent in the upper voiceof the Ursatz traverses t h e space o f a third, a fifth, or an entire octave. Because o f t h eperfect alignment o f t h e upper a n d lower voices in Example 26.2a, this form o f t h eUrsatz IS given pride o f place in most explanations o f Schenkerian theory. Indeed, t h eUrsatz from 3 most clearly illustrates t h e notion o f hierarchy (see Example 26.3). T h etonic triad, Schenker's chord o f Nature , is given in Example 26.3a; it is stretched o u t(or "horizontalized") b y t h e successive presentation of i ts root a n d third (26.3b) a n db y t h e filling o f t h e space between these with a passing note (26.3c). T h e passingnote, which is initially dissonant against t h e prevailing harmony, is converted t o a


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8 2 0 W I L L I A M D R A B K I N

Example 26 .3 Derivation of the Ursatz from 3 from th e tonic C major chordb ) A 0 ) ( d

5 IF

consonance b y t h e arpeggiat ion o f t h e bass fr om t h e first t o t h e fifth step o f t h e scale(26.3d). T h e resul tant harmony - t h e d o mi n a n t - thus acquires t h e status o f a funda-mental harmony - a Stufe - an d i s then able t o generate further elaborations. A t subse-quent levels these processes a re repeated: passing notes a r e given consonant supporta n d become harmonies in their o w n r ight .

A s Schenke r himself explained:T h e dissonant passing tone . . so long as it retains its dissonant quality . . cannot atth e same time give rise t o a fu rth er elaboration; only t h e transformation o f a dissonanceinto a consonance can make elaboration possible . T h e Ursatz exhibits th e first trans-formation o f a dissonant Urhme tone into a consonance above all, 2 is changed into aconsonance 2/V by the counterpointing bass arpeggiation of the tonic triad.

Although Schenker's terminology implies a triparti te division, each term - back-ground , middlegrou nd , fo reground - m fact embrac es more tha n o n e distin ct structu-ra l level. H i s statement early in Der freie Satz t ha t " t h e background m music isrepresented b y a contrapuntal s t ructure which I call t h e Ursatz"^^ is already a simplifi-cat ion; a s w e have seen (Example 26.3), there is a musical construct ion - t h e tonicchord - that is conceptually prior t o t h e Ursatz. A t t h e other e n d , t h e " f o r e g r o u n d " o fa piece i s the totality of i t s notes a n d associated markings, i . e . , t h e score; b u t t h e termis conventionally used t o describe a simplification o f t h e piece i n which t h e melodiccontour, harmony, a n d phrase rhythm a r e clearly discernible. Example 26.4b, whichreproduces part o f Schenker's most detailed analytical "graph" o f t h e first movemento f Mozar t ' s G minor Symphony, c a n easily b e read as a simplification o f t h e star t o f t h esymphony i n a w ay that line ( i ) fro m Exam ple 26.4a, w h i ch i t elaborates, cann ot. ' 3 T hemot ion o f t h e upper voice is , wi th f e w exceptions, reduced t o quar ter -no tes a n d half-notes; t h e piece is presented in a two-stave piano for mat , wi th some indications o fscoring. T o distinguish between t h e t w o not ions o f musical foregro und, Schenker g e n -erally used t h e t erm Urlinie-Tafel for t h e graph o f t h e fo reground in this simplified nota-t ion , a n d Ausjuhrmg o r letzte Ausfuhrung ("final elaboration," "realization") whenreferr ing t o t h e actual score.

Tha t t h e mi dd le gr ou nd also comp rise s several hierarchica lly conceived layers is clear

11 Derfreie S atz, i6< )-yo 12 Ibid , Part I, Chapter 1, section 3 13 M eisterw erk, vol 11


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Heinrich Schenker 821both from Schenker's analyses a n d f rom h i s terminology. I n Example 26.4a, lines {a),(6), W , an d {d) each represent a middleground layer; h a d h e published this analysis afe w years later, h e would have labeled them " 1 . Schicht" (="f i rs t [middleground]layer"), " 2 . Schicht ," " 3 . Schicht ," a n d " 4 . Schicht," respectively I n t h e well-knowngraphic analysis o f Bach's Prelude in C f rom t h e Well-Tempered Clavier, Book 1,^4 theinitial elaboration o f t h e Ursatz is still marked " 1 . Schicht," even though n o fur thermiddleground layers intervene between i t a nd t he Urlmie-Tafel?^

Prolongation and AuskonponiermgThough these terms a r e central to h i s theory, Schenker never provided clear defini tionsof either, n o r d i d h e a t t empt t o distinguish between them. Prolongation suggests t h ecreation o f con t en t b y s t retching o u t t h e constituent elements (representing specificmusical events) in a given layer. I n t h e analysis o f t h e Bach prelude, f o r instance, t h efall of a n octave from e^ to e ' is a prolongat ion o f t h e first note, o r "pr imary tone," o ft h e Urlinie, e^ = 3.Auskomponiemng (literally, "c om po si ng o u t " ) is t h e process b y whichprolongation is achieved: t h e wo rd, constructed b y analogy with t h e German ausarbe-iten ( " t o w o r k o u t , develop"), implies that temporal events have t h e potential t o g e n -erate fu rth er con ten t; that is , material contained i n ( o r implied by) a n event in a higherlevel c a n b e "un locked" b y t h e process o f elaboration. I n t h e Bach prelude, t h e 3 tha tIS initially prolonged b y t h e drop of a n octave is fur the r elaborated b y being filled withstepwise motion: t h e l inear descent "com pose s o u t " t h e octave.

Linked t o t h e concepts of Prolongation andAuskompomermg is a favorite metapho r o fSchenker's, Saat-Emte, b y which musical structure is made analogous t o organicgrowth: "from seed t o harvest ." T h e commentary o n t h e first movement o f Mozar t ' sG minor Symph ony makes reference t o t w o instances: t h e interval o f a s ixth, "pl ant ed"in the viola part in m. 1 , "germina tes" i n t he first violin i n m m . 3 a n d 7 (this relation-ship IS shown i n t h e Urlime-Tafel: s e e t he square brackets in Example 26.4b); i n m m .1 0 - 1 1 t h e descending third from a^ to itself t h e inversion o f t h e original sixth,resolves t o t h e fou r th i n t h e next measure. With t h e key-note, g^ , m the upper voice,this fourth i s the "ha rves t " o f t h e original planting.

