Professional Documents
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of t .he .renirn of tl1e total patteri1.
These obser,racions ca11 be state,d in more ge11eral f orrn: tl1e greater the
am.ount of ctW1ge- in both rate tind degree-i11 one parat11eter, rt1,e sn1aller
n1ust be the ch.anges in othe.r parameters if pattern.U1g is to be perceived. If
all 1)arameters are varied sin1ulta11eously and indeper1dently of ori.e anotl1er,
cl1e result is not necessarily a more complex and interesting bt1t of ten
none at all-a confused t1odgepodge of sounds. Ti1e amOltnt of silnultaneous
variation possible also depends t1porl the nan1re of the patcerr1s themselves;
tl1e more pacer1tly stn1ctured and arcl1etypal 011e aspect of a, f)1ltten1 (for in-
stance, its melodic sl1ape) , the ot.l1er para111eters (e.g.. rl1ytl11n, har-
1nonyt etc. ) c:t1n be varied \Vitl1ou.t destroying che Of cot1for-
mance.
Because rl1e ar11ot1nt of i:t1foro1acion '\>vhicl1 tl\e llu111an. rr1it1d can com-
prehend at one time is li111itecl, ri1e n1ore information <)ne para1ueter c'lrries
Material corn dirc1tos autorais
CONFORMAN"f ltELA'flONSHIPS
SS
th.e 1nore redundant others be if musical relationships are t<> l)e per-
ceived. Tllis proposition evidently a1)plies to n1usical styles as "vell as ro
indi\ridual Compositions. For instance, a highly cornplex ar1d su.btle 1nelodic-
rhythmic style, like that of the music of soutl1 I11dia, generally nu11i1nizes
(or does witl1011t) co111plex luir1nonic processes st1cl1 as ha,re characterized
Western music since the Re11aissance. Even more modest style differences
may be distinguishecl, in _part, it1 tern1s of which pa.ra1ncters tet1d to be varied
m-0st. Compare,. for instai:1ce, the begi11nmg of two funeral marcl1es
(Example 3 r ) . In the first, fron1 Beetho,ren's Third Syn1pho11y, l1igh degree
of melodic-rhythmic variety is coupled :l1ar1non.ic .restra.int -01tly one
change of ham1ony in fol1r T;he second phrase, from Schun1am1's
Piano Quintet in Eb, '\Vor1{s tl1e other '\\
1
a.y arour1d: 111ininl..'l.l n1elodic-rl1yth-
mic is accompanied by considerable harmonic change._seven changes
ii1 four 1neasurcs ..
I - . - - - ii!!!! ... - .. - - .. 911!: -
R-can1 pl e 3 1
This discussion suggests one reaso11 then1acic ttansforination
came an impt)rta.nt concern o.f nineteenth-century c<>mposers: Liszt, Schu ..
nla11n, Brahms, Franck, and Strauss- to nam.e but a .few. l\t1otivic
co11st'ancy "'as r1eces.sary if t!-1e expressive possibilities of instn1me11cal timbre,
register, and foreground harmonic color 'vere to tJ-e realized. On higher
levels, an increase in the scope and 1apidity of l1annonic change could be
Material corn direitos autorais
EXPL.c\IN1NG MUSIC
effective only if n1elodic cl1a11ge empl1asized co11ti11uity ratl1er tl11tn contrast.
Bur this is only part of tl'1e
As so often in hist:ot')r, a particular rrer1cl or pr.oclivity is tl1e resttlt of
a conc:atenacion of causes. Another ret1Sot1 for the prevalence of tl1ematic
transformation \Vas that the ideal of persona.!, disrincrive self-expression
(coupled with a tend.e11c31 to \Vrite 1011ger rnoverr1ents) led to the invencio.n
an.cl tise of individ.ualized and cl1aracteristic tl1emes and motives. Because the
singularit}" of sucl1 materials would have been ioco11grt1ous \\rltl1 co11vel1-
tion.al, transitional a11d pass-age-\vork figures st1cl1 as scales a11d brol<en. chords
( lvhicl1 the eighreentl1 century with its less exotic themes could et11plo;r),
the themes themselves tra11Sfor1ned so tl1at they bec11n1e part of bridge
passages, subsidiary tl1emes, and the like.
These i11t1sicaJ tendencies were nllftured by the intellectual climat e of
the period.
6
A cornple.x amalgan1 of interrelated, but sometimes incom1)atible,
ideas flotirished in nineteenth-century culture. A r1u1J1ber of tl1ese becarne
associated, f or111ally a11d i1if orn1ally, witl1 aesthetic notions: historical neces-
sity was associated 'virh tl1e idea of inevitability (internal i1ecessit)r) as a
criterion for art; W(lle.ctical '\iVith the concept of sonata f orn1 as
then1acic conflict and ultimate synthesis; biological germination at1d evolu-
tion, with t11e desirability of motivic transforrnation a11d co11t:ll1uous ml:lSical
developme11t. The follo\ving quota:tions frorn Liszt's '(Berlioz and His
tHarold' Syr11pl1011;T'> suggest 110\V pervasi\re these ideas vvere.
7
Art, like natttre, is made tlp of grad2H1l trttnsitions, "'' hicf1 li11k to.getl1er
the remotest classe:s and tl1e mosr dissi111ilar species. (852, iralics 11une)
111 i1an1re, Lr\ the huma11 soul, a11d it1 art, t he extren1es, opposites, and.
high points a.re b-0un.ci (>ne to a11otl1er b)r a conti11uous series of various
varieties of beiT1g. ( 5z )
Arr., lil{e nature, '\Veds related. or cot1rradicto11r .fo.rrns. (852)
[A.rt] is impelled r:o'\vard an unpredicted and u11predictable fintd goal
i11 pe7pett-tnl t:ransfor?1-u1ti<>1zs. ( 854, ira.lics rru11e)
6 The fact, rioted by Gerald Abraham, tfle.t nit1et:eentl\ Cet1tt1r y corr1posers. tinlilre
eigl1tee11tl1-century ones, '\ve.re literary n1en n11d ofren belonged co rl1e
is of signal importance for rhe hisrory of recent ' iVestern nrosic. See A Hif.11dred :I" ears
of JW:usic (CE:Ucago: A1dine Pttblisfring, 1964), p. 2of.
1 TJ1e e..'l:ce.1,1)ts a.re taken from Olive:r Strunk, So'l1:ree Readings it1 1\t!11sic History
(Ne'IV York: V\
1
'1\!. Norton, r950) ; page nttrnber-s are given in parentl1eses after each
quotatlon.
Material corn d1re1tos autorais
OONFORMANT
The poetic solutio11 Of i11strumental music contained in tbe progran1
seems co us ra.ther o.11e of the various steps for,,rard \vhich the art bas
still to take, a necessary result of the developnzem of our ti?ne. (859;
italics mine)
57
The particular point or argument in\.
1
ol''ed in these statements is n-ot impor-
tant. vVhat is crucial is that tl1e ge11eral conceptual frarne'\v.ork must at the.
very least have influenced Liszt's u11conscions attin1de toward his art. An.d
it is difficult, in vie\v of th:eir pre\ralence, ro doubt that tl1ese ideas affected
other composers also ..
During tl1e nineteenth century, formal conf,rn1ant
ways vitaJ in the artict11a.tion of n1t1sical :form-beca1ne increasingly impor.-
m11t in the minds of com.posers. Here Beethoven
1
s infiu.ence \Vas strongly
felt-particularly the exan1ple of tl1e Ninth Sympl1ony. Formal confor-
rr1a11ce was extended in order to relate n1ovementS to one another. Be.rlic>Z.'s
invention of the dee fixe, the cyclic pti.nciple employed by Francl<, D'Indy,
Fatu:e, and other French composers, and the use of tl1emari.c reminiscen.ce
in the inusic of Scl1uniann
1
Brahms, and Brt1clcner are all instances of this
tendency. Wagner's case .is some"'' hat 'his use of processi\
1
e con-
formance is obvious, but tl1e ''ren1r11' ' of leitmotifs throngl1out the Rffl.g,
tho11gh a.rcicularing strncrure to sorne extent, is also used to refer to ideas or
characters in the narrative Of the operas.
The preoccupatio11 conformant rela.tionships- form.al as " ' ell as
processive-contint1ed into the nve:ntieth cen,tury. It is clear in the '\-Vork
of tonal and nontonal composers alike. Bartolcs Sixth String Quartet may
serve as an example. But the ultimate and ''logical'' consequence of tl1e con-
cern wir.h con.formance is f ot111d in the twelve-tone method of composition,
wh.ere the total pitcl1 structure is derived fro111 a si.t1gle twelve-tone .row.
Initially, in the music of Schon.berg and Berg, the row e,rave rise to botl1
and formal conformant relationships. But subsequently, in the
music of Webern and his follo,vers, processive conforn1ance became less
and less in1p-0rtant: empl-iasis was placed upon inte.rvallic reCl1rrence rather
tl1:a11 1notivic resernl'>lar1ce. Formal conformance the nonproce.ssive order-
ing of rows, subsets of an.d their presentacio11 in variot1s permutations
and combinations-has become the chief con.cern o.f recent serialism. That
this mode of musical understat1din.g is essentiall)' formal, rather than proces*
si''e, is ii1dic-ated 'by the analyses made by serial co1np<>sers of one anotl1ers'
music. It tends to be in tern1s of row not in terms of function,
implication, and sy11tactic strucmre that these \Vorks are discussed.
Material corn direitos autorais
EXPLA!NlNG l\itfSIC
A nun1ber of reasons for the increased use l) f f<>rrnal conformance be-
nve.en 111ovements. suggest ther11sel\res. Fro .. m a n:rusical-perceptual poir1t of
view, as multimovement works (particularly sy111phonies) gre'\v in size and
cornplexity; it became both increasingly importar1t a11d increasingly" diffi-
cult to reme111ber tl1e basic tl1en1atic ideas. Tl"Le return of a pattern, bet\
1
.reen
moven1ents as well as vvithi n them, both reduces the n11n1ber o.f different
ideas to be ren1embered ar1d rei11forces tl1e rnemor),. of those pre-
sented.
In the area of cul.rural histor}r the conceptual n<>tions mencioned above
we.re influential: the prevale11ce of ideas of in11er di,'llecticai con-
flict, and resolution, and t l1e germi11acio11 of a, large worlc from a single
rnorivic celJ irl c,t lcind Of miniatttre evoltition. St1cl1 gern1ination, it \Vas
thought, would not onl)
7
create audible btl't '''Ol1ld a11 but guar-
ar1ree musical t1nity. This ,,,a.s an importa11t conce.rn because tl1e diversity
of then1es in a mt1lti-moven1ent worl{ seemed so:nrieho'v ai.:bitrary (as Of)pose(i
to necessary) arid u11ordered (as opposed to lawful). As intellectuals un-
prepared p,assi,rely to accept tradition, these composers found it difficult ro
'(explai11'' \.Vha.t see111ed to tJ1em a lack of cot1erence ttnd elegance. The \7iev\r-
poinr of many of composers is n1ade clear it1 the follo,ving statenJents
of \Vebern, '\.Vho was ideologicall)r, if nor co111posicionally, a ninetee11th-
century thinker.
8
These lectures are it\tendecl to shovv the path that has led to this music,
and ro n1ak.e jr clear tf:1at it liaa to h(f!Ue this 11nt:t/.ral or.1-t ca17'le. (3J, italics
nline)
:Ntuch later I discovered d1at all this \ Vas a pnrt of the necessary dervelop-
tnent. ( 51., itaHcs mine)
AU tl1ese fugues are based on one single th.eme, "vhicl1 is consta1ztly tra1'J.S-
f omted (34. italics mit1e)
T o develop everything else f1on1 one prir1ciple idea! That's the stror1gest
tinit)' . . . ( 3 5)
Co1nposers cried to create unity .in the acco1npac1.i1nec\t, t,o \i;1orl! rl1etnar-
icall)r, to derive everythir1g from or1e chi11g, and so to produce the
tigl1test- 11iax.iu111-t111ity. Ar1d no"v ever ytlung is clerived f ron1 this
chosen .successior1, of t\velve and. thematic tech11ic.1\.1e "vorks as
before, on tJliS basis. Bt1c- the great advaru;:age is tf1at I car1 t reat the-
a Anto.r1 \:\'eb.er.o, T IJe Pa:tiJ to tiJe Ne'll.1 .Nl tuic (Bnrt1 Ma'''r, Pa. : Theodore
'
Pl:iesse.r, 1963 }; page r1ur.nbers a.re give11 ii:1 parenthese.i; nfrer each <:Jtlot.ition.
Material corn d1roitos autorais
C'ONFOIUYIANT RELATIONSHIPS
matic teclu1ique n1uc}1 more freely. For it11it:l is co'.f11pletel.y <!1-ZSU'fed .by
the miderJy.i1tg series. (40, italics mi11e)
2.
59
Recogn.izi11g the presence of confonnant relationslups in music, the-
o.rists becat11e intereste.d i11 the te,clmique and significance of thematic trans-
forniacior1. Notable among tl1ese \vas Rudolph Reci, \vhose book. T/Je
T/:>e'l11atic Process in seeks to demo11stra:te that in rhe worl{s of t11e
''masters
1
'' all thematic ideas are deri\red from a si11gle gernlinal motive and,
fu.rther, cliat the succession of transf orn1acions is a process '\vlucl1 imparts
mea11i11g and unit)r to Vl1l()le co111p-0sitions as "veil as to single n1ovementS.
I shall discuss one of Reti's anal}
1
ses not only in order to i11dicate son1e of
the pr,oblems .and pitfalls faciJ.1g this sore of er1tcrprise, but because this 'vill
lead to a consideration of a nt1n1ber of ftrndamental iss1.1es-n1ethoclological
1
theoretical, and pi1ilosophical.
There is, I think,, no qu.escion that the 01)et1mg pluase of Brahms'.s Sec-
ond Symphony (Exan1ple 32, r11easures 1- 5) presents n1otives which
co11cint1ally varied and ttansformed througl1out tl1e movet11ent-and are
even used i11 other rnoven1ents of the 'vork. This is specially true of the
neigllbor-note (D-CJ-D) figure of the first meast1re '\\
1
hich I shall call tlie
,,. .
. !
....
.L
. -
Example J.2
9 (r ew York: Macmillan, 1951 ) .
Material corn d1roitos autorais
60 EXPLAlNING MUSIC
' ' n1otto.
11
Anil 11ndoubtedly tl1e cornposer consciously v.rrought t l1e relation-
ships. Reci, hO\\rever, '\vants to do more contend that Brahn1s used con-
formant relationships to create co,J1erence; ir is l1is conviction that every
important theme in the first ffi()Ve111ent is derived f1on1 the openi11g n1easures.
Reti begins by atternpring t o perSl1ade tls tl1at tl1e second tune of tl1e
first ke)r area (Example 32, measu.res 44f.) fu11criotlS as a litlk or comn1on
ter111 uniting rhe opening phrases and the 1 }rrical melod)' \Vhich begir1s the
second group (Exan1ple J.6) . That rl1e opening n1easures lead to the second
tune cannot be disputed. This is a11 t1nequivocal instance of processive con-
fon11a11ce. \Ve. /,ear the of the n.eighbor-11ote figure and .e<>11-
nect its varied staten1ent in n1easures 42- 43 1'vith the ne'v th.e1l1e (m. 44.)
b.ecause of ten1poral proxi1nity and pitcl1 ic.iencity.
Howevet, doubts 'begin to arise Vll1en Reti asl{s us to agree tl1at rnea-
sures 50 and s r of the nevv n1ne (Example 3 3B, 1T1oti\1e c') are derive.cl fron1
the end of the first phrase of the openi11g the1ne 3 3 A, n1otive c).
Leaving aside the fact that the first (c) phr.ase does 11o t end 011 D as Reti's
an.alysis suggests, but continues to an A (see Exani.ple 31, 111easure 5 or its
transposed equivalent in Exan1p1e 33C), the rhythmic-melodic ft1nctions of
tr1e tones are significantly different in each phiase.
\z -1
Ell
&
,
Exa1tlple 3 3 (after Reti1 p. So)
In the opening phrase tl1e first D (r11easure 3) is a weak beat, while tl1e sec-
ond (in 1neaStire 5) is accented; u1 tl1e second tune juSt the opposite is r.he
case .. A.nd the rh}rtl1mic position of the E is sitnilarl)r altered. l\1.orcover, in
the opening phr-ase the Fjt: (meaSl1re 4} is a changing-note to the first
rn.easure by inversion) "vitt1our tnarked mel<:>dJc direction,; but in the second
tune it is strongly directedt botl1 because ir is prece(le<l by a gap and beca\-ise
, . .