Another term used in this connection is Diminution. B y this Schenker sought t oemphasize t h e historical validity of h i s theoretical work, through t h e connect ion34 See, for example, Cook, Guide to M usical Analysis^ Drabkm et al , Analisi schenkenana Derivativeexamples are found m]onzs^Einfkhrun^^ Forte and G ilhert^Introduction to Sc henkenan Analysis ..Nc umty trand Teppmg, G uide To Sc kenkenan Analysis^ Cadwallader and Gagne, Analysis of Tonal M usic See alsoDrabkm, "A Lesson m Analysis," which includes Schenker's preliminary sketches fo r this graph15 Another Schenkenan graph illustrating levels of musical structure (in this case of a Haydn pianosonata) may by seen in Plate 23.2, p. 742 There, th e subsumption of middleground modulations withina background voice-leading structure is clearly to be seen16 Meisterwerk,vol n , p i j 8


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Example 2 6 4 Extracts o f graphic analyses fro m "Mo za rt Sinfome G-moll ,"Das M eisterw erk m derM usik, vol 11(a ) f rom fig 1, layer analysis o f first movementFigl

Tonalitat - ( D ^ m

ToaalitatG moll I -(Nbhm)-ni-

Stufen derTonalitatalsToaarteu I

\M [E laste

11 (HV>V BWDej-ff-V I - (TI) O/V-IIGmoU . . . w )

I I

(NbbnOV I

W - v i- -(V) I- ( N w y ^@ I S

( V ) V I ( D g ) S f f j t y M


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Heinrich Schenker 8 2 3

-(NWun)-

(Nbhm)nG moll

]II(Iten,t;e) (NWun)-

-


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gz^. W I L L I A M D R A B K I NExample 26.4 [cont.)(b) from the Urlinie-Tafel of the first movement

Allegro molto(VIXi

Tonarteii\TunVorderJGmo/tgrnnde: /

Dnrchgange)113

(TeUer) IV n-v - i( F l . )W g

) (ObJI)(vi

5(Teilei) IV


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Heinrich Schenker 8 z ;

Em M , (t\ & ..ifMTi

( m # v i x i V - II (El

ilsci>iiiT.lS4Gmoll

j 5 3 Z i i i j 3 i i


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8 2 , 6 W I L L I A M D R A B K I N

Example 26 . 5 Derfieie Satz, fig 8 7 / 5 . Mozart, Sonata in A, K. ^31, first movement,m m . 1 - 8

T 1 2 3/ 4 3 I . 7

between s t ructure a n d detail. I f "diminut ion" means , f o r historians o f seventeenth-a n d eighteenth-century music, t h e practice o f ornamenta t ion o r t h e elaboration o f afram ewo rk (e.g., a n Adagio written skeletally i n long note values) o r a chord progres-sion (e.g., t h e realization o f a cadenza o r t h e improvising o f a prelude), thenAuskompomemng could b e unders tood as diminut ion , wi th t h e addit ional requirementthat t h e elaborations must n o t b e applied arbitrarily b u t a r e needed t o promote th eoverall unity o f a composi t ion (or , in Schenker 's preferred term, i t s "synthesis") . '7 int h e Bach prelude, f o r instance, t h e rising fourth s e^-a^ and dP-gf ( i n m m . 4 - 7 ) a r e d i m -inut ions o f t h e upper-voice movement from e t o d \ T h e four th i n t h e bass i n m m . 8 - 9 ,though It gives t h e illusion ofV-I in G major, is also a diminut ion o f a conceptual step-wise descent, from a to g ; synthesis is promoted b y t h e repet i t ion o f t h e same interval,D rising to a G, in diff eren t voices.

I n much is also made o f "concealed repeation " achieved b y making ashort figure or an interval i n t h e foreground t h e basis of a n extensive elaboration lateri n t h e piece. Schenker's essays sometimes refer specifically t o "diminution motives,"I .e . , figures that a re consistently applied a t various structural levels. In h i s essay on t heG minor Symphony, t h e upward leap o f a sixth a nd i t s inversion, t h e descending third,a re identified as motives characteristic o f t h e foreground o f t h e first movement (repre-sented in Exampl e 26.4b). A t hig her levels t h e stepwise descent o f a second, in pairs, isa characterist ic dimi nut ion techn ique (compare t h e start o f levels (c) an d {d ) in Example26.4a); t h e original neighbor figure i n t h e melody, Ek slurred t o D i n t he violin parts, isalso a n expression o f this two-note linearity.

Prolongat ion c a n also b e achieved b y repeating material, a n d musical form is oftencreated b y t h e repeti t ion o f port ions o f t h e Ursatz itself A t echnique o f fundamentalimportance in this respect is Unterbrechm, t h e " i n t e r r u p t i o n " o f t h e progress o f t h eUrsatz a t 2 /V, which necessitates a n e w beginning. A ll constructions based o n antece-dent a n d consequent phrases c a n b e unders tood as elaborations o f interrupted struc-17 t o r discussion - and illustrations - of diminution techniques in earlier music theory, se e Chapter 17 ,pp . 544-4818 The term Diminutiommotiv appears as such only in the analysis of Bach's Largo fo r solo violin(M eistmveik, vol I), bu t its spirit informs other analyses In the Mozart symphony essay, fo i instance,Schenker describes the Diminution of the various structural levels as having their " o w n special motiviccharacl:ensucIs]"(Mfz.;kni'gr;(, vol n, p ]i y )


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Heinnch Schenker 827Example 2 6 . 6 Sonata-form movements as elaborat ions o f mte r rup t ed Urlimen

i$4/5a: Beethoven,fa^M-g/Symphony, first movement(IfbH)

(b ) Derfreie Satz, f i g . 4 7 / 1 : Mozart , Sonata in C, K. 545 , first movementT 4 12 I t aft

I (T i l V .( E x p I ) f - H p )

tures. I n t h e first-movement theme from Mozart's Sonata i n A , K . 3 3 1 , m m . 1 - 5 showa linear progression from e^ that is expected to end at a ' ; i t is interrupted after fourmeasures, an d must begin again in order t o reach i ts goal (see Example 26.5).