1r 1s an appoggiat:ura.
The second nine of t:l1e first l<e;r arC<a, gradually varied so that its rela-
Material corn dirc1tos autorais
CONFORMANT RELATIONSBIPS 61
cionship to the opening n1otto becomes eve:o more apparent (Example 3 4 ~
forms the basis for t}le transitio11 to tl1e lyric 111elody \vhich begins the second
lcejr area .. Again the processive COt1form.ant relationship is at1dibly clear.
t "'
\
,
nn
I
I\
' : I '
Exa.mple 34
But it does not f ollovv f ro1n th.e processi\re cl1aracte.r of the transition th.at
this lyrical melody (the second rl1en1e) is related to an;rtl1i11g wlucl1 has gorie
before.
Reti p.resencs an e.'l:ample wlucl1 ostensibly shows the relationship he-
rnree11 the second theme an.d the second tune of the first gi:oup (Exam pie 3 5):
8.
Exarnple 3 5 (after Reti, p. 8-0}
and he comn1ents; {'This mt1st strilce t1s most forcibly . . . The composer
states his firs.t theme, '\\rruc11 is followed by an intermediary theme that re-
iterates the substance of the first. But t l1is interr11ediary tl1err1e is in tum, and
at the same time, a foreteller of the seco11d rlteme . .. If we single qut certain
1zotes
1
tl1Je first tbeTne co1rzes to tJ;e fore; if we single out others, the second
the7ne appears.''
10
10 Ibid., pp. 80-81.
Material corn d1re1tos autorais
61 EXPl.AINrNG MUSIC
Rather tl1an striking r11e ' '111osr f orcibl)' ," it strikes 11:1.e .as being sorne-
what fo.rced. To begin wirl1, Reri (lid not pick the melod)' of t he second
theme which is played. by the celli (Exarr1p1e 36), but ratl1er the parallel
line pla;red by cl1e violas .a tl1ird belo':\' the cell i. Tl1e reaso11 for this is, I
suspect, rl1at llad he used the melody irself, no '11alf-sce11 rnocion
could ha\re been extracted, \Vith tl1e result rc1at tl1e si'n1ilarit)r bet,;veen the
begitu1:it1g of tl1e second tune arid that of the seconci tl1en1e \Ould l1a,re
seemed eve11 111ore te11l1oi1s. Bt1t even as it stands, ti1e st1ggestion of similarity
is t111cor1vit1cing 'becatise t11e tonal-melodic f:i.111crions of the co111pared pitches
is so differe11t. Fo1 insrancei tl1e of tl1e seco11d tu11e (35B) is tl1e fiftl1 of a
triad, "'' t1ile chat of the se.cor1d therne is tl1e rhird- anci in this respect Reti
wot11d have been better off with tl1e cello \rersion of tt'le cl1en1e, for it begins
on tl1e fiftl1. The 'vhich perforrr1s an in1porta11t rnelodic fu11ction ii1 tl1e
second tune of the :first group (leadi11g the 111elodic lit1e dovvr1 tl1rot1gh Fl to
E a.11d D) is an t1ni1nportant passing tone in the versio11 of tl1e second theme
presented by Reti. Fir1aily, as }1 did \:\1itl1 rl1e er1d of the n1otive (see
Exatnple 3 3), Reti sin11)ly leaves ot1t i;;vharev.er seems incompatible v;rith his
argurnent-for exan1ple, thot1gh. the last r\ of tl1e second t11ne (35B) is a
sta'ble structural to11e, the A at the e11<i of l1is \
1
ersion of the second th.eme
is not: ir is an unStable appoggiatura Uihich n1<>'les co G,# and tlletl to G and
F#.11
My resenations about Reti's analyses a1e both methodological and
theoretical. ivlethodologically, if one can picl< and choose-selectir1g those
' 'oices or pitcl1es wllich St1pport one's i1ypothesis, a11d disregru-di11g those
\vhich do 11ot (the srnall 11otes i11 lleci
1
s )-then almost ar1y rnelodyl'
cru:1 be related to any ot her i.;\
1
h.et l1er \Vithir1 or 'bec\vee11 worl{S. In Tovey's
\vords: tof a.11 the pastimes of n1usical a11al)rsis, tl1e easiest is tl1e ide11rify1ng
it Tr1ere is, ho\.\
7
ever, at1 e.xplicit cor111eccion bet\voo11 th.e transition secrion and
the beg.i1mic1g of the second l<ey area, not on.e of rnain n1elodic idea.st btlt of accom-
pat1u11enc figures. The chordal pattern in tl1e fi1"St and second. violi11s \vhich begir1s i11
1neasure 67 is the sa111e as t hac \1rluch accompanies the the111e in iTieasures 82 ac1d 83
( Example 14.).
Material corn d1re1tos autorais
OONFORMANT RELATIONSHIPS
of melodic :figures. An t1ncontrolled in'"1ag.ination- that is to say, an uniinagi-
ve 111ind <Can pursLte this to resttlts as fantastic as any Baoonian cipher,
and composers themselves may be misled l)y it."
12
The qt1estion, as Tovey s11ggests, is one of control . . of methodological
rigor. Wl1en the ev e11ts being relaced are corr1pared as t/';ey are 1zotated-with-
out abstracting <i11y pitclies-the question of 111etl1odological co11Sistency
does not as a rule arise. The degree of sirrularity
Sketches can tlu:O\V light u.pon the con1positional process 01ily if they are in-
terpreted in the light of theor y about the 11an1.re of mt1sica) relario1lships. For example,
to expLUn. why Beethoven re1noved sforzm1di fron1 the version of the OJ)e11i11g
rr1ovemet1t of r:he F-l\tlajo,r Strir1g Quartety OJ>llS tS No. 1 ,. 011e must lurve son1e
hypothesis about the f1.1ncrion of tfor2;(11zdi in getlera:L Ocl1erwise all one ca11 say is
tl1at Beethoven clidn't like their efiect- ,vluch et1..'.Plains r1otl1ir1g. Ia1 tl1e 1lbset1ce of a
background of t heoryr ( ho.\\rever inforn1a1), only description, 11ot analytic
is po sible.
011e 1nigl1t turn tl1is whole n1atter around and suggest rhat con1parir1g s1{etclles
\Vitli tl1e finisl1ed composition \1/oUld give us fairly data against wllich to t est our
theories. Fo.r if theo.ries can explai11 v.rhy a composer t11ade 'tl\e changes lie did- or in
an ideal case, evet1 predict from a sl.cetcl1 or autograph \Vhat changes likely.
and cl1eck these a.gainst the printed score----t.he:i1 our tl1e,ories '\\10\lld }1ave received a.
kind of objective confirrnation.
Material corn dirc1tos autorais
CONFORl\IIANT RELA'fIONSHIPS
be illuminatit1g ps}"chologically and biograpliicall)t, but it is not the same as,
and cannot be substituted for, serious analytic critic.ism.a
5
35
This does nor contradict the observatio11 i11 iWusic, tbe Arts and Ideas tlrat we
"11nderstand an e\rent o.r a,n objecrt partly at least, b)' u.nderstanding how it c:ame ro
be wl1at it is . . . :r, p ~ 6 3; also see p. 89). Aesthetic underst:ancfu1g of the genesis a11d
gro,vth of a musical partern is contextual; it depends upon a con1prehet1s.ion of the
precedi11g patterning as it functions \vitlun th,e \ VO.rk aod ,..,ichln its style an(i tradition.
The ps.}rcho1ogical understanding of the act of cor11posicion depends upon. (>Uf c o r n ~
prehension of rhe life of the composer
1
a1id ,,,ill eertau1ly be enhanced by the sn1dy
of sketcl1es a1id the lilce.
Material corn dirc1tos autorais
CHAPTER IV
-----------.........,..... --...,- , --- --
Hierarchic Structures
Hiertfr,c,bic St1itctures
This cl1apter ''rill be. co11cert1ed \;i;
1
it'h hierarchic sr_rucn1res-the ha.sis
:for their existence at1d tl1e l(u1d of orga.nizatio11 J>Ossible in ton,al m11sic.
considerations will, ir1 tur11,, lead to a disti11ctio11 het\\reen form a,nd
process in n1usic, and to a discttssion of rl1eir interaction.
Hierarchic structures are of signal irnportance because t l1ey er1able tl1e
composer to u1 vent and cl1e listener to c<>111preher1d complex interreaccive
mi1sical relatio11ships. If 1ntlSicaI stim.uli (pitches, durations, timbres, etc.)
did 11ot fon11 brief, but partially con1pleted e\rents (1noti\1es., pt1rases, etc.),
and. if these did 11ot in turr1 combine \vlth one a11orh.er to forn1 more exte11ded,
l1igl1er-order patterns, all relationsl1ips would he local arid tile
note-ro-nore foreg.round. orihierarchic 111usic-tluit of John Cage, for in-
sta:11ce-111-0ves, lil<e the ocean, in ur1dulati11g or sporadic of activity
in -ivhich vve attend to, but can scarcely remember, rhe parrict1lar e\r.ents. As
Herbert A. Simon has pointed out:
1
(' If th.ere .are itnportant systems in tb.e
'''orld tl1at are complex \Vithou.t be.ing l1ierarchic, they rnay to a considerable
ex:tent escape our observation and underb"tandi11g. A11alysis o.f tl1eir behavior
\.vould in\
7
olve such detailed l<nowleclge a11d calculation of the interactions
of rheir elen1entary parts tllat it "''ould be l)eyond our capacities of memory
or con1p:t1tatio11.t
1
And this is specially in1portant in the understar1ding of
nlusic, \vluch, becat1se it is abstract and successive i11 time, plac,es extraor-
dinar1r dert1ands upon mer11ory.
1
0
The Architccrtrre of Con1plexicy.'
1
Proceedf ngs of the A111ericmz P!Jilosopt1icaJ
Society, CVI, 6 ( 1 1 ).1 4'77.
Material corn direitos autorais
HIERARCHIC STRUCTURES
1 i
To illusttat,e how hierarchic structuring worlcs, I have chosen a theme
which is botJ1 exceptionally clear and very compact. It is tlte first section
of the secon.d movement of Beethoven's String Quarter in Bb J\ilajor,
Opus 130. TI1e music is gi1len in Exanlple 47.
Hierarchic Structures suc.h. as this c.1n arise only if the series of stimuli
are articulated itito 1nore or less discrete eve11cs 011 tl1e var:ious le:vels of the
hierarchy. In this case, the Uf)per ( i - 4) anal}'tic braces show rhythmic gr:onp-
ings, and the lo\ver ones indicate forn1al relationships. These groupings
are rl1e .result not only of durational relationslups bu.t of 111elodic, harmonic,
tonal, and dynamic ones. as "''ell. The first measu1e, 01 insrance, is an event
-a more or less discrete pattern on "'rhat .is tnarked as a ( t ) . Tl1e measure
is a single gesture. Tlus fi1st event combines witl1 those u1 measures 2, 3 &11d
4 to forrn a lugher-le\rel entity: cl1e a11tecedent p.hrase of le\rel b(z). The con-
seque11t phrase is similar to tl1e a:t1tecedent and botl1 cotnbine to form the
mo.re complete phrase of le,rel c ( 3). Though it is constructed in a somewhat
different way, the second half of the theme (measures 9-16) is also hiera_rchi-
cally org-m:ized. And the two t1alves co1nbine on a still lugher level (.level d,
4), creating a closed, stable shape---a rounded binar}r form. Finally the theme
is itself a distinct event \Vithin the structure o.f tl1e whole moven1ent, which
is a three-part, da capo form: a kind of scherzo-trio-scherzo. The section
being analyzed is t: h.e ''tl1en1e'> -0r ''Scl1e.rzo."
For a series o.f stlmuli to form separable events \vhich can act as elements
within a hierarchy, there mt1st be some degree of closure.
2
Closure the
arrival at rela.cive stability-is a result of t'he ai1d interaction among
the several panuneters of .n)usic, Because rnclody, l1arm.ony, texture,
and: dynamics are relacivel)r independent variables some may act
to create clostire at a particular point in a
which first generated it. The reason wh.y it does in fact become
separated from tl1e
seco11d. phrase
of the Scht1mann me1.ody implied tria.clic con.tinuation to the high G. In the
Beethoven
1
hoi.vever > tl1e second phrase begins and ends on tl1e fifth (C).
CQ11sequently, 110 triadic pattern is suggested; instead. the implicario11s
erated in tl1e first phrase are reinf orced. 111 co11trast, then, vvith Scl'1umrum
1
s
' 'i\tlarch,', it is not unexpected t hat, articulated by the clear closure of an
e11d-ac.-cer1ted rh)rthmic group {measure 3 2- 3 5), the final cade11ce of Beetl10-
ve11 's is on tlie low F.
One ta11gential poi11t l1a\tir1g to do '-''itl1 the relationshiI;s a.rr1ot1!$ S"yI1tax,
tempo and dynamics,. chara:cter. In a sense, Schumann has \:vritten che
Ineter ''agau1st'' t he 11atural 1nelodic-har111onic patterning: the first quaner-
t1ote ' tshot11d'' 112:1,-ve been an upbeat, as in Beetl1oven's Scherzo. rlnough the
organization of the Scherzo .is similar to rl1at of tl1e in the follo'\'\
1
ing
n1e-ast1res, it invol"es no atnb,igttity; for, deSf)ite a ki11d of off-beatit1g effect.
tlie 'triple 111eter lJel11lits 110 altei11ative r11etric-rhychr11ic patternir-ig. But, ex-
cept for the fi11al n1easures, rhe l>arlir1e i11 Sch11mai111's ''i\1arch'' riught ha,re
bee11 placed one q \larter-note to the left.
I .suspec."t that Scht1ma1111 \:\
1
rires rhe in t1'1is '\va.y-nialcing the
rhyth1nic groups trocl1aic-becattSe to play the piece properly (as notated),
considera.ble stress mt1st be placed upon do\vnbeats. Othe1wise the ''natural''
mode o.f organizacio11-an ian1bic grouping-,'i.rill result. T his is specially the
case becattse t h.e teinpo ( J = 12.0 ) is 11ot reall}r fast. To pt1t the n1atter the
Other ' "ray around: had the tempo 'been qt1iclc. tl1en n1etric accents \vould ha\.re
been strong; and no particular stress \VOt1ld have been needed to make the
groups trocru1ic.
7
As it is., l1ovve,rer
1
t he ' 'Soldier' s tvl arch
1
' must be played
\vitl1 sonle\vrui.t exaggerated en1pl1asis t1pon downbeats. .. i\.nd this h.'lS an it11-
portant effect ui1on cl1aracter. For the music becon1es al most tO<J assertive
6 Se.e, f:or instance, Example 4 7.
r See the of tCl:npo and grouping at tl1e e11d. of Chapter II.
Material corn d1roitos autorais
c!
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Material con1 direitos autora1s
I 30 EXPLAINING i\>1US1C
(deciso)-like a small child's self-consciousl)' imperious and os-tentatious
wa}' of exl1ibiti11g ''n1arcliir1g bet1avior. ''
To st1mn1.arize. I111plicative i11fere11ces are possible because the regularity
and orderliness of patter11 }Jroba.ble conci11uatio11s \;vhich rhe con1-
petent listener uc1derstands and \l'licl1 tl1e C(Jnscier1rious critic atternpts tO
explain. This matter ctin also be stated objectively- as though styliscicail y
coheret1t ancl syntacticall)r structured n1elodies the1nsel,res actually obeyed, or
' 'behaved'' according to, certain basic pri11ciples. 111 terms of proximate reali-
zacior1s, the ger1era1 r ule wot1i(J the11 be: Once estahlislJeci, a patterni1zg te1ids
to be co11tmtled until a poi'fzt of reJ,1tive t01t11l-r/rJ}1t/,111ic stability is reached.
Prolongations and extension n1ay, as '\ve shall see
1
delay closure; and deflec-
tions may give rise to subsidiary or alter11ative goals a.s points for closure. Iri
t,erms of ren1ore realizations, tl1e ge11eral rule C01zti1iuAtio1zs ?xot
realized-or re11lized 01uy provisionttlly-before ti&rnificft,'JZt closure
has take7i place 'Will probably be so sit.bsequ<!'1Itly. Often St1ch d,e)a.yed realiza-
tion will tal{e place after a repecition of the pa.rtern l1t1s rei11forced r;l1e
implications generated v;1l1en it v\ras first preser1ted.