Since t h e first arrival of 2 /V marks t h e halfway point i n the structure, Schenkerrefers to it as the ("dividing dominant") or simply("divider"). ' ' I n doing so , he invites comparison with themes tha t, thoug h they d o n o thave an interrupted structure i n the upper voice, a re similarly constructed i n twohalves with t h e first ending o n a dominant . O n e such example i s the second-grouptheme o f t h e first movement o f Mozart 's G minor Symphony, a t m m . 44-51: t h e d o m -inant in m. 47 is marked "Teller" o r " T l " i n t h e analytical graphs (Example 26.4) , sinceit lacks t h e harmonic weight o f a Stufe^

20 The use of th e term Teller m both contexts suggests that, fo r Schenker, th e second half of a symmet-rically designed theme has greater structural weight T h e dotted line linking the tw o e^s in Example 26.5further implies that the Grst four measures of the Mozart theme elaborate th e primary tone o f th e Im^ rdescent, i.e., the e^ in m. 1; this would mean that the first arrival on V has less structural weight t han t h eVo f the V-I cadence m m. 8. This end-onenced view o f interruption is consistent with Schenker- theoryin general, and with his explanation and use of the term Teller. It is contradicted, however, y ot ergraphs m Derfreie Satz and by the text (90), which stipulates that , in an mterrupte structure,! e rstarrival on the dominant is the more important of the two . The editors of the English edition 0 erjreie

attempt an explanation of this difficulty (see free p. gy, note 6), o r a u er iscussionof the problem o f hierarchy m interrupted structure, see Smith, "Musical Form an d FundamentaStructure," esp. pp. 267-69.


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W I L L I A M D R A B K I N

A t a higher level, e.g. , in a complete two-part song form, t h e entire first part m a y berepresented as a descent t o 2 supported by I -V , with t h e second part traversing th esame ground b u t ending o n t h e l / I . I n sonata form, t h e first arrival on 2 /V marks th estart o f t h e conventionally termed "second group"; t h e develop men t section will thenconvert this dominant t o a W , f o r instance b y elaborating t h e space o f a third lyingimmediately above t h e fifth o f t h e dominant (V ' as in Example 26.6a (a middle-ground graph o f t h e opening movement o f Beethoven's Pastoral Symphony), or as apassing seventh o f a n 8 - 7 progression superimposed above 2, as in Example 26.6b (amiddleground graph o f Mozart's Sonata i n C , K . 545 , first movement). I n both casest h e resulting seventh c an also b e understood as an upper neighbor note t o t h e 3 / ^

Eorm c a n also b e created wit h t h e large-scale application o f prolo ngatio n techniquesnormall y associated wit h t h e foreground. E or instance, a minuet o r scherzo movement,with a trio section m t h e parallel ke y , could b e understood in terms ofMtsckung ("modalmixture"): elaboration o f t h e tonic b y alternation with i t s tonic mino r, i .e. , as aprogression.^^ Similarly, a trio section cast m t h e subdommant k e y could b e explainedas a prolongation o f t h e tonic b y a neighbor note and i t s supportingNebennotenharmonie ("neighbor-note harmony"), e.g. , 4 (supported by IV ) elaborating3- (2- l ) o n either side."-3

Musical elaboration is also assisted by changes o f register. I n t h e Bach Prelude in Cmajor, t h e descent o f t h e upper voice o f t h e Ursatz i s t he shortest line between tw onotes o f t h e tonic triad, a third. B u t a t t h e next structur al level, a n octave descent to e 'a nd a n ascent from d ' a re shown t o unfold from t h e original upper voice. These pro-cesses, which involve a change o f t h e register governing prolongations, a re calledTieferlegung a n d Hoherlegung, commonly rendered as "descending register transfer"a n d "asc endi ng register trans fer, " respectively. Wh en t h e t w o a r e employed in pairs, aregistral linkage is created, called Koppelung ("coupling"). I n a short, summarizinggraph o f t h e Prelude in Derfrete Satz^ F i g . 4 9 / 1 , shown here as Example 26 . 7 , t he re g -ister transf ers a re indicated b y t h e "cross ed" beaming of e ^ -e ' a nd d '~ d ^ bu t a re no t solabeled. N o r a r e t h e registers specifically marked as having been "coupled," thoughthis IS self-evident from t h e symmetry o f t h e graph.

21 fig. 154/53. and f ig 47/1 In Example 26.6a, th e representation o f sonata form 353 2[ [ - (N bn) 3 - 2 - 1 IS a hybrid form o f prolongation, a conflation of interruption and neighbor-no te elab-oration; bk' (= Nbn) IS, strictly speaking, an incomplete neighbor to the a ' that follows i t bu t , taking alarger view of the analysis, it refers also to the a ' a t the start of the graph

In Example 26 6b , the outlines o f sonata form a re indicated m parenthesis beneath th e harmonic anal-ysis; Schenker dates th e recapitulation ("Rp," fo r Reprise) n o t from th e reprise of the opening theme -unconventionally - in F major (m 42) , bu t from th e definitive return of the tonic which follows22 Derjrew Satz,{ig 28a. 23 Ibid., figs 35 /1 and 40 /1 .24 in the more formal analysis of the Prelude, published in the FunfUrhnie-Tafeh, Schenker confusinglylabeled th e descending and ascending register transfers "Kopp[elung] abw[arts]" and "Kopp [elung]aufw.[arts]," respectively, 1 e , descending and ascending "coupling" A t that time, he had still n o tworked out a clear relationship between t h e concepts Haherlegung, Tteferlegung, an d Koppelung


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Heinnch SchenkerExample 26.7 Derfieie Satz, fig. 49/1: new middleground graph of Bach's Preludein C

M M M MLy) 3

iy7 V

T h e principle o f hierarchy is , however, still m force, with o n e register taking prece-dence over t h e other. I n t h e Bach prelude, t h e upp er voice starts on e and ends on c^,so its higher octave predominat es i n t h e back groun d, despite t h e long progression intoth e lower register a n d t h e extensive elaboration o f t h e interval d ' - f ; Schenker calledthis t h e obligate L a ^ e ("obligatory register").

T h e Mozart piano sonata movement (Example 26.6b, above) also shows h o w regis-ter can pro mot e musical synthesis b y creating a long-range connection. I n t h e exposi-tion t h e second group is set in a higher register, i ts upp er voice governed b y t h e linearprogression d 3 - g \ T h e dominant of t he second group is elaborated as a dominantseventh i n t h e devel opmen t, passing thr ough P . When this seventh resolves, t h eoriginal starting point, e^, is regained, and in this w a y Mozart returns t o t h e initial re g -ister without actually making an exact recapitulation of t h e opening theme.