These ulaws;, may, in be st1bsl1mcd under a still nlore general prin-
ciple: Piittterns tend to be co1ititiued itntil tl?e)' becor11e as con1plett! md
stable as possible. Con1plete11ess ar1d stability are detenrtlned not only by the
particular of the pattern irself, but b) r r1orms of tl1e particular scyl.e
being employed-its synra;x, traditional f om1s, and cor1\renriona1
Material corn d1re1tos autorais
CHAPTER VII
-----. ._.-- . rt ---"V"'"-- "-..._ __ ,.---
Melodic Structures
There are but n.vo ltinds of pitch relationships: conjunct intervals ru:1,d
disjunct ones. Though this distinction 111ay seem S<Jtne\vhat siI11ple111i11ded,.
it is fundamental because disjunct patterns may imply not only continua-
tion l)ut and rett1rtl.. Our cot1cer11, tl1en, will be with the
'\\rays conjunct and disjunct patternings, and their interactions, generate inl-
plicative retationslups on different hierarchic levels. Tl1ough so111e rnelodies
are primarily conjunct,, and those \,\
7
hicl1 are triadic- are
primarily d.isj onct, 111ost tnelodies involve botl1 kinds of morion. Furthermore
a rnelody rnay lle conjunct on one l1ierarchic level, bl.it disjunct on another.
For both these reasor1s, a rigorous, systematic classificatio11 of 111elodies is out
of tl1e quesrio11. In what follo\1rs, tl1e t11elodies atlalyzed l1ave been grouped,
generally spealcing, according to what seems to be the main hierarchic levTel
generating u11plicative r elationslups. Thongl1 some ${)ft of dassificacion is
necessary as a \Vay of ordering the discussion, \vhat is important is the analysis
of the individual melody.
PA'ITERNS
Llne;ar patter11s are scales- diatonic, chromatic, or some mL"{tUre of ti1ese.
The basic implicati,re principle, to repe-at the point n1ade at the end of the last
chapter, is once a linear, conjunct motion implies c.ontinu.ation to
a point Of .relati\re stabilir;r. To turn. to our fust example.
1.11e ope11ing melody of Nlozart's Diverti1nento in Bb tvlajor (K.z.87;
New 2 7 r b) for strings a11d t\VO horr1s consists of rwo similar phrases
an1ple 64). As graph 1 sho'\cvs, both phrases begin on che .fiftl1 (F), and
de.scend by co11junct 11100011 tovvard the tonic (Bb). T hough it co1nes on
a weal< beat, the D in m.easure 3 ( a.nd the one in measur,e 7) is analyzed as
Material corn d1ro1tos autorais
132 :EXPLAINING MUS1C
a strl1Cttrra1 tone both beca11se ir is the resolution of a. cadential harmonic
progressio11 (II :-v j \ T- \ T
1
- J' ) and because, particularly in retrospect; tl1e
simplest way of t111dersta11ding tl1e over-all n1oti-0r1 is as a conju11ct pa.ttern.
The l
1
l
6
-l: -V
1
progression in measure 4 is reso},red to tonic harmony in
5. Btrt in.Stead of n1ovir1g to tl1e implied Bb, tl1e melody 111oves baclc
to the fifth, as the second phrase begins. Tltls time the authentic cadence is
complernented by a clearl},. end-accented rl1ythm and b,y melodic c1os1.1re,
'vhen the Bb is reached in measure 9.
' -
' "''''"
'
. J ... -, P s:x l.
i\.i - - : a ' -"
"
- Jiil. '
.. <I
f ,
5 f -c . ,_ - ,_. __________ _
rfl1ot1gl1 tl1e in1plications of tile mai11 n1eloclic n:1otion are cle.arf tl1e phrase
structure is complex and equivocal. When the n1ovement begins, \:\re assume
that the f otte cho.rds a.re part of tl1e first pluase. Tl1e cadenria1 progression in
i11easures and 3, hovvever,. s.eetns to articulttte a half-phrase "'' hich 'vill be
answered by a second t\vo-n1ea.sure group r't!aching closure in rneas\ire 5.
Thot1gh harmo11y cade11ces 011 the tonic in measure 5 the repetition <>f the
opening chords it clear that th.is is also the beginning of a new phrase:
the motion from ronic co subdon1inant 1nakes the har1nony on-going, tl1e
trochaic g.ro11ping creates rl1ytl1n1ic mobility, tl1e melotiic F is
and all this is einphasize.d by tl1e abru.pt ct1ange in dyna1njcs and te>.."tt:ire. Be-
1neast1re 5 ft111cti<,.ns both as the en.cl of the Ml: pluase a11d the begi11-
ni11g of tl1e second, it has the effect of an interruption. The resulr is tlliat even
though there is a cadence 011 the to-rue, the first plu-ase sot111ds tike an ante-
cedent.
When the second t)hrase reaches clost1.re in measu.re 9, Gttr feeling that
che basic pl1rase structlire iiS i + i is confirr11ed. Bue even in retrospect, the
funcrion. of the chords in measrrres 1 and 5 is equivocal. Though measure 1
begins the main melodic pattern, it is at the same time se,parate from the basic
mor1)l1ologicill strucn1re-botl1 because of the organization of the f ollo\ving
phrase and because of the marked co11trast in dynan'lics and betweet1
Material corn d1roitos autorais
MELODIC STRUCTU!IBS 1
33
measures r and 1. Consequently, it is also understood as i11troductory. Tlle
witty play on function is even n1ore co1nple..x it1 measu,re 5: it is not only a
beginning and ru1 introduction_, 'but also an er1d.
Because tl1ese measures are set off i11 dy11a1nics arid tenure, separated
from what follows synta.c.'tically, and functionall)r, tl1ey are par-
ticularly promir1ent. \.Ve are a\.vare i1ot only of the descending conjunct 1no-
tion from F to Bb which begins here, b.ut of an alter11ari"V'e possibility. As
in graph t , t he low-level conjunct n1ocio11 from F' to G suggests linear
continuation to the high Bb. Both. t he tnobility of the trochaic r hythm and
the on-going i1armonic motion st1pport the implicario11 of a melodic A
1
bar
monized by a d-0minant, followed by a melodic Bb complemented by tonic
harmony.
However, the high Bb never occurs as a stable goal harmonized by a
tonic chord ir1 the exPosition section. Whe11 it occt1rs tO'\\<"ard. the end of the
recapirnlacion after measure 2 3 8- it follows descending morior1 :frorn C. For:
recapitulation begins not \Viti1 the melody we 11ave bee11 discussing, but
with the moti,res \Vhic.h f ollotv th.at cadence in measure 9. The opening mel-
ody lioes not recur until the coda, where, as Example 6 5 s}10"\l\'S, it le.ads
tlu-ough a melodic A. harmonized as part of a dominant s,evenrh chord, to an
accented high Bb the note on \vhich tl1e moveme.nt en.ds. Not onl}r is the
co11cinuation tl1e one implied by t he opening ti1eme, but t l1e relationslup be-
"
I
li.'X'.ample 6 5
tween the chords of measures 1 and 5 and this remote realization is empha-
sized by t he fact that in both pJaoes the violins play triple-stops.
T hotigh l\llozart,s n1oveme11t ends ot1, t he higt1 B
0
, t:l1e main linear 1nociot1
- the one understood as being tlJe melody-is w1d.oubredly the descending
one . . And if the examples tmalyLed in t his book represent a, fair sample, it
se,e111s that descending melodies are considerably 1nore cornmon in tl1e
tory of to.nal mt1sic t[tan ones ,,,r}1ose mai11 111ocion rises. One important
for this is t hat ascendi11g melodic n1otio1is ll'lOlvc a sense of effort and con-
Material corn dirc1tos autorais
EXPLAINL.""TG MUSIC
cor11ita11t tension (probably bec,it1se of 011r O\.\'Il kit1esthecic n1otor bel1a.vior) ;
fallil1g melodic lines represe11t r
1
elaxarion and are n1otions tO'\vard rl1e repose
required for closure. Partly for tl1is reason r11elodies \Vhich begin on che tllird
and the fifth of the scale tend to clesce11d;
1
and, further , gap-fill melodies
t1sua.lly begin with a rising skip which is follo\l\ted by descendir1g conj unct
1nor1on.
Needless to there are exccpriot1S. The Scl1erzo from Schubert's
String Qtlartet in Eb Nlajor, 01)uS r 2 5 66) is a ve11r strilcing 011e.
The n1oven1erl:t begins witl1 a cleaily defined t'flOtive ( tn)- an an1pl1ibrach
rhythmic group in "vhich the first Eb, acti11g as an upbeat and creating ai1
octave gap, is follo"'' ed b)r rising conjl1nc-r inorion, Eb-F, rhat St1ggests tl1at
the gap is goi11g to be filled. The linear part of the. 111otive is co11ti11ued
the Fin 111easure 3 n1oves to G .i11 nJeasrue 4. Tl1e co11junct rishlg mocior1, botl1
\\rithin and between motives
1
generates the .irnplic'titions sl1ovvn in grapl1 3.
The Eb tttJbeats are imJ>licacive not only because tl1e gaps they create
st1ggest linear fill., b11t also because they are poterztial st1'ttct:ztral tones (see
graph i ). Though a\irally conspicuot1s, tl1e Eb ,.s are \Ve.a.k struc-
tural it11portat1ce. Tl1e incongruiry betiveen funccio11 and prominence is er11-
phasiz-ed by tl1e reite,ration of tl1e Eb's, \\rl1ich see111 uriaffecred b)' ;:iti.d. co,nse-
quently, separate from, the risir1g motion of the 111elodic li11e .. \t\Tl1at is implied
-111ore strongly vvirl1 each repetition- is that Eb livill becon1e an actualized
srructi.uaJ to11e, as it does '.vl1cr1 it cor11es as the dovv11beat in 1neasi1rc 8.
Tl1e arri\1al of the Eb in me;ast1re 8 actualizes the precedin.g potential
rones a11d is a realization of rhe i1nplicacions of the preceding scale (see gra1)h
2). Bur .it does not constitute a sarisfactor3r realizacio11 Of tl1e ge11-
erated by the litiear n1ocion of the first foltr n1easures. For the satisfactory
realization of atl imptie:atio11 is by \"irhat 111.ight be c-alled tf1e law of
l1ierarcl-Jic equivalerice: an eve11t is an adequate realiza.tion of an in1plicatio11
01tl)' if it is on a 11iera.rcl1ic le\rel which is tl1e sa.r11e as,, or more exte11ded tf1an,
the level of tl1e patrer11 ''' hich generated the in1plicacions in question.
\Vhat is 1equiredt if rhe irr1plicacior1s generated by the openir1g 'n1&1st1res
of Schubert's Scherzo are to be reafrz,ed, is the arri\ral at a goaJ-
probably one of the t1otes of the to11ic triad- ,;vhich f ollo,<\rs fron1 and is on
tl1e same luerarchic level as the lir1ear patter11 of n1easures 1- 4 (graph 3).
rhough it contir1ues the morion in1plied l}y the o:pening n1easures, tl1e scale
1
This tendency is also related to tl1eir proxirr1ity to tl1e lo\ver roruc. This is obviou .
in c:he case of tl1e third. In. d1e case of the fiftl1
1
the thir{i, actir1g as a poinc of il1ter-
mediate stability; is proximate a.11-d inHtiences r:l1e probable direction of rnotiot1.
Material corn d1ro1tos autorais
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Exan1ple 66
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Mater al corl" tos autora s
EXPLAINING MUSIC
i11 1neasures 5-8 is not on tl1e sar11.e i1ierarcl1ic tevel as the earlier pattern.!! For
in the first fou.r measures, the fundan1ental of n1otion is a t'\.VO-measure
l1nit, \-Vhile in n1eas11res 5-8 the motion is at t\vice as fast. F'o.r this rea-
son, che scale is ortly a provisional realization of t he implications generated
b}' tl1e earlier lu1ear pa.tter11.
Qost1.re at c:he end of the ti,rSt part of the Scherz.o is de.finire and un-
mistakal)1e: the "''l1ole movement con.clt1des \Vith almost exactly the same
cight -meastire phrase . . Harm<)I1icaUy, there is a full cade11ce. Rhythm is end-
accented on the lo\-vesr level and on the highest one, v.
1
hich is a clear a11apest
group of z + i + 4 rr1eaSl1res. Melodicall)r, tl1e scsJe creates foregrot.111d clo-
sure. However (and tlus point \.Vill concern us later), thot1gh it e11ds on the
tonic, the linear rriotion is qt1ite t1niforrn- li\ritl1out reversal or significa.nt arric-
ula:tion-and, for this reason., furt her mocior1 seems probable.
The.re must be music. This for t\.\lC) reasons. First, because no
digression from ti1e stability of to1lic harmo11y arid col1esive ptitter11ing has
taken place. ' hat is needed is the tension of tonal contrast ai1d morivic
change; so that the return to stability cai1 create a sense of arri\ra1 and con-
clusive fi11ality. Second, a11d ou.r primary co11cer11 l1ere: the implicatio11s of
t l1e n1ain n1elodic n1otion gene.rated. in the fust rr1easures ha,re been realized
only provisionally. .!\dequate realizatior1 is still to co111e. Boc'h these require-
ments are mer in tl1e secon.d part of the n10\1e1.nent.
Tl1e li11ear processe..c; of the :first part of the Scherzo a.re contint1ed in the
second. As g.raph 3 ii1di cates, the rnelod}r n1oves seqt1encially fro1n the G-
th.e poi11t reacl1ed in t11casure 4-t1p to the D in 111easure r 6. In bolh the first
four measures and in these eigh.t, the linearic}r of the \'ioli11 1nelody is sup-
ported by parallel motion in the cello. Both lines-and the l1art11onic motion
as well-could have go:ne clirectl)' fr.om measure 4 to measure 9. Observe, too,
th.at tl1e 1nobility of tl1e pattern is partly a result of the inscability of the se-
quence of first-in,rersion harmonies.
Tl1ere is a. cad.ence in meast1re 16. But it is by no means .c.i.ecisi''C. TJ1ot1gh
the rhythm is end-accented on the level-meas11res 9- 16 are .a pyra-
1r1ided anapest: 2 + 1 + ( 1 + z + 2 )-tl1e lo\\r-level group is a n1obile a111-
phibracl1. Harrnonyt too, is on-going: both the laclc of root motion an.d t.he
progression i11 G strongly imply contini1acion. T he lo.w-level, fore-
2 Ic ni.ight be argt1ed that tl1e 'Vvhole scale-plll"aSe is a prolon_gacion of Et> and
tl1erefo.re 011 the same level as the previous patterning. Bt1t in, th::it th.e lc>w Eb i11
tneasure 55 is t:J1e tocie The rest1lt would be a high-level neighbor-note
n1otion, Eb(in.r )-F(n1.3 )-Elt(m.5 \Vhicl1 is s.c.-uccly a satic;factot }' conili1wition for
the strongly linear pattern of the first four n1ea.sures.
Material corn direitos autorais
1\-f'ELODIC STRUCTURES 1
37
ground melody creates a degree of closure., for tl1e skip of a diminished fifth
from G to C# resolving to D is a cadential gesture. (As sl1own in graph i,
this cadential pattern makes the G, a potential structural tone like the earlier
Eb, part of the melodic-rl1ytlmlic strt1cn1re.) 011 the higher level of melodic
motion, however, the unifor11lir}r of the c'hromatic line from B oo implies
continuation. Thus, while the cadence it1 rneasure 16 has son1ewhat checked
the goal-directed mon1entu.n1
1
arriving at a kind of tension within equilibrium,
the implication of continued morion is still strong.
But the implied continuation of melodic 1nocion from the leading tone,
D (measure r 6) to the tonic, Eb, does not follo"\v d.ire,ctly. The D is pro-
longe:d (and thus en1prl!:lsized) from rn.easure 17 to 111e<.:tsure 30 (see graph 3),
ibut in a context tl1at is u:nstable an.d hence itnplicatlve. Har1nonically, tl1e D
functions as part of an alien tonality ( G minor rather than Eb). The har-
monic .rhythm is. open and mobile because the temporary tonic (G) comes as
the weak part of the rh)rthrnic patren1, rather tl1an as a g-oal. In addition ten-
sl<)fl an.d n1obility are a result of d1e "'realcening of the 111elodic-rhythn1ic
sha,pe. Tl1a.t is, the reiterated D's a11d the repeated low-level iambs of the
melody do 11ot give rise to l1igher level And this lack of palpable
patterning also implies change.
An octave transfer at the end of 111easure 2 2 brings the melody b:ack to
the original register. Because t11e srur1e 111oci,re is repeated an octave lov,rer, it
is, I tl1itll{, a legitimate instance of registral transfer. That is, it is legitimate
to analy-ze tl1e melodic line as contir1uing i11 the lower octave. Often, how-
ever, tl1e situation is 1nore problematic. In generalt analysis 11as sucl1
transfers \vith unwarranted casu,alness. This is, in. n1y judgn1ent, a n1istake.
For tl1e implicatio11s of melodic patterns in principle specific not only with
respect to pitch-elass (Cts, Bb
1
s, etc.), but "'rith respec..-,: to register as
well .
. At 1ne}tslue 25, D is h.armonized as ti1e tlilld of the do111inant-seventh of
Eb. The fo.reground pattern rises through that harmony to the Bb \Vhicl1 is,
so to speak, left hanging in mid-air-without explicit connection with t:l1e
follo\i\r:ing pattern. Th.e progression through the dominant to the tonic con-
stitutes a reversal of the hannonic i'>ro-ces-s and ere-ates high-level closure.
1\11elorucally i the arrival of the Eb in ,measure 3 1 represents nor only the
arrival of tl1e stability of tl1e tonic, but the realization of cl1e i111plication
generated in th.e opening n1easw:es of the Scherzo. T he processes begun
s See Meyer, E'tl'UJtion and in Miu-ic (Chicago: University of Chicago
Pressi 1956), pp. 160-196.
Material corn d1ro1tos autorais
138
E..n>LAINING l\<iUSIC
there f1ave 1110\
1
ed (with a11 octave tra11sf er) in li11ear f ash.ion from t he Eb
in meast1re z to the one in meast1re 3 1. Since the first part of rJ1e move1ne11t
endecl \vith a full cadence\ the realization in measure 3 1 is .remote. l\ilelodic
and t1arn1011ic closure, as ,;veil a.c; the returc1 to stro11gl)' structr1red rl1ytl1mic
organization, are comp]eme11ted by for1n.al clost1re. For the repetition of the
.6.rst part of the Scherzor follovving the harnflonic, mel()dic, and rhythnlic
tension of tl1e iniddle pru::tt enhances the feeling of clost1re by pro,riding tl1e
satisfaction of return.
Bltt che first part is not repe:ited exaccl)' Tt1e Eb 1najor sC'ale (m. 35-
36), wl1ose linear cor1cint1atio11 ( n1. 7) ir1 tl1e :first part "''eakel'1ed tl1e se11se
of closure, is bro1<:en off and 1ei1laced i11 1neast1res 38 and by a disj unct
cade11rial gesture. Th.is cl1a11ge accomplishes tl1ree t11ings. First, it
a, conformant .relationship bet\ee11 the cadence of the middle (m. 14-
1 6) a11d the final closure. Second, it provides a continu11tiotl: for t:l1e Ab and
Bb "'' hi ch \-Vere left ''ha11gi11g in 111id air)' at the end of tl1e second part and
leads them to tl1e ca,de.nce .t\11d t11ost important of all, by re'\rersing the linear
n1otion of rl1e precedi11g n1easL1re it creates deci,,'ii. e clos11re.
Rotlnded bin.aryr forms, su.ch as raise an in1po:rrant analycic-cricical
question. If a particular patterning of events- for instance? tl1e 1110tion
of n:1eastues 1-4 ir1 the first part of Sclluberc's Scl1erzo ii11plies co11riuuation.
\Vhen first presented, \7i"hY isn't the restate111ent Of the patterning in meastues
29-33 even afce.r tf1e second ha.If }i.as been 1epeated? H ov. v can the
piece e11d satisfacro.rily? Fro111 a11 aestl1etic-theoretical point of vie\V, 011ce
an, implicario11 l1as bee11 adeqt1ately realized, the resolution of tl1e tensions of
t l1e middle par t, togerl1er vvith the sAtisfaction provided l))' return., seen1 to
crea.te a psycl1ological sin1atio11 in whicl1 closure cakes precedence over irr1-
plicatio:r1. Ot1 the practical side1 to er1111l1asize the cloSl.Ire of the secor1d part of
tl1e forrr1, the composer may" extend t11e final cadence, as l\1ozart does in rhe
Then1e of J1is A-1\lf.ajor Pia110 Sonata {see Ex.arnple r. 7) . At runes a final coda,
follov\ling tl1e repetition of tl1e \,rh.ol-e first part of a (!a c.1po form, serves to
create a, sense of finalit)r. Thjs is the case i 11 t'he Menuetto 010,rement of
Beethoven,s Stri11g Quartet in C J\
4
{ajor, Opus .59 No. 3. The performer, too,
ofce11 helps to make closure clear by slowir1g cl1e cempo or perl1aps cl1angi11g
d;rnar1ucs.. A11d, finallyt the co1npete11t lister1er k110\vs, as a result of his
stylistic experience, l10\:\
1
such fornlS generally '( behave - t hat tl1e secot1cl
part of a rou11ded, bit'lllry strt1crure is repea.red, bt1r onl}' 011ce.
Bec.'lt1se it is tl1e stable goal ard wl1icl1 all other tones tend to move,
tl1e totlic (in co11trast to t he third ar1d. fifth) i111plies tlO part ict1lar direction
Material corn d1ro1tos autorais
MELODIC STRUCTURES
1
39
of rnocio-t1. Conseque11tly. if the n1au1 melodic patterni11g begins on the to,nic,
ascending and descending nlotions are eqt1all}' probable-at least in terms of
tonal But a sense of ,direction t11ay l>e pro'\rided b)r other means. For
instai1c.e, a prefatory gap n1ay i11dicate cl1e probal)le direction of mocio11, as
the t1pbeac u1 Scllube.r.t's Schen:A> does. Or, the probable directio11 of n1otion
may be suggested by otl1er means. Ox1e of these is register.
T'he n1elody of the ''Nottur110,, fro111 Borocli11
1
s String Q11artet in D
Nlajor) for instance, begins with the to11ic, A,, played softly l:'Jy the cello (Ric-
ample 67). The to11ic hannony provides 110 clt1e .as to tl1e direction
.of 1nelod.ic motio11. Because the cello enters on the seco11d beat of th.e i11eastue,
ov,er a gently sy11copated acco1n.pani111ent, there is a suggesti.011 of instability.
But ttle parricttlar feeling of poigtlant tension, whic.11 tbe slo'>\' ten1po enables
us to savor from tl'ie very first note., arises ir1 large part because, though it is
rhe tonic, t .l1e A is 11011etheless implicative.
,.
... '" __..,,,. ... _..
Example 67
It is so, because timbre a11d register serve as substitutes for tonal tension.
Relative to the. O\rer-all range c)f the cello, tl1e A is qt1ite high. Consequently,
simply from a statistical poi11t of descending n1ocion is probable. Had
the (fsame'' A been played on a violin-sa.y, or1 the D-string-no clear direc-
tion of rrlotio11 would ha\re been li11plie(f. Bur ti1e sense of implie.d direction
has a11 C\t e11 1nore im1)ort;1nt kinestl1etic basis. e understand a11d respond to
the effort jn,
1
olved in pla}rii1g tl1e {'high'' A with ot1r 'vhole being- l\.rith our
bodies as. \Veil as our n1inds. Th.is feeling of tension is heigl1cened by the fact
that the 11ote is played softl}' Let n1e explain. and are asso-
Cl<lted \\tith one another: not only is there a ren.denc)r to plgy 101.ider pitch
rises, but even wl1en intensity ren1ains co11sta11r, loud11ess increases
as pitch rises. Because tl1ey reqt1ire s1Jeci3l effort a11d co11trol, we are particu-
larly sensitive to the covert rensio11 of high, tones. Througl1 sym-
pathetic idenci.fication \vitl1 the sound itself, tl1e listener experiences tensio11-
as tl1ougl1 l1e were performing or sil1git1g tl-1e n1usic 11in1self- and, co11se-
que11tly, he not only kno,vst but feels, that descending n1otion is. probable.
Tl1e in1plicarions of the A, thougl1 pers11asiile, are general. Reg-
Material corn d1ro1tos autorais
140 EXPLAINING
ister, dynamics, and timbre are, so to speak, protogene.rative. There is a.
sense of diret.'tionality, but 110 specific g-oals are defined. V\Then the partern-
irig does generate l)articuJar implications, these prove to be both Complex
and ambiguotis. The motion froin .l\, t!irot1gh G# and E, to D implies ()On-
tinuatio11 of tl1e descending line; the ascen.ding pattern in measure 3 st1g-
gests a retur11 to the to1uc. Arid r1eitl1er of these is clearly dominant. Allore-
o\rer,. bec."ause IJlelodic rehir:io11Sl1ips st1ggest ir1odalicy as mt1ch as t:onalit)
7
,
neither of the implications is particularly f orceft11. Though the stress created
by tl1e gr;1ce-notes to tf1e first of rr1easure :z. helps to clarify the meter,
tl1e.y also h.a.ve rhe effect of malcing tl1e G# seetn orna1ne11tal rather tl1a11
sttiicttual as tll(}t1gh it fu11ccioned fir5't as aJJ. appoggiattua to the F# and
then as 3.11 ecbappee. This VleakenJng Of the leading-tone, the dt1ratio11fil
e1npl1asis of the E and and the absence .of a strong defining a tria(lic
tonal cot11plement one a11other in giv.ing tl1e 111elod)" its modal,
quasi-pent1tonic flavor. And the com.bination of alrernative goals \Vitl1 tl1e
some\vhat atter1t1ated and a111biguous i1np1ications of modality is to a cor1-
sidernble exte11t respox1sible for the st1bily static and contern1)larive lyricism
of the melody.
In .Borodin's melody, as weIJ as in Scl111111a.nn's ' <f\1I,irch" (Exarnple 62)
and i\lfozart's Diverci.r11ento (Example 64), different aspects of the melodic
J>attcrnit-ig irnplied alternative goals. B11t this need i1or })e the case. Different
r-r1elodic processes may in1ply a single cor11n1,on goal. 1"'lu.s is trt1e of tl1e sub-
ject of tl1e fugue tl1at is tl1e second mcJ,rement o.f Handel's Concerto Grosso
ir1G1\1finor, Opus 6 No. 6 (E.IDt111ple 68).
, . .
'- .. : .
c .. ,.,..4, 1e,..:c
t'Ulc'"',,.. .... ""-"
' :
.
...
-
- - .
Because ic is in a n101e or less nor111al register for violins, the con.ic on
which tl1e begins is implicati.\1ely net1tral. The uniformit}' of tl1e
Material corn direitos autorais
MELODIC STRUCTURES
ir1itial chro1t1atic pattcr11 is strongly iinplicarive of .conti11uationi as graph, 1
indjc-ates ..
4
After the first measure, tl1is motion is abr11prly brol<.en off, and a
econd pattern begins on Bb. T lie forcgrou11d 1nocion of this pattern is
patently linear, rno,ring up to Eb. T-Jo"ve,rer
1
though the second level of mo-
tion (grapl1 2)-that of half-nc>te groups begins as conjunct motion, im-
plying continuation to D, it skjp from C to Eb. The gap thus created not
only closes, but revc.rses the preceding rising pattern. Thus both lines con-
verge to a comrnon. goal, D. St1c.l1 co1w.ergence, articulating structural poi11ts
of importance, is common in bili11ear 111clodies.1:1
As is ofren the case vvith linear, descending fugue subjects, the last note
of the subj.ect becomes t he first note of the at1swer.
0
The ans"ver, pla}red by
the second violins beginning on D ( n1CaSllfe 3). not only concir1ues bot re-
ne,vs the implications generated by the patterning of rhe subject. The alterna-
tive lir1es converge on A, whicl1, l1arrr1011ically" as well as rn.elodically, implies
rnotio11 to G-at \vl1ich poi11t the vio.las and a solo cello conti11ue th.e li11ear
r11ocion as they restate the subject.
Not onl)r can bilinear melodies that con\rergc be disti11guished fron1 those
that do not, but bili11ear patterning should be differenrjated from \Vhar might
be called ''bjlevel'' ones. The subj ect of Bach's Fugue in C# Major from
Book I of the ' ell-1'empered Cla\1icr is a clear example of a bilevel melody
(Example 69) .
As the analysis sho,vs, the t\! o 111clodic strands are parallel, the
upper one related to the lover one by latent fourth-specie counterpoint. Tl1e
''st1spensiotis" are resol\>' ed '\.Vhen both voices move to a The tonal ten-
dency .of rhe fifth to descend to t he tonic is the framework "\' ithin which
patterning cakes place. The first generati\re event, the slcip of a six.cl1 to E#,
both esta'blishcs a secon.i strand of rnelodic activity and, at tl1e same time,.
1' In th.ese respeccs alld ochers, Har1del
1
s fugue subject is in rncirked contrast to
Borodin's melody.
6
See Exan1ples 70
1
92, and 10 5.
a See Bac.h' Prelude and Fugue in G Minor ( BW\ T 541) for Organ.
Mater al cor'l" dire tos autora s
EXPLAl ING l\l!USIC
implies the desce11ding rnotio11 of a fu.I. '"fh,e main ger1erarive eve11r. ' luch
tno,res th,e l1armony away fro1n rl1e tonic a11d sets the coL1nrrapuI1tal patter11,
is the n1otio11 fro1n to F# iJ.1 th,c lo"''er line, Because the t1pper strand
(grapl1 2) is cor1trapt111tally depet1clent upor1 tl1e lo\\rer 011e (gra,pl1 1), ther,e
is 110 co11trar)r or obliqtte rnotio,n. Therefore, tl1ol1gl1 botl1 Jin.es r11ove to tl1e
sa111c pitch-class ( there is 110 11r-ielodlc convergence. Incidentall)r lil{e the
Ha11del fugue, this one is li11early continuous: the ansvver begins o.n the
lo\ver C# ('iVl1e:re the St1bject ended), an.d, mo es dow11 the scale to G#, at
'"' hicJ1 piccl1 t11e subject is repeated.
Convergence 1na)r not rake place as directly a11d im111ediately as it does
il1 Hat1del's ft1gt1e stibjecr (ExaoJple 68). The therne \Vhlch begir1s the expo-
sition section of Beethoverl,s Se,1er1th Symphony illusr.ra.tes tl1is point. 1'"'11e
111elody, given in ExatTif>le 70, consists of at1 antecedent ar1d a conseque11t
phrase. Tl10.ugh it is adequate, closure at measure 74 is scarcely decisive.
Mostl;r it depencls llpon rhytl1r11ic rela.tio11shi,ps. As the rhytl111uc analysis
u,nder the in.dicLltcs} part is e1Jd-a,cce11ted on the lev,el
1
and
t l1e cor1sequent phrase is so o.r1 the Jo'\.
1
lest le,1e.l as "'' ell. TJ:1e antecede11t phrase
e11ds on a '\veak heat (B), but. because tl1e weal{ l:Jeat is longer tha11 the acce11t,
closure is eni1anced. Tl1ougl1 tl1e chen1e is a.lso closed it is not
forcefully so. For tl1e cacler1tiai progressio11 lacks empl1asis on the
ina11t. Generally speakittg, ther1, rt1ythrruc ar1d han11onic cl.ost1re are low-
level, a11d tltls is the case 1nelody as "''' ell,
..
&r . .... .._ ......... ...
- - - - -
I
Example 70
lv.1elodicall)r, t11e foregrot1nd sm1cn1re is col1erenr and con1plete. But tl1e
high level .is not. Like t he I-landel thcn1e, this .is a bilinear i11elody. As the
graph a,bove 70 both the desee11ding line, E-D, an cl the rising
line, G#-... A\.-B, imply COlltinuation to a comn1on Becat1se it is an appog-
giatu.ra, r1ot a st.ructural to11e, tl1e Cl u1 n1easure 70 cai:111ot co1111t as a rea1izi11,-
tior1 of the io1plications gerler;:1ted b)r these linear e\rents. T l1e oot1sequent
Material corn direitos autorais
MELODIC STRUCTURES
ph.rtse r.eaffi:r-ms the .i:rnplication, but the ci in measure 7 3 is even weaker.