LinearityT he notion that "coherence" a n d "connect ion" are closely related (m German, t h eword Zusammenhang c a n be used f o r both) finds a special resonance in Schenker's viewof musical structure; even those writers w h o have kept a respectful distance fromSchenkenan analysis o r have categorically rejected i ts principles have neverthelessbeen attracted b y t h e search f o r connections between musical events resulting frompitch identity o r proximity.

A succession o f diatonic steps joining t w o voices in a chord, o r m adjacent chords, iscalled a Zu (plural t h e term is mos t commonly translated as "linear progression,"or simply "progression"). I n t h e first elaboration o f t h e chord o f Nature, t h e uppervoice - t he Urlinie - is a Zug , since i t joins t w o notes o f t h e tonic triad. A n d when t h epassing d^ of an e^-d^-c^ Urlime (see Example 26.3c) is turned into a consonance b y t h esupport of g m th e bass, i.e. 2 supported b y V, it is capable o f generating further contentby the application of a ne w linear progression. This is shown in Schenker's analysis o fth e Mozart sonata movement (Example 26.6b, above): t h e 2 , after being transferred t oa higher octave, itself becomes t h e starting point o f a linear progression encompassing


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a fifth. T h e n e w progression, an elaboration of the dominant harmony{Avskompomermg der V . Stufe), is Schenker's w a y o f saying that t h e second group ( m m .14-28) of th e exposition is in the dominant key of G major.

Schenker qualified h is linear progressions by the size o f interval they embraced . T heUrlinie o f t h e Mozart sonata movement is a Terzzug ("third-progression"); t h e line from2 IS called a Quintzug ("fifth-progression").As is the case f o r many techniques of pro-longation, linear progressions m a y exist at any str uctu ral level, a nd they a re sometimestransformed from o n e level t o the next. I n t h e first movement of the G minor Sym-phony (see Example 2 6 . 4 , above), t h e Urhnie embraces a fifth, dP-g'. T h e first subject(antecedent phrase, m m . 1 - 2 1 ) is graphed as a fourth-progression a t level (c), which isextended t o a sixth in (d).

Since linear progressions join registral spaces, they give t h e effect o f a play amongt h e polyphon ic voices. A n elementary way in whic h this wor ks is at th e beginning of acomposition, where an ascending line m a y lead up to the primary tone o f t h e Urlime,e . g. 1 - 2 - 3 o r 3-4-5 , an d thus fill t h e space between t h e "a l to" an d "soprano" of theopening harmony; Schenker called this progression an Anstieg (usually translated as"initial ascent"). Another common technique is Ubergreifen, a kind o f registral leap-frogging b y t h e superposition of on e o r more descending linear progressions t o forma series o f steps. Ubergreifen ( n o w translated b y most English-speaking theorists as"reaching over") enables a composer t o reach a higher register, or to regain t h e primarytone of an earlier linear progres sion , or to create an ascending line fr om a series o f shortdescending progressions. I n t h e Mozart symphony movement, t h e modulation to Bl,i n m m . 22-42 is assisted b y a series o f short Ubeiyreifauge finishing with a neighbor-note figure. T h e overall effect is an elaboration of th e third, d^-e^-P (see also Example26.4a, level d) an d Example 26.4b)."-5measure: 22 24 26 28 34 38

Because their points o f origin a n d their goals a re clear, linear progressions showunity in musical movement. B u t linearity in a Schenkeri an sense can also mean the con-nection between widely spaced occurrences o f t h e same note, e.g. the d^ at the start oft h e Mozart symphony movement and the d^ in m. 16, at the firstforte, o r even th e d^ atm . 4 4 in th e second group. Whereas earlier theo rist s dem ons tra ted musical relatednessmore b y thematic similarity or the derivation of one theme from another, Schenkerdemonstrated that a single not e, correc tly positioned an d supported, might b e enought o confer synthesis over a large musical time-span. It is this aspect o f Schenker's work25 Although the term UbergreiJzK contains th e word Zug, such a "progression" often consists of justtw o notes, rather than th e minimum of three needed fo r linear progressions that act on their o w n


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Hemnch Schenker 8 3 1in particuliir that hits attracted t h e attention o f many twentieth-century theorists w h oare no t wholly sympathetic t o a layered view o f musical struc ture, or a re mistrustful o fwhat they perceive to be an excessive reliance o n graphic representation/^

Historical and intellectual backgroundSchenker's published writings tell u s little about t h e source of his insights into music.O n the contrar y, they give every indica tion that h e regarded the m very muc h as his soleproperty, developed over years o f private engagement with t h e canonic repertory o fWestern music, without recourse t o t h e academy o r t h e contemporary music scene.This IS well encapsulated in a postscript to some analyses o f short keyboard works byBach, whi ch includes t h e following statement:

Blessed b y t h e grace o f o u r grea tes t , I have held u p a mi r ro r t o music , a s n o ancicn t ,medieval o r mo d e rn p h i l o s op h e r , n o musician, music his torian o r aesthet ician - o r a n yo f these considered together - h a s been able t o d o . I a m t h e first t o explain i t s in te rna llaws, t o c o m p r e h e n d t h e vivacious e a r o f t h e German mas ters a n d thei r capaci ty f o rinvent ion a n d synthesis . I have explained their daring invention i n t h e realm o fhearing, a s h a d previously been experienced only i n t h e realm o f t h e other senses. A n dI have, s o t o speak, revealed f o r t h e first time b y verbal communica t ion t h e realm o fhearing, a s o u r masters unders tood i t , a n d s o have enriched human exis tence b y a n e wdimension.^"

These sentiment s are expressed mor e succinctly i n t h e inscription on h i s gravestonein th e Central Cemetery in Vienna: "Here lies t h e m a n w h o perceived t h e soul o f music,a n d w h o proclaimed i ts laws as the masters understood them, as no one had donebefore."

O n t h e assumption that every intellectual idea has i ts genealogy, scholars haveattempted t o trace Schenker's conception o f music theory back to its cultural, philo-sophical a n d musical roots. According t o a lifelong fri end , Mori z Violm, t h e music o fMozart a n d Beethoven a n d t h e hterature o f Schiller a n d Goethe were a n importantpart of h is childhood upbringing.Schenker 's extensive quotations o f eighteenth-and nineteenth-century German writers bear witness to an intellectual backgroundthat m a y have been as much literary as i t w as musical.