T11e in1plication generated by che first cheme proper is povverfully re-
inforced in the f ollo"ring n1e;lsur:es. After a six-n1easure prolo11gatio11 of rhe
ronic (measures 75- 81 ), e1nphasizing A and E but not there is a passage
011 t l1e donrinant (Example 7 1) . This n'loves r'hrough the triad to the seventh,
D, and in. the same register as tJ1e D of the theme. Tl1is dorninanr-seventh
chord, empl1asized by fortissi:tno d)r11amics and a fern1ara, uneqttlvoc-ally im-
plies a resolution to ro11ic harmo11y \i\r:ith C# in rhe lipper liI1e .
..
. '
.. ' \
But Clt does not f ollo"' In fact, no satisfactory, structural Cl occurs
until tl1e recapitulation. One can loolc through the transition passage, tl1e
second key area, the closing section, and. the "'' l1ole of the devclopme11t and
not find a single C# \.\
7
hich earl fun.ction as a stable, goal tone in the appropri-
ate 11armonic context a11d in the right register. are, of <.-ourse, so1ne
important 'C#'s. o-ccurs it1 th.e tra11sicion passage of the exposition sec-
tio11 at n1easure r 1 .1 (Example 71) . Howe\rer, thot1gb it comes at the end of
a sequence, this is not a satisfactor}l" realizacion of the implications generated
in tl1c first then1e gro11p. As tl1e l1arn1on)r sketched under E.ircatnple 7 2 sho,vs,
the tonal context is nor the proper one. Instead of funetioning as part of
tonic harmony. this Ci is the fifth of an triad whicl1 itself ft1ncrions
as the subdorninant of C# minor .. i\4oreo\
1
er, this Cl is in the wrong register
- an octave lower than that specified by the ge11erating eve11t.
Onl)-r it1 the recapulacion, two i1t1ndred and thirty measures after it '\-Vas
first implied, is C# realized as a satisfactory sm1ctural to11e. And perhaps be-
ca11se it l1as been so lorig delayed, it is en1phasized again and again. The
Material corn d1ro1tos autorais
EXPLAINlNG MUSIC
im1-1lication is regenerated by the return of the first theme group at the be-
giruung of the. recapitt1latio11. This time, however, the
ferm,at:at D, is resolved to (Ex.a.rn,ple 73A). And th.e resolution is specially
strilcing-marked by the preceding rest, ti1e sL"rteenth-note upbeat, and tl1e
change in instrt1met1tation a.nd d)rnamics. Though the melodic C# is clearly
strucrural- in t he right 1.egister and part of tonic harmony-tl1e cl1ord itself
is a rnobile secondary domina11t, \ ! of 1\T.
73
When it occurs at the beg.u1rut1g of the second. ntne in the recapitt1latio11,
110,vever, the C# is StrucroraJ a11d the harn1ony stable (Example 73B) . The
plrrase also e11ds on the third. of tl1e scale, but as p:art of a si."X-four cltord. In
a. tlus is a function it sl101tld 11.ave liad in the opening theme-as is the
case, for instance, at the end of t11e anrecede11t phrase of the Then1e of
i\if.oza.rt's A-Major Piano Sonata :('Cl1apter 2, &uinple 17). This sL"{-four
chord receives its nlain resol\1tion when the Cl moves t11rougl1 B t<> A in
346. Subsequently, a strongly in1plicati\1e, se,quential pa.<>Sag,e, reaf-
fuming C# a.s a goal (Exa:111ple 74) is followed by a cadential progression,
N-O- \ f-I (n1ea..sures J.68-370), 'vhich also arri es at a forceful srruct'ural
And tl1e movement ends '1vith th.e third of the scale as the .melodic note.
I '
,,
(:1 t tc. t"' Q.. !" - - - - - - - - - - ... ff
Exan1ple 74
P'A ITERNS
Disjunct patterns nia)' be implicati' e in tvvo A disjunct it1terval
may be undersrood as a ki11d Of i11com.pleteness a gap-wluch implies that
the note or 11oces skippe,d over ""rill be prese11ted il1 wl1at foll o'\vs. 0 .r, when
u11derstood as .Pru-t of a triad, a disjunct h1terval-sucl1 as a third, a fourtl1,
Material corn d1ro1tos autorais
l\UIJODlC STRUCTURES
145
or a fif'th may imply continuation .of the triadic pattern wicil a point of
relative sta.bility is reached. A single disjunct interval n1a}' im.ply l>oth these
possibiiities,.--as was the case in Schumannts l\Jlarch
1
' (Example
62 ).
Gap-fill 111elodier
Gap-fill n1elodies consist of two ele111ents: a disj unct-in.te.nl'al- the gap-
and 0011jt1nct i11tervals which fill tl1e gap. As a n11e, gaps are not larger than
an octave. Given this qualification, it is generally the tl1at the larger rl1e
skip, the 1oo:re strongly co11ju11ct fill .is ir11plied. A skip of a, for in-
stance, is more forcef11lly i111plicacive tl1an a skip of a third. For the larger
the disjunct the n1ore noticeable the incompleteness it creates, and
a triadic continuation of a large disjunct interval is not probable because the.
melody \vould be carried beyond the octave,
1
\Vhich would be
particularly in the early period of chis style. Rising gaps are 111uch n1ore
co111111on than falling ones
8
- probably because it is naniral for the teosjon
of effort, associateli '\;\fitl1 both rising and disjllllCt interv'als, to .precede tile
relaxatio11 associated '\vith d,escending conju11ct n1orion and with the ap-
proach to\v:ard closure. I11 Sl1cl1 rnelodies, it is not c>nly tl1e disjunct gap
which ger1er,ates implications. As with other linear patterns, the conjunct
motion functions as a gene.ratitre event in its ourn right a:n.d, once begun,
tends to be continued l1ncil relaci,1e stability is reached .. Fin.allyt an important
exception 1nust be mentioned: an upheat inrer,1al of a perf,ect tnoving
to the tonic, does not necessarily function as 11 gap, but niay be und.erstood
as a rhythmic-harmonic event emphasizing the tonic on which the melody
proper begins. Let us nO\V consider so111e
The subject of the fugue fro1n Gemini.ani's Concerto Grosso in E Minor,
Opus 3 No. 3, is an almobt archetypal instance of a gap-fill xnelody. As Ex-
ample 7 5 A the main gap consists of an ocra.ve skip. Because it is an
U()beat to the lower E,, the B emphasizes this disjunction. a.nd ar the san1e
time acts as a subsidiary gap to the upper E. These gaps .are fallowed by
iminterru pted descending conjunct 1notior1 to the tonic.
9
1
Fo.r in:stan.ce, the triadic continuation of a sixth
1
E to C, would. cake d1e pattern
oo the G outside tbe oc.ta\re above the initial E ..
s Though there are notable for instance, the melod;r of Schubert's
Scheno ( E."<ample 66) .
0
I have the shortcon1rngs of such nnin1peded conjunct Il'i(}tion in Aifrtsi c,
the Arts and Ideas ( Chicag-0: Un.j,rersity of Ch1cttgo Press, 1967 ), Chapter :i.
Material corn dirc1tos autorais
EXPLAlNING
A. B.
Exac11ple 7 s
The only anal ytic problen1 tl1at arises it1 connection \vith cl1is exarnple
is that of luera,tchic eqt1ivalence: is tli.e n1otio11 f ollo\11it1g t11e B ir1 ir1.easttre 3
linear or tria.dic? In 01)' judgment, it sl1ould be anal yz.ed as both. Tl1e tones
on the primary and secondary ac.c.-ents- the B,. G, and E-are strucn1rally
n1ore in1portant than the A and FI v;
1
l1ich con1e on \Veale b,eats.. On the
orher l1a11d, the i1iitial octave gap is so scrongly i111plicative of corr1pletioc1
that the fill n(.>tes acqt1ire a11 importa11ce '\Vhich they \\tould nor otl1en:\'ise
f1a,re. fviore i1nporra11t still, the preceding linear motion tends t<)
s'hape our understandll1g of later events; it leads us to hear the conj u11ct rno-
tion as a conti11Lting patter.11. Consequer1cly, the conjt1ncr of the pattern
seems a sacisfactOr}" realization of the in1plieittions generated by the ante-
cedet1t gap.
Because ic is a single e,1ent "vitl1out n1arlced inter11,al aroculation, this
gap (E-E) :is ancillar}f: thot1gh it generates and gives direc.'tion to tl1e follo,v-
u1g C011jt1nct .motion, the ' 'real>' n1elody is Utld:erstood to be cl1e co11seql1e11t
d.esceI1ding patcer11. G:aps can be even 111ore clearly ancillar}r than this-
empha.sizing the probable di:rectiot1 of but not really bec<>n1ing part
of the esser1tial patterning. 1"'his is tl1e case, for instance, tvit11 tl1e octave
llJ)bettt to rhe melody of C11opi11's Prelude i11 E Mi11or;, Opus 28 No. 4, the
first n1easUies of wl1icl1 are gi,1en i11 7 5 B. As the abst1action give11
abo,re the example tl1e melodic motion co11sisrs of a. conjunc.-r
descent, by repetition a11d di,rersior1
1
fro111 B ro E. In addicio11 to
empli.asizi11g the direction of rnotio11, the gap sen
1
es co define the basic area
of melodic activit)r. Partl)r for this reason and partly because of the re-
strai11ed .n1otio11 of the melody itself, the stretto marl<ed b)r Chopin in measures
16 and 17 is felt to be a ' rbu.rsting our'
1
-a gesrure releasing pre\
1
iot1sly t1er1t-
up tet1Sion. That the is a11cillary is shown it1 tl1e fact tl1at tl1e accorn-
t)anime11t do,es not begin until the do.wnbeat.
a ga1) is i1nciUary or is part of tl1e 111aiii n1clodic m<:ltion de-
Material corn d1re1tos autorais
MELODIC STRUCTURES
pends, thet-i, upon \vh.ether itS r:ones are structural. This distu1ction can be
made clear by comparing rvvo menuetto melodies by wlozart both of \hlch
begin with. triadic gaps. 1"he gi\1en in Chapt er 4, Exa1nple 56t is from
the Flt1te Quartet in A Major. In tins case, the gap is a.n upbe"3.t 'vl1ich pre-
cedes the first strucrural tone of the 111elody- the high A. The gap is an-
cillary, fo.r our t1nderstar1ding of the structure of the co11junct fill, which
consiscs of an. antecedent a11d a co11seq ue11t phrase, is not depe11dent upo11 tl1e
presence of the gap. Tl1ough the melod)' "''ould m1d()Ubtedly have been
poorer '"'ithout the ga.p-for instance, l1ad. it begun witl1 a cha11ging-note
ll p beat, A- the ance,cedent-consequent structure
nevertheless ha:\re
1nad.e musical ('sense.''
But in the melody of the !\1.enuetto f ro_m cl1e String Quartet in D Nlinor
(K. 42 1), .as Example 76 shov;rs, the ga.p-a D-minor triad-is made up of
structtual tones. Because rl1e descending fill is on th.e same hierarchic level
as the generatic1g gap, and because tl1e repeated A's in 3 act bottl
as the end of tl1e gap patter11 and as the begin11filg of the conjunct motion,,
the g-ap is of the fnndru:ne11ta1 melodic strucn1re. Tl1e conjunct fill does
not form .an independent pattern, understandable in its O'\vn right-as \\ras
the case \vith the from the Flt1te Quartet (also see Example 54).
Once be.gun, tl1e triadic motion is both of its O\Vn continua-
tion to the high A and of descending conjunct fill. The lower A i11 ineasure
1 performs tt'\' O important ftmc'tions. It esrablisl1es tl1e lower .limit .of melodic
a.ctiviry, and thereby makes it probable th.at its octa\re in measure 3 is the
upper li111it a11d., therefore, a relatively stable goal for che triaclic morio11. Also,
it empl1asizes tl1e disjunct char.acter of the higf1er-level triadic piitte.rn (gra,ph
i). Indeed, gaps i1nplying ftlrtl1er mot.io11 occur throughout the inelody: the
A to F in n1easure 1, the l(>w-Jevel triad, D-F-A, fron1 n1e-.dsure 2 ro 3,
and the falling fourths and risi1ig thirds in n1easures 4 and 6.
Because the descending conjunct: motion (gr-aph 1 a.) :is botl1 srrongly
goal-<directed a11d qt1ite regular-ai1d tl1e sense of unifor mity is heigl1rened
by th.e chron1acic bass line-the melody generates cor1Siderable n101nenturn.
F'or this re-aso11 direct 111ocio11 t o the toni.c ' voi1ld :r1ot create satisfactory
clost.ue. T he on-going morion m11st be slo' ed ,down. This, the reversal .in
me-asure 8 does. Wl1en the foregrou11d gap (E to C#) is filled (by D) ; t he
direction of motio11 changes f ron1 des.cending to ascendll1g. This change of
direction is Strengthened b;r the primary patte,rning (graph 1) and the sec-
onda11.r ljne {graph 1) converging ii1 this n1ocion. At rhis pointt too, rh)rtbm
becomes relatively closed: previously the '\\reak heat.s had been highly n1obile;
Material corn dirc1tos autorais
,. ... . t:""',
.. :iii
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....
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but here the eighth-note morio11 ar the bcgi11ning of the 111easure creates a
closed ciactylic grou,p ( J l J J J ) a11d, as a resl1lt, rhythm is consider-
' -- y ../! I
ably less 011-going impJicaci\
1
e. The clos11re of the \vhole part is assured
by the arri al of the implied tonic, by the gap-fill strt1cture
co D) i11 ci1e 1niddle-grou11d r11elody, b. cl-1e 111ocior1 of tl1e tertiary voice
(graph 3) to rl1e tonic, and, finally, by the disj t1oct cade11cial morion of tl1e
bass.
f 11 the preceding exainples, di junctiot1 \\a explicit and ob\rious, and the
in1plicatio11 generated by eacl1 parcerniog ''' ere basically sin1ple. Ho"vever,
a gap consisr.ing of strucruraJ to11es 111a)' lJe embedded i11 conjt1nct fore-
ground i11orion, disjunct parrerns may Le con1plex-impl)ring a number
of co11ti (1uatio11s. St1bject of tt1e D- li11or l?ugt1c from Book II -of tl1e
' i\f ell-Tc.111pcrcd Cla,1ier is a case in i1oint mple 7 7). The sixreenth-l1ote
triplets at ri1e bcgi11r1i11g create foregroL1nd conti1111ity. B11t they are essen-
riall)' orname11t:al ratl1er thar1 structural . s sho\.vn ir1 grapl1 r, there is a
highcr-lc\
1
cl pattern: tl1e eighrl1-11ores on beats 1, 2, a11d 3 are strucrural to11es
ot1tli11i11g tl1c ro1lic D-F-A, a11d tl1e. c are connected b)r foreground
})assit1g-toncs. Tl1e in1portance of tl1ese strttctural cones is due not only ro
'
'
Mater al cor"1 dire tos autora s
lV!ELODlC STRUCTURES
their nJetric position, but to their functio11 in the patter1Un.g: the D is em-
pkasize.d because it is the first 11ote of the :melody; th.e Ft because it begins to
repeat tl1e motive just presented; and the A"' becattSC it ends the triplet motive
and is follo\\
1
ed by the first disjunct mocio11 in the foreground.
Tl1e triadic pattern rrtight seem to lead to rl1e octave, D, on the second
half of f)ett 3. Ho't\rever, thoi1gh the D ni. 1.lks the exte11t of the over-all mo-
tion-the probable area of 111elod.ic activity-it does not follow from or form
part of tl.1e preceding tti.1dic patterr1. Becat1se the 0 , F, and A occur 011 rnaU.1
beats, not on \Veak eighth-notes., tlte D enters at the "'rrong point (too early)
to .fit tl1e triadic patterning on the hierarcluc level on \vhicl1 it was generated.
The A represents tl1e end of tl1e triadic pattern. I ts n1otion is continued. in
the nein: measure "vhen A moves to, G and the11 to F.
10
The co111plecio11 of
this C011jw1ct til l does not occur until the penuJrimate cadence of the fuglte
-f ou.r measures before tl1e end.
Th.e high Dis implied .nor by the tri'ldic n1otion, bt1t by the less patent
gap-fill pattern showx1 in graph 1. This pattern consists of che series of
eightl1-notes "'rhich skip up a fotirth, creating a gap, a:r1d tl1en d.escend a
seco11d- irn.plying funher linear motion. There are three statements of th.e
pattern; eac1'1 begirming on. the last i1ote of the previous tl1at is., D-G-
F, :Unplying continuation .do'vn to E and D; F- Bb- A, implyi11g descending
morion to G, etc.; fina.Jly, in1plying a still m,ore exten-
sive linear fill .. A1:; the conjunct :motion descends from D, and the gaps are
filledt the several lines converge and n1erge into a single r11otion.
,,..., .o:- , -
Example 77
If th.e richness and. complexity of tl1ese i11tertwirring irnplicative suu.c-
rures .is to be perccived
1
the fugue should be performed as ' 'net1trally'' as
possible. For instance, it \Vould be a mistake to rl1irik of tl1e second triplet
10
The last .eighcl1-note, A
1
in 111easure :a is tiot part of this line, but a11 o:pbeat
leading to the statement of tlie answer.
Material corn dirc1tos autorais
L"\PLAIN!NG
as a11 trpbeat to the F, bt1t it also be to tl1inl{ of it as grouped
tl1e preceding tri,plet thereb)r tl1c triadic structure. Because
none ,of the subpa,tterns should be tl1oughr of as t)eing do1ninant, 110 special
artict1lation or pl1rasing is callee! for. Either of tf1e nvo basic lcinds of pattern-
ing embedded i11 this subject .n1ight fonn tl'1e basis of a separate melody,
it is instrl1ctive to see "' J1at happens v.hen t his is the case.
1"be first part of the aria ''Se ,,uol ballarei' frorn Nlozarr,s Le Nozze di
Figaro, like the patterning of Bach)s fugt1e subject sl10'\vn in gra.pl1 1 of Ex-
ample 77, is a triadic gap-fill 1nelody. Tl1e first eight 1neasures :are 1nade up
of rvvo f our"measure phrases related to each other b)r c
1
onf orm.an.ce
7 8) . Tl1ot1gh each contai11s linear rnotio11, tl1c. lnair1 patterni11g is t1neqtu.vocall}r
triadic (see grapl1 1) bec:ause of tl1e pltrase the first begins on
F and moves to A, tl1e secorid begins on. A and rnoves to C, and tl1e tl1ird-
that of the conjunct-fill-begii1s on C. This !ugh-level triadic Strt1cture is
emphasized byt the foregrt1t1nd parter1u11g; lJec'1use the first phrase returns to
F an(l the second to A, rhe major-third relationships ben\
1
een is
aurally explicir. And because tl1e criadic parrernit1g is so strong, the G in
nleasure 3 and tl1e Bb i11 measure 7 are as high-level pass.ing to11es
I";;\tl1er than as srruett1ral ton.es. The triadic, structure of tl1ese first pluases
in1plies linear fill.
The second part ,of tl1e 111elody realizes tl1is it111)lication.. It begins b)'
des,ce.nding conjunctlyt fillu1g the precedit1g gap as far as the G (graph 1 ).
11
Thot1gi1 the descent to G takes only four 01easures-tl1e gap-creating pa,ttern
"'' as twice as long-tl1e filling-in is a satisfactory completion fron1 a 1r1elodic
point of \ri.e\\
1
For nor 011ly is e-ach of t he co11ju11<..'t steps explicitly empha-
sized by rhytl:1m and tl1e articulation of the sequential pattern, bt1t rl1e first
ru10.-beat group in each of these rneasures ( tl1e falli11g third) is related by
conformance to rl1e important pointS of structural arri,ral in measures 4 and 8.
From. a ternporal point of view, 110\.vev,er, che ciescent is too sl1ort. To
bala.i1ce the morphological Iengtl1 of the fust half, four m.ore measures are
needed, B11c ' ve are gi,ren nvice nt1mber. This is r1o t beca.use the text
needs more music-the tvords of meastires 15 and ,16, ''le Sl1.onero, sl>'> are
sin1ply repeated in t be last four me,asures. Rather t t1ese ''extra' , 1neasures are
l l T he third phrase begins \.Vith the sa111e rwo not es, C :111d A, which ended the
second. Ho\vever, though tl:ie inter\ra.I is che sruTie
1
th.e rhythmic placement a.nd func-
tior:1 of the 11otes is differe11t. An end has becon1e a begi11rting. When, as .is the case
here, a single '{idea" is made to do do11ble dut)' d1ere is the plecas\1re of psychic
eco.uomy rner1tioned in 0 1apter 3 (pp. 67f.).
Material corn d1re1tos autorais
I
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Material corn d1ro1tos autor a1s
EXPLAINING IVtUSIC
appropriate because tl1e descending 111otion of measures 9-12 is so }Jate11t and
direct thar a cade11ce af cer 011lv four as is l?i\en in Part B of
. ....
78-\JlOuld have seemed flat an.d unir1teresti1ig, a11d closure 'vould
l1ave bee11 " ' eak and ineffective.
Tl1e last eigl1t 1neasures, \Vhlch fro1J1 011e point of \rie\1,r are little more
than a prolor1gation of the G i11 n1easlU"e I 2, subtl;r combine an intensifica-
cion of implication "'ritt1 a11 equally effective feelitig of closure. The sense of
i11lplication arises nor C) nly because tl1e preceding descent stopped short of
its goal, F, b11t l)f(.'"aUSe t.h.e lo"' er-level echappee figt1re. sho\Vll in g:raph 3,
vvottld, if continued., ha,,e ino,red fron1 G-A t ( F. At1d this possible con-
tit1uation of the set1t1ence i11 r11easures 9- 12 is repeatecily suggested i11 t he
last eigh.t measures. Seco11dly, tl1e sl<ip to C in n1easure 16 and to :B" in measure
1 B te.nds to ma.ke rhese n.otes seen1 i111plic'tl.ti,re and mobile. 1\ s the analysis ii1
grapl1 z sho\.vs, the motion from A to C in1plies F.
Tl:iouglt aurally prorninentt the lugi1 F is m1derstood i1ot as a potential
structural. tone. but as part of the caden.tial process. Here context is crucial.
Becatise it cornes to'\vard tl1e e11d. of a pattern, the F nor only provides
stability cluough octave definition (see Example 78), but is u.11derstood as
part of t he cadeotial pattern-o11e com111on in t he style of Vie1111ese classical
rnusic. For the cadence at the end of the Nlini1etto f ron1 Ha.ydn's
' 'Lot1don'' Symphor1y ( o. .104) (Exarr1ple 58) er11plo)rs almost the same
set of pitch-rime relationships: the tonic, D, ir1 n1easure 44 on a beat,
111ovi11g to the second degree of tl1e scalel E, in measure ;,'f. ], on an accent-
an<i then t o tl1e lo'Vver tonic. Clost1re is also e11hanced by t l1e fact t ha,t, despite
' ' ital difiere11ces in fut1ctio.n, these measures are a kind of rett1m. As i.nd.icared
by the brackets over tl1e exa.tnple tl'tey are tl1e same as, and
melodically similar to, tf1e fust four measures of tl1e melody.
A no11triadic g<1p-.fill patterning-tl1e sltip of a fourth followed by de-
scer1ding 0011junct motiol\ as in z of Lxatllf)le 7 7-is t he for the
openin.g melodic pattern of the song ' 'Das \ IVandern'' :frorn Schubert's Die
sc/Jo1ze Mullerin, Si11ce tl1e s<1rne meloclv is t1sed for a num.ber of different
,
' 'erses, so t hat pros.o<iic patterns vary from one stanza to a11otl1er, the te.ict
can be disregarded for purposes of analysis. And since 0 1Jr concern \vill be
'\vith 111elodjc implicatio11 .ratf1er tl1an \.Vith higl1-le\.rel rhytl1n1 and form,
tile repetition of the first fo,ur meast1res will not be considered. The n1elody
is given in 79.
1-11e first 111elodicall )' generative event is the skip of a. f from F
to Bb. When .1. 4,. follo"1-s
1
contint1ed conju11ct desce11t, fillic1g i11 tl1e 111.issing
Material corn dirc1tos autorais
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Mater al corl" d 1 ~ c tos autora s
EXPLAfNrNG
tone G a11d returning to F, is in1plied (g1aph 3). This patterning is analogous
to tl1e first eigl1tl1-note rnocio11, i11 Bach's fugue subject. Al> i11 tl1e
Bach, this itnplicacion is not re--alized directly. Instead, rJ1e gap pattern is
tli.e A skips ro Eb vvl1icl1 r11oves dov.rn to D. Conrint1ation
C to Bb is i111plied (grapl1 1 ) .. 'fl1e second gap-fill patrern is rnore f<)rcef11lly
i111plicative than rl1e first, borl1 bccat1se tl1e dir1Unished fifti1 (A-Eb) is
l.1arm.onicall)' goal-directed and because the over-all n1otio11 fron1 F to Eb
rna]{es a progressior1 to the tonic, Bb, ' 'ery 1)robable. This motion does fo1-
Jow, as graph 1 indicates. But it: does so only after a dela}r of three eighth-
11otes: tf1e Bb comes O'll tl1e seco11d beat of meast1re 3, ratl1er thar1 ot1 tl1e
second beat of me-asure 2 .
Tl1is delay creates a in \.vhich l1as importat1t consequences
later in the .n1elody, but it need 11<>t hai' e occurred. TJ1e implied Bb r'l1ight
follo,ved directl)r, as sl10\.\' n in E.xample 80. this direct descent to
,,.,,
- 11 -I
Bb taken place, contu1uarion of the lin.e:ar patter11ing would ha,re been prob-
abJe. And .suci1 continuation would 11ave led to the realizatic)n of the fi1st
irnplication ger1en1ted: the Bb A of measttre 1 would have .. n10\red tl1rougi1
GtoF.
' N"l1at is crucial here is the relationshi11 between rh yth111ic structure an.cl
n1elodic p:1tter11ing. As tl1e an}1lyses t111der botl1 these exarn.ples show, the
groupi11g of the seco11d rh)rtl1mic level is an anapest, r + 1 + 2, vvl1ich is
c.ompieted 011 the cl1ird eigh.t'h-note of meast1re 2. In tl1e spurio11s version
(Ex"arr1ple the rhyth111ic closure created by the end-accented anapest is
complemented by partial melodic closure 011 tlie Bb-the i111plied goal of tl1e
secor,1d geT1erative e\rer1t. Bt1t i11 Scht1bert's rnelody rlus is 1xot the case. The
rune is deflected a\:vay f rorn by t'he prolo11gatio11 of tl1e D, "'' lucl1
rnoves tlrr<;ugh the Bb niajor triad to the lo'''er F. In other words, ch;ough
tl1e rhytl1mic grot1p it1 Scht1bert'..s sor1g is closed ir1 111eastire 2.
1
tl'te 1r1elodic
pattern ren1aJns to be completed. 1l1e .res't1lt is rl1ar tl1e 1l1otive (D-C-Bb).
which realizes the im:plica.tior1s noted in graph r, sc>unds both lil<e a11 e11di11g
''tacl<ed on' to t11e first phrase a11d lik.e n beginning of a ne\v event. It
Material corn direitos autorais
MELODIC STRUCTURES
sounds like an e:nding because from a melodic point of view it is related to
and closes the previous phrase. It see1ns like a beginning botl1 because the
rh}rthmic closure in 2 is quite strong and beciuse the two-rneasure
mo.rpl1ological lengtl1s. established rl1e piano introduction a11d the first
phrase suggest th,at a. ne\v unir should begin here.
12
And for of
morphology, this seems abo:rrive: a second meast1re of melody
is \vanted. Inde,ed,, this need is such that , as indicated by the pare11thesis .Ut
E.xai:nple 79
1
one can easily it11agine cl1e pia.110 ecl1oi11g tl1e motive in the
follo\.\>ing measure.
This noncongrt1et1ce o.f .rhjrthm and melody is .. itself implicari,re, as graph
2 indicates. What is implied is a patterning in '"vhicl1 the n1ocion fro111 Eb
to Bb occllrs 'vithout a defieccior1 or break .. In tl1e last t\\
1
0 events o.f
the melody, this implicacio11 is realized: melodic 1notion and rhythmic group-
ing form a single cohe,rent pattern. 1"'he rhythmic grouping potential in
measures 3 and 4-an amphibrach on the first level and. a trochee on the
second-is actualize.d in rneasures I 3 and r 4 (and mea.sures 1 5 and 16), and
the echo potenriaJ ir1 th.e earlier measures is made manifesr in rt1e higher-level
organization. As Schubert,s marking of pia-1iissitno sh.o,vs, measures 1 5 and 1 :6
are an echo of measures 1 3 and 14.
On the highest level, the second part of Schubert's melody {measures
9-16) 11.1oves in t\<\ro-rneasure u11its. As grapl1 4 of Exan1ple 79 sliovvs, botl1
tl1e prinIDY line, D--C, and the secondary line, 'Bb-A, imply Bb as a point
of closure. On a lo\ver }e,rel, the G i11 meaStu-e r o and the F ir1 meastlte 1 i
are reiliz.arioos of the implications. generated by the first melod.ic event of the
song-tl\e gapfill pattern, F-Bb A (graph 3). Because they are g,oal-notes
h11rn1onized as ten1porary tonics ar1d because they occur on a luer:a,rcluc level
eqtnvalent to that of tl1e generatitig eve11t, ti1e G and F are satisfactory reali-
zanons.
But this is not true of the n1ain linear n1otion of rhe second l'an of tl1e
song. Th.e Bb's in measures 14 and 16 are riot on the sa1ne hierarchic level as
the conjurJct n1orio11 fro1n D to C. Nevertheless rl1e melody does achieve
satisfactory closure. This is so for five r11ru11 reasons. First, the ecl10 repetition
ar the end of the song acts as a sign of relaxation and hence of clostire. Sec-
ond, t f1e .restatement of tl1e Bb ernphasizes its functio11 as a goil-tl1ot1gl1 it
does not change its hierarchic level. Ftrrtl1ern1ore, the slcip of a seventh, F to
Eb, represents <.."-Ondensation of tl1e n1elodic n1otion of the first measure,
and measures 1 3 an.d 14 (and their repetition,) are, in like man11er, condeJlS'a-
cions of 111easures 2 ru1d 3. The sense of return thus created enhances tl1e
12 And suc!1 lengtl'is are tlortnative u.1 this st. le.
Material corn d1ro1tos autorais
E'XPLAJNlNG MUSIC
feeling of closure.
13
Fourth,. tl1e harri1oruc 1)rocess-the cycle of fiftl1s pro-
gressio11 begun in n1easure 9-react1es a f till cadence i11 measures 14 and r 6.
A11d, fi1ttilly, the high-level rhyth1nic strt1crtue, i11clt1ding the repetition of
tlte first four measures, is closed, as Exam,ple 81 sho'''S;
. I , ! 4 .,. u 4 ' 'I . I -f 1 o Yt tL ,, 14 14 tt
' i ' - ,, ' ' ' ,, t'
1
,, ' t f ' i
1 5
.
4YJ \Y"C '9e' ,, _ ,...._ --h' 'I f..--: nr- tJ '1t: _t
\, ' ;
F
''""}
z brs I J l z
I \
1 " 0 0 4 s ,I '+'- . -
\\--==;:__- --- ----- 'tr.:! .. . ---.. -'' "'- " __ r/
s a f
Example 81
T11e a11alyses !'>resented in Examples 79 an.d 81 indicate that rhythmic
and n1elodic closure con1plen1e.t1t one a.r1other. The lo\v-le,rel r11elociic sn'Uc-
rure is closed, but tl1e high.est level-the D t c> C rnorion generate<i i.11 the
second part of tl1e SOt1g- is not. C.()nverse:iy, the rhythmic patter11 is closed
end-accer1ted-on the IU.ghe.st level, btlt on lO\\"er levels the last grot1ps
are mobile, et1ding on "''eak pa.rts of the rl1ythmic group. \t"\Ti1en 011e con-
J h h" h h . h . . f '' d .
11
l
sic ers t .e t:e>..i:, w . Jc ' emp asizes t e co.nt1nu.anon o wa11 er1ng,. t.1e
strophjc n.attJ.re of t he song, \\1l1ich must rct11aii1 some'\' hat open to allo"'' for
repetition,, a11d the fa.ct that tlus is tl1e first so11g i11 a cycle- then tl1e la.cl< of
absolute and unequi ocal closure see111s entirely appropriate.