Extracts from t h e works o f Goethe figure in almost every publication; Schenkerquoted h i m more often than a n y other writer, a nd he ma y have found inspiration f o rth e concept o f a structural background in Goe the 's scientific writ ings ; indeed , t h e veryword Ursatz h a s strong resonance with t h e Vrpflanze o f Goethe's botanical studies.William Pastille ha s suggested that t h e relationship o f species counterpoint t o t h e

26 Rosen, T he Clasncal Style, Meyer, Explaining Music; Narmour, Beyond Schenkensm.27 Tonwille^vol 5 , p . 55 28 YcdcThofcv,HeinnchSchenkeT,nachTajjebuchemundBnefen,p 4 .


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W I L L I A M D R A B K I N

behavior o f parts in "real" music, crucial t o Schenker's view o f musical structure,recalls Goethe's concept o f t h e Urphanomen-, a n d , fur the r, tha t Schenker 's long-range,o r "str uctu ral" hearing is closely related t o Goet he's more visionary type o f perception- Anschamng ~ that comes from beholding things within a theoretical frameworkrather than noting their surface features.^?

Concerning philosophical influences, o n e notes above al l Schenker's indebtednesst o Immanuel Kant. A s Kevin Korsyn has shown, there is a strong kinship between theKantian notion o f causality a n d Schenker's Synthese, a "synthesis" b y which themusical mind conceives tones as bound t o o n e another in much t h e same way as thephilosophical mind comprehends events as following o n e another in a particularorder.3 T h e familiar criticism o f Schenker, that h is theoretical program an d particu-larly h is analytical graphing technique ignore t h e function o f time in mus ic, falls awayi f one accepts that Schenkerian synthesis implies time-consciousness; thus truemusical perceptio n is a form o f Kantian "transcendental apperception," in which t e m -poral ordering is an indispensable ingredient.^' Both Kant a n d Schenker also shared aview o f genius as th e means "through which Nature gives rules t o art";'^ f o r Schenkert h e gift o f genius w a s innate, God-given.

T h e influence o f Arthur Schopenhauer is more elusive, and has no t been researchedsystematically. Quotations from his writings a re scarce; o n e w a s used as a prop onwhich t o hang t h e anti-imperialist sent imen ts vented b y Schenker i n the aftermath oft h e First World W a r . " T h e idea o f musical tones having a "will," an d that they areintrinsically bound t o behave in a certain way, is expressed i n the first volume ofKontrapunkt{ii)io)i'^ a n d enshrined i n th e series t i t l e T o n m l l e , which marks t h e starto f Schenker's most ambitious project in analysis. That he saw in Schopenhauer (and ,b y extension, in Kierkegaard a n d Nietzsche) a kindred spirit is suggested b y t w o q u o -tations from T h e World as Will and Representation, which are drawn together t o providea n analogy between t h e true creative artist, w h o i s able t o achieve insight with directexpression, and the scholar w h o strives f o r t ru th a n d wisdom fo r i t s own sake, unme-diated b y t h e authority conferred b y academic stature o r oth er such approval ratings.

Schenker's unshakable faith i n h i s own theories o f music led h im to denigrate th ewritings of most of his contemporaries. This led to a general view o f Schenker as aniconoclast, a theorist working entirely outside o f tradition, a point that is reinforcedby h is isolation from Viennese academic musical life. H is contemptuous references to" d i e Theorie" in a pair o f essays on sonata form a n d fugue from 1926 underscore his2 9 Pastille, "Music an d Morphology", see esp p p 34-383 0 Korsyn, "Schenker a n d Kantian Epistemology" 3 1 Ibid , p p 34-35 32 Ibid , p 73 3 TonmUe,vol i , p 1 33 4 "Thus tones cannot produce a n y desired effect jus t b ecause of the wish o f t h e individual w h o setsthem, fo r nobody has the power over tones in the sense tha t he is able t o demand from them somethingcontrary t o their nature Even tones must d o what they must d o '" vo l i , p 14 Theenergeticist context of Schenker's views is explored further m Chapter 3 0 , p p 936-393 $ r o m M & g V o l s 8 - g , p


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Heinnch Schenker 833isolation from mainstream theory teaching as exemplified, f o r instance, in the work o fHugo Riemann a n d t h e series o f handbooks published b y M a x Hesse in Berlin, whi chfeatured Riemann's writings.^^ H is surveys of the secondary literature, a regularfeature of h is analytical essays of t he 1910s a nd 1920s, a re taken u p b y extensive q u o -tation from a n d ridicule o f contem porar y scholarship a n d journalism. T h e f e w authorsw ho a re singled o u t f o r praise - a nd then only briefly - were either personal friends,such as Ot to Vrieslander a n d August Halm, o r writers with only loose links t o theoret-ical traditions: thus E. T. A. Hoffmann is lauded fo r h i s declaration o f interest inBeethoven f o r t h e sake of t he music alone, t h e Beethoven scholar Gustav Nottebohmfo r making t h e contents o f t h e sketchbooks accessible t o a wider public. Otherwise,one must go back t o eighteenth-century music theory f o r palpable connections.

Jean-Philippe Rameau 's notion tha t al l modulations arise m relation to a single tonicIS an important forerunner t o t h e concept ofTonalitat, t h e "home k e y " t o which al l thefundamental harmonies, o r Stufen, a re u l t i m a t e l y r e l a t e d o n t h e other hand, t h eextraction o f a bassefondamentale as a synthesis o f vertical organization a n d chord p r o -gression must have seemed mimical t o someone concerned above all with linear c o n -nections, in both melodic a n d bass lines. Rameau accepted t h e seventh above t h efundamental as a component o f a chord, whereas Schenker followed t h e precept o fJohann Joseph F u x that all dissonance m music must b e introduced a n d resolved prop-erly'^ A nd a s Schenker came to view h is concept o f musical structure in nationalistterms, Rameau's Frenchness became an unalterable blot on his character.))