Other points rnerit consideration in co1111eccio11 "'rirh this song. At tlle
outset, two different gai')fill itr1plications generated. The secorld of these
-tb.e co11ju11ct t11oci-011 fro1n Eb to Bb- is realized, after a brief clelay, before
the first cadence. It is proxin1ate. T l1e first generaci\
1
e evet1t is realized re-
n1ocely-in the second half o.f the melody. 'Thtts t he realization of gap-
ge11erated implicarioris 11111}' as was tl1e case v\
1
ith li11ear pa:tter1ungs, be sig-
nificantly delayed. Also, thougli large sl{ips, like octaves ar1d sixtl1s, te:ncl to
be inore forcefully in1plicative than sn1aller ones, even modest disjunctions
may ft111ction as gaps in1plying fill. This is true not o.nly of the fourths '\Vhich
begin tl1e n1elodic pa.tter11ing of ''Das \ anderr1Js; it .is also the case '\.vith
some of the t hirds ir1 the 111.elod1r (Exar11ple 82). For instai1ce, t l1e closure
13
Despit"e cl1e gap of se\' enth, motion b,eyond the is not i111plied. Partly this
is th.e F can be 1.mderstood as mo,ring "harrr1onically .. ro the Bo-as do.n1i.Ila11t
to tonic--mld more importantly because the irnplications generated by a con1patable
earlier even't (in measure I) have alread}' beei1 reaiiied s-atisfacrorily, and, as noted.
abo'ltC (p. c 38) . once a set of it11plicarions ltave heer1 adequately realjz.ed, closure takes
precedence over .implication.
Material corn dirc1tos autorais
MELODIC STRUCTURES
4.
s.
011 the Bb in measure 3 is enl.1anced by rt1e preceding skip of a third from
C to .. /\. As g:rnph i indicates, this is a gap- albeit: an unobtrusive one-wl1ich
the Bb fills. the C merely been repeated as a sixteenth-note, closure
would have been slightly \\reaker. l\Jfore important: ii1 the seco11d half of the
melody, tl'1e descen.ding 1notion Of ttleasure 9 is given i1nperl1s by tl1e skip
from the preceding Bb (grapl-1 3a) .. Similarly", rhe follo"'ing third fro.m A to
C implies motion do\vn to F (graph 3b). rrurdly, the in1plicacions gen:erated
by the opening fourtt1 and those ge11erared in tl1e second half of tl1e melodj"
converge on the G and the F (graph 2 and 3a and b) . Tlus convergence
facilitates the penultimate closme. Fi11ally, despite the dominant sense of
linearity (st1own in graphs 2 and 3), tt1e 111iddleg:round structure is triadic
(graph 4) .
Triadic 11wlodies
Som.e disju.nct interv"ttls-sucl1 as tl1irds> fourths, and are impli-
cative "vithin the style of co11al n1usic, the}
7
are understood as poSr-
sible parts of larger, sy11ractically normative 1>-atter,nings-namely, triads.
111ot1gh tl1ey are unco1nn1011,, otl1er regttlar, disjur1ct IJatterns do oc,cur. For
instarice, in rr1easures 5- 8 of Scl1ubert's Scherzo (Exaxnple fc>.reground
linearity includes a higher-level disj unct motion: the two adjacenr tetra-
cl1ords, Eb-Ab and {see graph 2) . symmetry of the relation-
ship, reinforcing tl1e tendency of the Eb scale to continue itS linear motion,
evidently implies the high Eb. However, beca,use triadic patternings are by
far the most important in generating i111plicacions i11 the repertory of tonal
music, no11triadic disjunctions 'vill not be considered l1ere.
The extent i1nplied triadic morion-\\rl1etl1er a .Pattern will 111ove to
Material corn dirc1tos autorais
LXPl.A,INlNG
the octave abo\re and, if so; vvhether the octave "'' ill be a strucroJal to11e--
depeI1ds upon tl1e parcict1lar structure of the generating ever1r. A pattern
tl1ac begins on the root of a rria.d may continue only to the filth, toucb1ng
the l.lpper e as a ' ay of defir1i11g the area of melodic a,ctivity, but not
as a structu1"'al to11e. This; as \Ve l1ave seen,. is the case in 1\
1
1ozart s aria, ''Se
\ri.101 ballare' ' (Exan1ple 78) . l"'. Ioweve.r, .some triadic rnelodies begin on tl1e
root a11d imply <. -oncinuation beyond tl1e fifth to th.e tipper octave as a struc-
tural ton.e-the 111elody o.f tI1e second n10\1e1nenr of Tele1nannts Suite for
Flute ar1d Strings in A l\tli11or is an example. T o con.sider wh)r the tipper
oct ave is irnplied. as a strtlCtl.ltal tone in Telem.ann's but not in
l\1!ozan's is i1ot onl)
7
ii1srrucrive, but a clear instance of the need for a,t /Joe
explanatio1i.
i\l!ozart>s n1.elody begins with two sirrular phrases: the first on t 11e root
.of the triad, F; t tl:e seconci on tl1.e t lilrd, 1\.. As a rest1lt
1
the tfrird of the tria,d
receives the sa111e emphasis, is on the same strucn1ral level, a.s tl1e root. 1"'i1e
fifth of t he triad, C, is structurally important 11o t only for t11e melodic .rea-
sons co11sidered earlier, but for rl1}rthrnic .ones as ' vell. Because of their filn1-
iliarit}J', the first t\vo phrases are un.derstood as elen1ents il1 a high-level anapest
rhythrn: 4 + 4 + 8 -plus a. four n1easure intern.al eA,'tension. C-0nse-
V "'-' -
' 7 7 - ? __ fl
quently rhe C, \\rl1ich begi11s the ' 'accented>' phrase, ft1nctio11s as the goal of
the preceding 111otio11. Because each ele111et1r in rl1e triadic r11otio11 is stable,
with C (in n1easure 8) as a point .of closure, cootit1l1aciot1 to the octave as a
strU(.'tl1ral tone is r1o t strongly irntllied.
In Tele111a1m's n1eloclyt on t he other ha11d, the tor1es of the triad. are not
structurally equal (Exami)lc 83) . Ti1e .root (i\ ) tl1e fi:fth (E) \ Jt
1
tuch
come on .Prir11ary a.re on a higl1er leve] than the third (C) . As the
proximat e goal of both lit1ea.r and triadic patterns, and the acce.nted fifth
of tl1e scale, cl1e E is pote11t'ially stable. Bt1t tl1is potential is ciimirristled l)y
three circun1Stances. First, because it is rhyt'h111ically iln(i is x1ot articu-
la.ted as a separable patternii'lg, tl1e C is mobile much more so th.a11 the third
in Iozarr's rnelod)r. Si11ce soine of tfus 111obility is, so to speal<, carried over
to the E., ch ere is a tendetl.C)T for tl\e triad to be cor1tint1ed. Secon.d, i11stead
of closi11g an. end-accented rhyth1n_ic group or beginning a\ ne\v e\.rent, the
E 1noves 011 to a weal< 0 11 the lo\\' A. The stabili ty of tl1e E is so redt1ced
t hat there is a strong possibiliry of cortti11uatior1. 11d third, the Strt1cn1ral
in1porta.nce of the. root and fif tl1 emphasize the pentachordal relationships
in,1plicit in the root-position triad, tnaking ir proba.ble t11at the tipper tetrci-
Material corn direitos autorais
'
' '
' ~
.J,
'
M
-
'
..
-
..
...
I
-
I
,,
" I
t-
'
9'\
w..
,..
-
I
. I
.
. I
I I
I
..
t-H.I .
' .....
H.1.1
....
!..LJ
u_ _
.
J.
tl
. ~
..
...
-
-
-
.,
- ~
, .....
@ i ~
LI
~
- .
~
. ' '
-
(9 .. ..
4
~
t
l
"
-
. ..
~ ~
> )
~
I
I
,_
I
-
I
e
. I ...
...._,
' l
I
.;. to(
J
'
Material corn d1ro1tos autor a1s
i6o EA.'PL1\INING 1\tiUSIC
chord will lJe c<>n1pleted. For ail tl1ese re'lls-Ons, continuation to tl1e high A
is Strongly in1plied.
The high A is noc) holrvever. realizeti in the first part of tl1e move1nent.
l t1stead, t he moric>n to the lo'\ver ro1uc., iruciaci11g a series of gaps of "vhicli
the SL"!tl1, is t:l1e most tl1e r11otio11 do,Jimv\.ra.rd
(graph 2) . This, together ' :vith t he te11sio11 created by rl1e internal extensiont
leads co co11j t111cr r11otio11 a11d closure on tl1e lovv .. /\.. The high A is realizecl
01lly ren1otely- "1l1e11 tl1e n1elody is restated at ct1e er1d of t11e movement. As
in i\i1ozart 's r11elody, the arrival rlf the octave contribta. res to tt1e sense of
closure .. The realization of tl1e preitio11Sly impliecl A is marked' melotiically
b}' the disjunct n1oriot1 ,;vhicl1 surrottnds it. Rl1ychmicall)r it is emphasized
because it is both tl1e l)egir1ni11g and e11d of ai1 u11equivocal e11d-accented
g.roup.
11
Both Mozart
1
s melod)r at1d Telen1a11n's reacl1 the octave abo\re the first
suu.ctw'al tone .. Bue c:llis is n.ot: alwa;
1
s the case \Vith triadic patten1s,.._even
those that begli1 ';\rith the root, The n1ai11 melod)r of Sn1etana's J7Jtava (The
(Exarnple 84), for insta,nce, is similar in a n11mt)er of ways to t he
one from Telemann's Suit:e. T11e first structural note, tl1e t:otuc, is follO\\red
by cor1jt111ct foregr<Jund n1otio11 to tl1e fiftl1. nd on tl1e sec-011d the
,pattern is triadic. But conrinttacio11 to th.e upper to11ic is not
,..,... c1111"0>.o I'_,, .....
,..... <.
. .6) .
. '
-
r-t Telenlalln's melody is si11illar, at least in general inoriont to the folk fror11
Bart:ok>s Fifth St'rin,g Quartet (Example 59). In t11e Qua:rtet., the 111,elody is repeated
beginning on the higl1 A of meas11re 1 ; - and agilin beginning OL1 Bb. In this final
statement, B:artok taltes care co arti<..ulate t l1e leading-tone to tonic so tl1at
clear closure is assurecl.
111
lt1 all these cases the n1atte.r is one of relative probability. It is more probable
tha,t Tele1na,nn
1
s n1elod)
1
will rnove to tl1e upper conic tl1atl. that S111eta.n-a's \WL But
Sn1emn3's r11elocJy might ha\-'e done oo anyway. I-lad this been the <..-ase, our undet-
smnding .of the earlier events w.ou.ld be cl1ar1ged i.n retrosr>ect. Our understanding ,of
t!1e begh1ning of the Telen1ann tune is also changed in retrospect w.hen the implied
high A is ren.liz:ed. For the
Tl1e E is equ.i'i
1
ocal. On the orie ha11d, the linear n1otion leading to it iin.plies
cor1tinuscion, and, after an occave transfer, a11d conjunct foreground morion. foUo,1ir.
T he chron1acicism Jntent in tllis relationship ( and eA'Plicit i .11 meas1tre 7) has COll-
requer1ces later io the rnoven1ent. On tile otlier h<tr1d, tl1e in1pressio11 tiu1t :E ls tfie
.le1tding tone of a doirnnanr ( V / \ T) suggem that it ' vill \IP to F-as it
does f)to,risionally throl.tgh th.e at tlie begiru1ing of rcneasure 5. Tltis possibil-
ity, c:oo, pla)' S a part it1 ru.bsequent ever1cs.
Material corn d1re1tos autorais
MELODIC ST:RUCI."URES
as the consequent phrase begins, but in tl1e
See Chapter IV, Exa111ples 50 and 53; a11d Cl1a pter V) &-:t111ples 66, 95
1
and
100-101.
'
'
Material corn direitos autorais
.MELODIC STRUCTURES
197
The Burlesca from Bach''s Partita No. 3 for Harpsichord contains a
clear exan1ple of a series. of potential structural tones (Example 105),. The
of the soprano voice, 'before the cadence that closes tl1e first part o.f
the movement, is a bilev'el structure. The primary level consists of a conjunct
pattern 111oving from C through D to E (graph z) . This pattern is embel-
lished by a subsidiary line o.f potential tones a sixth above. The A and B in.
n1easures 1 o and 1 2 are aurally promine11t but are strticturally unimportant
we;akbears (graph 1). Continuation ro C is implied not only because tl1e
secondary level is itself a clearly patterned conjunct motion, l>t1t because it
parallels the primary line. Consequentljr, '"'hen the E occurs in n1ea.sitre t J;
irs sll.rth, C, is itnplied. Instead of coming on tl1e third beat of measure 14
(the previous merric position of the secondary li11e) > the C comes on the a.c-
ceot. It is a structural tone, a.ctualizing the i1nplications latent in tl1e preced-
ing series of pote11tial tones. Botl1 for this reason, and because it is an octave
above the C in measure 9 'vhich began the melodic process, the C in
measure 14 is an important goal.
Indeed, the rising line of eighth-notes in measure r 3 st1ggests the C as
the goal of the primary level of p.atter1ung also. Bt1t this .is n:0t tl1e case.
The implicative relationships are more complex. In the first place, the pat-
terning of the prin:mry level of "morio11 has bee11 .in nvo-measure units; a11d
the eightl1-note ''continuation'' is obviously on a much lower level. If the
hierarchic levels are. kept straight, th.e n1otion from E to C .must be analyzed
.as and tl1e C \Vould not be a goal
1
, buc part of an implicative gap
of a inino.r sixth. Tl1ough tlris relationship ut1doubtedly l1elps to define the
F -
... - -
r S, E
E.xample 1o5
42 Tha:t b.oth Cs are hart.nonized b}' sub-dominant chords in root po.si.t.io11 eot-
phasizes this relationship.
Material corn d1roitos autorais
E.."\PLAINING MUSIC
direction of motion in measures r4 and r 5, the reinforced hy its
rence in. the alto voice, continues in rl'1e aural imagination of the lister1er and,
picl{ed. up in meastue :c 5, moves ro and then baclc to E in n1easure 16.
111 other \vords, E is, and rernains, the rnain nlelodic goal because its occur-
rence i11 measure, 1 3 is u11sarisfactory- prirnarily for har111c>nic re11sons: it is
accon1parued by iUl u11sc1ble, first-inversion triad, and tl1e tr:tad itself is part
of a uniform chromatic bass-lin.e "vJ1ich lacl\:s sy11tactic articulation.
vVhlle the n1-0tion of the primary level is thus suspencled, a degree of
bilevel patterrili1g 11evertl1eless co11tinues. For the desce11diJ:1g, C0[1junct
motion from C to E also contaj115 a subsidiary le,rel (graph 3), thol1gh one
tl1at is n1ucl1 les-s obtrusive rl1an. that cre.ated by the line of potential strt1ctt1ral
tones. And tJ1is subsidiary, perhaps rertiar}r level., seert1s ro derive in :part fro111
the risi11g eightl1-notes in 1 3.
43
As the an.al)rsis inclica.tes, all tl1ese
levels co11verge to the E "vhich closes thls part of the Bttrlesct.
Though the actt1alization of potential srrucrt1ral tones is, as a rule,
proxit11ate, it n1ay be remore--it nlay tal{e place after the closure of tl1e
main n1elodic pattern. Sucl1 reinore actualization occurs in the Min11etro
inovement of Haydn's ''London' , Sy1nphony (No. 104) (:Exa111ple ro6).
Consequently, co explain ho'\.v the li11plications generated by the potential
sm.1cn1ral t ones are actualized, lat:!r parts of the movement, as \Veil as the
opening melody, muSt be considered.
Tiie main n1elody, whicl1 opens the moverr1er1t, is an ir1teriesting mixrure
o,f different ki11ds of structu.ral relationslups. The first pllrase is essentially
axial- ai1 A en.1bellished by neighbor-notes \.Vhicb are stressed by sforzandi
(graph .2) .'" The :first nvo neighbor-11otes, tl1ough stressed, ate not melodi-
cally pr.01nit1ent, 'bttt tlle tl1ird
1
D, is-eve11 thot1gl1 it is cot1:nected throt1gl1
the B. to tl1e axial A. For not only is it separated from the axial tone by dis
jun ct motion, bt1t it is borl1 the upper to1uc to which the fifth., might
11a\r.e n1oved, and it: is an octave above the upbeat which begins the melody.