Fux's GradusadPamassum w a s widespread in Europe, a n d w a s known t o have figuredprominently i n t h e musical training - a nd teaching - o f Schenker's heroes, includingHaydn, Mozart, Beethoven, a n d Brahms (see the extensive discussion in Chapter 1 8 ,pp. 579-84). It IS thus hardly surprising t o find h i m coming t o terms with i t i n t he tw ovolumes o f Kontrapmkt. B u t while Schenker praised t h e Gradus for i t s insights intovocal music, he w a s critical o f what h e perceived as Fux's distrust o f instrumentalmusic, with i t s creative uses o f voice-leading principles, coupled with a failure t o d i s -tinguish clearly betwee n c oun ter poi nt as a pedagogical discipline a n d composition asa creative a c t . Indeed, it is Schenker's pro foun d insights into t h e relationship betweenth e contrapuntal species a n d what happens in "real" music, from Bach t o t he e nd o fth e nineteenth century, that represent h is greatest triumph as a n analyst. H i s defenseof consecutive majo r thir ds in a Wagneriezteoftv as th e "lovely fr uit o f t h e composing-ou t o f scale degrees!" i s no t merely emblematic of h i s view o f instrumental part-writing as counterpoint , b u t simply a n d perfectly encapsulates t h e need t o reconcileth e rules governing harmony in short stretches with t h e opportunities f o r synthesisoffered b y musical linearity. (It is also a useful counter-example t o t h e widespread

3 6 T h e essays, o n th e subjects of sonata form a n d fugue, appear in vo l 11 Hesse also p u b -lished analyses by Hugo Leichtentiitt o f t h e music o f Chopm, these were ridiculed m th e tw o Chopinessays in Mgjstewri: , vol 1 37 Christensen,i?timem, p 177 , note zg38 Meistemeik,Yoi i i i , p 17 39 I b i d , p p 1 3 - 1 5


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834 W I L L I A M D R A B K I NExample 26.8 Counterpomt,vo\. i, Example 203: extract from WsLgner's Rheingold,scene 4

Vln. II1)11 ( P h r y g i a n )

belief that Schenker h a d little sympathy f o r Wagner's music.+) A s Example 26.8shows, t h e persistence of g#^ above t h e Neapolitan sixth chord shows that t h e homek e y prevails in spite of t he lower-order demands fo r a flattening o f this note t o avoidan augmented fourth (false relation) between t h e moving parts/^

Perhaps t h e most important of all of Schenker's predecessors w a s Carl PhihppEmanuel Bach, above al l for his Versuch iiber die wahre Art das Klavier z u spielen of1753-62, with its emphasis upon Imeanty in continuo playing a n d t h e need " t o holdt h e register together" i n t he realization o f a chord progression.'*^ B u t when i t came t ooffering a t r ibute t o Bach's role in musical a r t , i t w a s n o t h i s advice t o t h e accompanistbu t h i s skills as an improviser a n d composer that Schenker dwelt o n a t length, byshowing h o w Bach's suggestions f o r improvisation technique are firmly underpinn edb y such concepts as arpeggiation, voice-exchange, a n d what h e called "parallelism,"t h e consistent application o f motivic patter ns t o t h e middleground. By subjecting th efree fantasia in D printed a t t he e nd o f t he Versuch, a n d other short pieces, t o t h e sametype o f voice-leading analysis h e used elsewhere, Schenker granted Bach t h e samecanonical status h e conferred o n only a handful o f other masters.^'

Nearer t o h i s ow n time, Schenker m a y have been influenced b y t h e lively debatesparked b y t h e republication o f Eduard Hanslick's T h e Beautiful m Music i n 1885 . AlanKeller h a s suggested t hat S chenke r's early views o n t h e origin o f music were influencedb y critiques o f Hanshck b y t w o younger scholars attached t o t h e University ofVien na,Friedrich v o n Hausegger a n d Robert Hirschfeld. DieMusik alsAusdruck inparticular ha s stro ng resonances in Schenker's views o n t h e origins o f music and its sig-nificance f o r t h e study o f history, as expounded in an important early essay, " D e r Geistd e r musikalischen Technik "40 On the possible indebtedness of Schenkenan theory to the writings of Wagner, see Cook, "Hemnc hSchenker, Polemic ist"41 For further illustrations, and a fuller explanation of Schenker's contrapuntal agenda, se e Dubiel,"When You Are a Beethoven," p p 291-340 Also see the discussion in Chapter 18, pp . 592-944 2 M eisterw erk,vo\ 11,p 1184 3 Tojtmlle, vol 4 , p p 10-13, Mei^tenverk, vol i , pp . 13-30. Schenker also honored Bach in a two-volume edition of selected keyboard works44 Keller, "Ongins of Schenker's Thought," esp pp 292-94


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Hemnch Schenker

Reception and influenceSchenker seems t o have enjoyed a considerable following in h i s own lifetime ( for a longtime posterity unde restimat ed i t ) , b u t i t was nothing like t h e renown h is theories wereto bring h i m after h is death in 1935- textbooks, courses, seminars, a n d conferences o nSchenkenan theory; t h e establishment o f major research archives based round h isprivate papers ; and a seemingly endless supply o f voice-leading graphs m lournals a n dbooks, sup por ting a range o f theoret ical, analytical, a n d historical viewpoints.

Schenker's final years s a w t h e rise o f National Socialism; three years after h is death,Hitler's troops marched into Vienna a n d supervised t h e annexation o f Austria t o t h eThird Reich. Amidst t h e most difficult circumstances, t w o o f Schenker's pupils,Oswald Jonas a n d Felix Salzer, kept t h e Schenkerian flame alive through their o w nwritings;'*' t h e leading article o f a short-lived periodical they co-edited perpetua tes t h enotion o f "miss ion" Schenker h a d expressed years earlier i n t he inaugural issue ofDerTcmwille.'*^ T h e efforts o f Professor Remhard Oppel t o disseminate Schenkerian theorya t the Leipzig Conservatory, a n d o f Felix-Eberhard v o n Cube t o establish a thrivingSchenker Institute in Ham bur g, quickly ra n aground as th e Nazis closed in on jewish-based teaching. Faced with t h e imminent annihilation o f European Jewry, an d with i tEuropean Jewish thought, Jonas a n d Salzer emigrated t o America whe re anot her pupilof Schenker's, Hans Weisse, h a d established an outpost o f Schenkerian teaching a t t h eDavid Mannes School o f Music i n N e w York. Transplanted t o t h e N e w World,Schenkerian analysis began t o thrive i n t he teaching programs o f conservatories a n duniversity music depa rtme nts , a nd in t he research of a ne w generation o f theorists a n dtheir pupils.47

Much o f t h e early activity w a s concentrated around pedagogy. There h a d beenconcern among Schenker' s circle that h is writing s were t o o difficult: Jonas's first bo ok ,published while Sche nker w a s still alive, bears t h e subtitle "Intro ductio n t o t he teach-ing of Heinrich Schenker," a n d w a s intended f o r readers without prior knowledge o fhis methods.^ T h e publication o f Salzer's Structural Hearing m 1 9 5 2 represented agreater milestone, in that i t made available t o English readers literally hundreds o fvoice-leading graphs together with brief analyses covering a wide repertory; i t became

45 Jonas,Dfli W esen des musikahschen Kunstwerkes {1934), Salzer, Sinn und Wesen (1935) Around this timeAdele Katz, a pupil of Hans Weisse, wrote th e first exposition of Schenkerian analysis in English("Schenker's Method"), an d later expanded his theories in book form, CkdUsn^e to Musical Truditwn. ,46 That IS, Schenker's " D i e Scndung des deutschen Genies" of 1921 became " D i e histonsche Sendung

Heinrich Schenkeis" in 193747 For a brief history of Schenkerism in North America, see Rothstein, "Americanization , for a com -prehensive survey of t he literature on Schenkerian analysis until 1985, see David Beach s bibliographi-cal articles48 Das Wesen des musikahschen Kunstweikes eine Einfuhrmg in die Leh re H einnch Sc henkers T h e title andsubtitle were reversed when th e book w as reissued in German in 1972, and trans into English ten yearslater


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t h e principal Schenker textbook f o r t h e postwar generation. T h e long-awaited trans-lation o f Schenker 's last work i n 1 9 7 9 , unde r t h e bilingual title Free Composition (Der

freie Satz), helped standardize Schenkerian terminology in English; b u t because thisbook w a s heralded as marking a breakthrough in North American Schenker pedagogy,I ts polemic passages were relegated t o an appendix , an d a number o f establishedSchenkerians were enlisted t o help clarify t h e mor e difficult parts o f t h e theory an d tosuggest routes into t h e text.+s T h e util i ty o f Free Composition w a s , however, overesti-mated , a n d t h e past t w o quarte r-cent uries have witnesse d a rapid, unabated growth int h e n u m b e r o f explanatory textbook s o n Schenkerian analysis. '"

N o t surprisingly, t h e a t t empt t o render Schenker's work accessible h a s also led ton e w developments in his theories. Although Schenker himself stressed that h is workw a s artistic, n o t scientific, succeeding generations o f theorists felt t h e need fo r i t to bemore internally consistent . O n e sees n o t only a more scientific approach, as early asForte's seminal essay o f 1 9 5 9 , b u t also numerous attempts t o come t o terms with ambi-guities a n d inconsistencies i n t h e theory. Both t h e sancti ty o f t h e two-voice Ursatz an dt h e primacy o f t h e descending 3 - 2 - 1 Urlinie have been challenged,5' a n d theor is ts n o wgenerally accept t h e possibil i ty tha t a piece m a y admit more than o n e valid Schenkerianreading/^

Forte's essay identified t h e s tudy o f rhy thm m relation t o voice-leading analysis as amaj or area in need o f investigation. Some fruit ful wo rk in this area w a s under taken b yArthur Komar a n d Ma ur y Yeston,>3 b u t i t w a s with Carl Schachter's three-part studyo f rhy thm a n d linear analysis that Schenkerian voice-leading graphs were first h ar -nessed systematically with rhythmic analyses. Subsequent developments in this fieldhave been made b y Fred Lerdahl a n d R a y Jackendoff in their investigations into group-i n g a n d meter , an d in William Rothstein's study o f phrase rhyth m.

T h e number o f voice-leading analyses o f ins t rumental work s is legion, b u t t ha t o f t h eoperatic, choral, a n d solo song repertory h a s been much more restricted. Schenker49 In addition to the translator's preface, there is a translation of Jonas's preface to the second Germanedition, an "introduction" to the English edition by Alien Forte, a range o f clanficatory footnotes byJohn Rothgeb supplementing those by Jonas and Oster, and a glossary of technical terms Se e alsoSchachter, "Commentary on Free Composition."50 These include W estergurd, I ntroduction to Tonal Theory, Neumeyer and Tepping, Guide to SchenkenanAnalysis, Cadwallader an d G}Lgvit,Analysis of Tonal Music T h e most widely used textbook has been Forteand Gilbert, Introduction to Schenkenan Analysis, thanks largely to its scope, organization, and systematicset of student exercises, toge ther with a companion Instructor's M anualv/h ich provides solutions t o manyof the exercises.

T h e 1980s also saw the proliferation of textbooks on analytical method in which th e explication ofSchenker's theories figures prominen tly Cook, Guide to M usical Analysis, B ent, Analysis-, Dunsby andWhittall, M usic Analysis For more on Schenker's influence on the pedagogy of music theory in NorthAmerica, se e Chapter 1, p. 7251 Neumeyer, " T h e Ascending Urlmie"; " T h e Three-Part Ursatz"; " T h e Urlime from 8", Beach, "TheFundamental Line from Scale Degree 8 " , Chew, " T h e Spice of Music "52 Federhofer, Akkord und Stimmfuhrun^, Chapter 4 , Drabkin e t a l , Uanahsi schenkeriana, pp 91-93;Schachter, "Either/Or", Drabkin, "Consonant Passing Note "$3 Komar, rkoT)' Yeston,54 Lerdahl and Jackendoff, ^ Generative Theory of Tonal M usic, K othstein, P hrase Rh ythm in Tonal Music.See also Chapter 3, pp. 99-102; and Chapter 22, pp. 703-10.


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Heinrich Schenker 837himself publishe d f e w analyses o f works in these genres, though a brief com men t o nSchubert'Sv^M Afgar ogers one o f the clearest examples of the relationship o f words tomusic from a Schenkerian viewpoint." Some o f Schenker's closest followers havemade major contributions t o t he bearing o f a sung text o n t h e analysis o f music,though in much o f t h e best work m t h e field, t h e Schenkenan approach is one of anumber o f coordinated methods.57

Just as an adequate theory o f t h e relationship betwee n voice-leading a n d rhythm h a dto await t h e reception o f Schenkerian theory b y a younger generation o f scholars, sothe matters concerning musical form have been integrated into voice-leading theoryonly recently I f Schenker's ideas o n fo rm were, characteristically, full o f insight, h isgraphic representations were inconsistent even - as Charles Smith persuasivelyshowed - with in a n ostensibly unified presentation such a s t h e music examples f o r Der

freie SatzJ^ In particular, Schenker h a d failed to clarify t h e relative status of t he tw oparts of an interrupted structure, a n d w a s inconsistent in his mapping of t he conven-tionally termed parts o f a form ("second group," "recapitulation" e tc . ) onto graphicrepresentations o f t h e middleground.

Another project that Schenker barely touched on in his writings w a s t h e overallcoherence o f a multi-movement work, or a set of variations, i .e . , pieces in which a sep-arate Ursatz could b e said t o govern individual components. Recent writers haveattempted t o make sense o f variation sets as "single pieces" in a Schenkerian sense/?and some have gone so far as to show h o w a n entire sonata might b e embraced b y asingle Ursatz, or h o w a s e t o f bagatelles or character pieces form a coher ent sequence interms o f the ir voice-leading.''"

T h e field o f contrapuntal music h as proved more resistant t o voice-leading analysis(Schenker's o w n studies o f fugues b y Bach a n d Brahms notwithstandi ng), a nd ha s onlyrecently begun t o receive t h e attention that i t deserves." Schenker provided substan-tial analyses nei the r o f string quartets nor o f solo concertos; given t h e preeminence o fthese genres i n t h e oeuvre o f Schenker's composers of "genius," it is surprising thatlittle Schenk erian research h a s been undertaken in these repertories.

Schenker's deeply held belief that music was m decline w a s mainly expressed ingeneral attacks o n contemporary society. T h e shorter of his analytical counter-exam-ples, a voice-leading analysis of an extract from Stravinsky's Piano Concerto, provedsomething o f a model f o r later writers, including Adele Katz a n d Felix Salzer, wh os einfluential Structural Hearing includes voice-leading analyses o f works b y Bartok,Hindemith, Prokofiev, Ravel a n d Stravinsky. T h e linearity of much late mneteenth-and twentieth-century composition m a y have been a significant factor. O n t h e other55 Meisterwerk,vol i , p p 1 9 9 z o o56 Jonas, Das Wesen des musikalischen Kiin^tmerks contains an important analysis of Schubert s DrLindenbaum See also Schachter, "Moti ve and Text" 57 See m particular Webster, Mozart s Anas58 Smith, "Musical Form and Fundamental Structure "59 Salzer, "Mo zar t's Divertime nto, K 5 6 3 " , Marston, "Analysing Variations60 Dunsby, "Multipie ce", Mars ton, "Trifles or ^Beethoven s Sonata in E, Op 10^, p 25361 Renwick, Analyzing Fugue, "Hidden Fugal Paths "


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hand, changes t o t h e concepts o f consonance a n d dissonance around 1 9 0 0 make th eprinciple o f tonal hierarchy fa r more difficult t o apply systematically t o this repertory.Thus linear connections are made more o n t h e basis o f temporal proximity, with dura-tion a ke y factor in determining t h e starting points a n d goals o f progressions. A ndbackgr ound structur es take o n n e w "dissonant" figurations, e.g. , a #4-3-2-1 Urlmie fo rt h e first movement o f Bartok's Fourth Quartet.

T h e linear analysis oP 'p re -B aro qu e" music has a longer a n d fuller history, beginningdur ing Schenker's life with t h e study o f medieval a n d Renaissance polyphon y by hispupil Felix Salzer.^3 T h e changes t o Schenkenan doctrine necessitated b y t h e surfacedesigns o f early repertories a re no less extensive than those f o r contemporary music.F o r early medieval polyphony t h e concepts o f consonance, dissonance a n d part-writing result in much graphic analysis underpinned b y chains o f consecutive fifths o roctaves, som eth ing which Schenker wou ld have fou nd mimical. Yet i t ha s been claimedf o r t h e late secular songs o f Guillaume d e Machaut that "cadences [act] as the focus ofdirected progressions extended over considerable stretches o f music."^+

With consonance an d dissonance treatment broadly codified in the Renaissance, th eanalysis of much sixteenth-century music is on surer ground, a n d examples o f sensitiveSchenkerian readings have appeared with some frequency.''5 There remains, however,t h e problem o f large-scale unity in works that a re conceived m accordance with th esyntax o f a sacred text. A s Donald Tovey put i t in a trenchant discussion o f HighRenaissance polyphonic texture, "Sixteenth-century music is aesthetically equivalentt o t h e decorating o f a space, b u t n o t t o structure on an architectural scale," an d i t is con-sequently a mistake to "expect a high note i n on e place t o produce a corresponding o n elong after Palestrina h as effected all that h e meant by i t and directed h is mind else-where."''''

Schenker's admiration o f t h e music o f Johann Strauss a nd h i s efforts t o promote itb y providing voice-leading graphs of h is more famous waltzes m Derfreie Satz suggeststhat , h is outright dismissal o f jazz a n d other forms o f popular music notwithstand-mg,^7 he sa w th e difference between good and bad as greater than that between seriousa n d popular. T h e application o f Schenkerian theory t o jazz, American popular song,a n d non-Western music h a s flourished m recent years; i t remains t o be seen h o w post-modernist arguments against t h e contemplation o f music outside i ts cultural contextaffect Schenkerian a n d other theoretically based approaches to all repertories o f musicm t h e twenty-first century.''^62 Travis, "Bartok's Fourth Quartet" 63 Salzer, Sinn und Wesen64 Leech-Wilkinson, "Ma cha ut' sto e,/ !5," p 2365 See, for example Bergquist, "Mode and Polyphony" , Novack, "Fusion of Design and Tonal Order",Mitchell, "Lasso's Prophet iae Sibyllarum " 66 Tovey M usical! extures,pp 3 0 - 3 167 M eisterw erk,vo] I I , p 107,vol i n , p 1 1 968 The first Schenkenan study of a non-Western repertory w as Loeb, "Japanese Koto Music " Forapproaches t o popular music, see for example Gilbert, Th e M usic of G ershw in, Forte, American PopularBallad, Everett, " T h e Beatles as Composers " The issues concerning Schenkenan analysis of jazz solosare aired in Larson, "Schenkerian Analysis of Modern Jazz "


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