Because ar the same time it is also rhytl1mically t1nstable a11d . Strltcturally
weal;:, the D is <l pote11tial structural ton.e (graph l ).
its melodic position and rhythmic fu11ction is like rt1at of the
D, in retrospect tl1e B in. measure :r seems possibly to l1itve l)een 111ore than a
mere embellishrnent. And this possibility is given support b)r tl1e relationship
'
1
8 It is related by confo.rma11ce t<l the previous si.1{tee11th-nore figures.
44
The role of t:he sforzatul.i i11 the articttl."J.tion of rhythmic g:rol1ps is discussed in
Grosvenor '\.V. Cooper and Leonard B. Tl:Je Rhytl:tntic St-ructzlre of fi,111.sic
(Chicago: University of Chicago Press. i960) , pp. 16 and 140- 141.
Material corn d1roitos autorais
MELODIC STR:UCTUR'&S
between these pitches in meaSt1re 3. But the functiot1 of the B as a potential
structural tone is not t1neqruvocal and explicit until m,easure 6. There, though
it rernains rl1ytl1mically unstable a11d structurally " 'eak, it is n1elodicall)l"
prominent (graph 1 a.), for it is both stressed by a sforza':tzdo (relating it to
the earlier D) and above and separate<Ci fr:om the n1ain conjunct patterning
of the melody.
Th.e B is also important because it Stre11gthens tl1e Closure of the first
part of th.e Let us consider why. The axial A is impljcative not
only because for tonal reasons the fifth of the scale rends to move to\vard
the tonic, but also because it is preceded by an auxiliary gap-the u.p'beat
from D. After a ren.e\val of th.e gap at the beginning of the second phrase,
tb.e implied fill is realized f)y desce11dll1g conjunct motion to the Din
8 (grapl1 3). The re-alizatio11, hovle\rer, is so regi1lar and ''easy', that a. reversal
is needed to articulate satisfactory closure. The slcip from B down to Ci
does this; by creating a n1arlced gap, it implies conjunct motion in tl1e op-
posite direcrion-at1d it is follo\l"ed by rising motion to the ronic, D.
The B is also in1portant, and her1'ce en1phasized, rhythmically. For
though the last grot1p in tl1e fust section, lil{e the preceding ones, is an
an1p'hib:racb, it is twice as long as the others. As a rem:tlt, the sec-011d plirase
is an end-accented anapest (level 2
1
in tl1e analysis under tl1e exam.ple),
and the \Vhole melody is an end-accented iamb (Je,rel 3). The melody is
closed rhythmically as "'"ell as melodicall}'
f'll>-.(P$1J . .Ju.Si-.1.ST Ct-<>
' ' . ' ' ,.,... , -------
p .;17 ... t<'r
-1 3 2 Si .. >a- .... R-.- .i..:..- _ .. _} =
'
a.f-l r, .ti 1T, .9 r,
f ... \ ,-,
Material corn d1roitos autorais
lOO E;.."t,PLAINING MUSIC
Yet closrue is by no means definitive. Most important, there has been
no tonal deparrure and onl)r minimal structural tension in relation to \vhici1
return a11d stability \:\
1
ouJd create strong clostire. But tl1e1e are other
reasons as \.vell, and tl1ese are eff eccive precisely because no higl1-level
processes have been generated. The first is a matter of l1ierarchic equiva-
ler1ce. T.he established unjr c>f melodic-rltytlunic morion in the fi rst six mea-
sures is three quarter-notes long. Bur the Fl i.n meastue 5 is only a qt1arter-
note; it is not a structural 'tone on this le,1el of n1otion. Consequentl)r, the
conjunct fill implied by tl1e initial g-ap is only proc1.risionally :realized. 111-
decd, tlus aspect of the patte.rning of the seco11,d. phras.e it11plies, not the D
\Vhicl1 follo\\1S, bt1t continuatio11 to A- \vhich proves to t)e the first s.trt1ctural
note after t he double bar (graph 4) . Not u.ntil after the 1nelody is repeated in
rhe se'cond pare of the 1noverr1ent-as the reader vvill discover if he tur11s
back to Example 58- does the Fl occur as a structural tone. There th.e
ter11 is so strilcing and the octave displacement so clear that the change in
register does not obscure tl1e realizatio11 of irnpl.ications: the conjunct
motion fron1 G to F# in 111easi1r es 41 and 42, and from E to D from mea.o<rure
48 to 4.9 is both a.nd l1ierarchically satisfa.ctory .
. A11otl1er reason vvhy closure is not definitive, and our main concern
here, .is tl1at the potential structural tones remai11 to be actualized. TI1ey are
so-=or at least }Jartly so-at the beginnit1g of the secon<l part of the form.
The triadic upbeat \:t1l1ich begins this pa_rt of the movement do,es t\\ro things:
it leads to the A i111plied by the motion of tl1e second phrase of the melody
(graph 4); ai1d it implies conti11uarion to a strucrural D in a higher oct-ave
- as did the upbeat 'which begins the r11oveme11t. The A is realized im-
n1edUitely, and the B and D f ollo'\v v\ritho\lt delay. Thougl1 the B occurs in
n1easure 1 8, tl1e potential tone in1plied earlier is realri:ed in measure 20 (gn1ph
1a), where the B comes in the proper regisrer, as the goal .of a cad.encial
progression (V / VI- ' 1), a11d as tl1e final note of an end-accented rhythmic
group. The D occurs as an accented note in t,he prnper register in meaSt1re
11 (graph r). Bur as the se,1entl1 of a secondary clonunant ( \ T
7
/V) ., rather
than the ro-or of a, to11ic cllord, it lacks stabilitv. It is only a provisional ac-
..
tualization.
The stability o.f the D is also weak.ened by tl1e tem,poral
The .D is not the goal of a closed, end-accenred group, hecat1se repetition
preclt1des the possibility of unequivocal patterning. All that remains is
n1eter, and even that is threatened. For " ' hi1e tl1e r epeated are still
swnably grouped in th;rees, tl1e accompaniment, indicated by the s-ketch
t1uder t he staff, is in rnTos.
Material corn d1roitos autorais
M.ELODIC STRUCfURES 20 .I
The kind of implicative relationship inv,olved here is 11ot, strictly speak-
ing, an aspect of melody: it is wh.at I have called. tl1e "'reakening Ot shape."
5
Not only is the metric orgmlizacion weakene'l by tlie cross meter; but
n'ldodic patterning disappears it1 the succ,ession of repeated D's. The lack of
distinct and regular I)attenling creates a sense of tensioi1 a.nd t1ncertainty, it-
self implicative of a, return to the ?>)"'Chic security of stable, unambiguous
shapes.
46
Tl1e .in1plications of the D, provisionally acrualized in measure 11, are
more than regen.erated \vhen the melody is re1Jeated in the second part
of the Minuetto. For there the D's are, if ru-1yrhir1g, both more pro1nineot
and less Structurally important than in the original stateme.nt of the melody.
But tl1e function of the D as a poten
1
tial saucttiral rone is even n'lore striking
in meas.ures 42 and 44 (Example 58). In both measures, the Dis marke-dly
separated from the main melodic n1otion, and in tlle second, it is followed
by a. grruid pat1se left \vithout immediate continuation. 1ts contintiation and
itS actualizarion-and that of all me preceding Potentially s.trucn1ral os--
0
-
takes place at the very end of :the movernent, \vl1en the final D occurs as
the goal Of an rhytl1m, with tonic har:m.ony, and, in the right
register.
47
Th:0ugh poten,tial rhytl11ns are consider1\bly less common t:han
tial structural tones, the last of this same Ha}rdn Syn1phooy con-
t-ains a clear exan1ple of this kii1d of implicative process. It occu.rs in the pas-
sage wluch begins in measure 1 9, f (lllo,ving the second statement of the
main melody of the movement (Exan1ple 107). The melodic-rhyrhrnic pat-
cern of the passage is derived from the penultimate n1casure of the n1elody
(measure 17 ) . The second. half of that 1neasure (the E) acts as a pivot linki11g
it to measttre r 8. It also groups \\ti.th the precedirig A for both harn1onic
and rl1ythmic reasons: harr11onically, because rl1e E and A belong to and
are harmonized by the same triad; rhyth111ically, becat1se the trochaic group-
ing established io the first t\vo ,measiires of tl'1e phrase tend to be co11tint1ed.
(level I). The E and F# a.re also .grouped ' vith the following downbeat both
because of their melodic proximity to the D, and because the inore rapid
morion of the final eighth-notes malce both tl1e subprimary (i) and primary
level { 1 ) trochees mobile and a11acrustic.
'*
5
See E1notion a:rz4 Meani;ng in MtJSic, Chapter 5.
40
Harrnony wh.ich is patently pattenl.ed i.o; specifiailly nnd it gives
direction to the implications generated hy the
3) But the D implied by the coda figure is not. For to realize the
in1plications generated by that pattern satisfactorily, the D must occut in
the proper register (which it does not do in the sequences),. be the resolu-
tion of dominant harmony (witl1 root progression in the come on an
accent, a11d, ideally, follo.w the generating figure directly. These conditions
occur twice in the coda. Following t he stateinent: of the theme \vhicl1 'begins
in measure 301, the coda figure moves conjunc..--tly from A ro high G, as
shown in the sketch. at the end of Example 125A. That this is a version of
the coda figure is clear not only from its relationship to the opening motives
and its own melodic p.attern, but from the harmony and bass motion.
Nevertheless, the :realization leaves something to be desired, partly be-
cause the clipped ehords associated with the figirre nave been replaced by
a s-moother,. more co11tinuous succession of iJitches. Mostly, however, because
the D occurs within a larger n1otion, the f acr of arrival and realization lacks
appropr iate emphasis. The D is, however, appropriately conspicuous and
emphatic wh.en it occurs as part of the final cad.ence of tl1e movement (Ex'"
a:mple I 16). For it is the goal and end of the quarter-note rhythm of the
coda :figur,e and of the sL\.'teenth-11ote morion of the bass. And in these cho1:ds,
Material corn d1roitos autorais
226
too, the .potential inherent in tl1e cl1aractex of tl1e gestt1re is unequi,vocally
actualized.
.._ ........
Exa.1nple 116
I c:onclt1de tl1is section witl1 a. final exan11>le, a question, a11d an obs.er-
\raaon.
Tl1e exa11't.Ple, from tl1e beginnil'1g of the tta1lSition passage fro.n1 the Haycln
Qttartet move1nent quoted earlier (Exan1ple 12 1 A), is:
Rumple r27
Tl'Je qzJ.estio1t: If seetho,ren's music can be characterized as original, \Vhat is
the basis for this qt1a1ity?
T l'e (J.bservation: Given the pre,ra1ence and central importance of arcl1erypal
sc.hemata in tonal music, originality in musical art,. at least until recently,
corlSisted not i11 the i11\1e11tion of novel means and syntactic relationships,
bl1t it1 t he inventive use of established relatio.nships and shared conventions.
PROLONGATIO
Not all 111elodic relationships a.re implicative. Most notlimplicative events
vv.f1at are cor11monly called prolongations .. There are in1portant differ-
e11ces atnong kinds of though tl1e;r are of te11 treated as a
single, mo1101ithic class. Some prolongations cor1tah1 clearl)' .defi11ed implica-
tiv.e processes; others do not. Some are implicative rhythmically or har1110ni-
cally, but not melodically. Some serve to create balanced m'.orphological
le11gths; others stretch establisl1ed ler1gths and rl1creby heigl1ten the effective-
Material corn direitos autorais
MELODIC STRUCTURES
ness of in1plicarions already generated. prolongations are related to
preceding evenrs by confor,mance, but sorne-fo:r instance, wha:t \Vill be
caUed parentheses are not. The discussion is an attempt to dis-
tinguish a few broa,d subclasses.
Declarative prolongatibns
'The basic n1orive or thema.tic id.ea of a rnelody or composition may it-
self be a prolongation. The first four measures of the first prelude in Book I of
the Well-Ten1pered Clavier, for instance, are a prolongation of a tonic----C
Major-triad (Example 128A) . Be.ca.use th,e melody begins on the tllird,
111otion to tlle tonic is probable. But this implied tonal motion is c1ot rein-
orce.d by the pat-terning of the parameters. T .he seco11d an.d third
imply closure and return, rather ' tllan a.nd mobility. Melod-
ically, the F's in measures 2 and 3 function as the upper neighbor of E.
Harmonically, the :progression is e:adential, For this reason,
rhythm appears to be on the phrase-level. In short, these mea-
sures are understood to be a sr-able, closed shape a statement of motivic
materials, texture, and tonal center.. The implicative ,processes which shape
the morion of the Prelude are not generated u11til n1easure 5.
I ; ,
1
:rzt
; I
,
\ !!! I , ...,
3 _ -12 Ji fJ J_IJ -
- - _,.
' .
\ 7 7
2
Example 128
Tl1e first theme of Beethoven's rhird Sympho11}' is esser1cially a stable,
anal melody (Example I i8B). Eb is I>rolonge.d, anci the <lther notes of the
triad revolve aroun.d it. Because the Bb inlplied by the initial third (Eb-G)
is realized \Vithin the n1elody {tl'ie third beat of n1easure 5), i1r1plicatio11 is
internal. The tendency of the triad in measure 5 to be oontin.ued is not
Material corn d1roitos autorais
.EXPLAINING MUSIC
strong: not only is Bb the relatively stable fifth of the tria.d and the goal Of
the patterning in measure 3, bur it is defined as the probable upper li1nit of
melodic activity by the Bb in measu_re 4. RhythmJcall.)r, ho\vever, the
theme .is open and mobile., as the analysis under the example shoV\rs. Ne\.
1
er-
th.eless, like the Bacl1 this tl1em.e is i1nderstood prin1arily as a
statement of the main ''scuff'' of the con1position, rather tl1an as a patter11
generative of specific implications. It is a declarative prolongation.
Although they are not specifically implica.rive, declarative prolonga-
tions usually nave an aura Of latency about them-if only because th.e}'
are t)eginning e.vents, and \Ve believe there \.vill be n1ore m11sic. This feeling
Of anticipatory tension is specially strong when tl1e declarati,re event does
not itSelf c<Jntain strong internal processes: wi1eL1 l1am1onic, rhythmic, a11d
melodic relationships do not articulate marked closure. Partly for this rea-
son, Beethoven's theme seems so much more fratight with potential than
does B,ach's.
Because the music 've are concern.ed with is iuerarchic, wh.at is im-
plicative on one level n1a.y be a Stable prolongation on tl1e nexr-and vice
versa. Though implicative processes are generated within it, a whole melody
11tay be consi,dered a prolongation--an essentially formal entity-if it is a
oompletet clo.sed and sta'ble shape. Si11ce our ir1terest l1as been il1 implica-
tion, few such melodies have been considered: probably the melody from
Smecana,s Vltarua (The Mold.au; Example 84) o.r the one fron1 lV!nltler's
Fourth Symphony (Ex.an1ple 88) are the clearest cases of si1ch declarative
prolo11gations. Finally, 1nany, but not al] melociies which are the basis for
theme-and-variations movernents are also examples of co1nplete, stable events.
Norrnalizi11g prolo1tgatio11s
Prolongations frequently occur in conju.n.ction with implicative pro-
cesses. \ he11 this is. the case they rna.y perf or1n a n.u111ber of some\vhat
different functions. One of these is to m.ake the phrase or period fit with a
previously established or stylistically normal t11orphological lengtl1. Often
the normalization. Of lengtl1 is achieved through simple repetition.
The r11elody of the second movement of Schubert's Trio in Bb 1\llajor,
Opus 99t is an antecedent-consequent structure, though the co.nseqr1ent
phrase is measures longer than the autecedet1t I 29) . The
fust phrase begins on tl1e third, G (rrieasure 3 ), ai1d frorr1 a t o11al point of
view, 1notio11 to the tonic is probable. Nlelodic patterning begins with con-
junct descending motion which also implies continuation to Eb (graph 2).
Material corn dirc1tos autorais
MELODIC STRUCTURES
Tlus implication is reinforce.d '\\'hen, after a. gap of a third" the melody again
descends conjunctly, fron1 Ab to G i11 ineasure 4, and then con,tinnes to F
in 1neasure 5 (graph 2a) . At the sa.me rime, the second level pattern from
G to Ab implies) and moves to, Bb, the rela.tively stable fifrh of the scale
(grap'h I ) .
The foreground patterrring of the melody is partially closed at the en.d
of measure 5. Harmonically, the progression from I to V is a semicadence.
Rhytlunically, tl1e change from shorter to longer note ,,a.Jues--:from a six-
teenth-note to an eighth, .a.nd from eighth to quarter-note-creates a clearly
closed, trochaic groi1ping on lov.
1
er .levels. i\1elodically, t he G .and F c.onsti-
tute a return to the opening pitcl1es, and the sense of closure is enhanced by
the gap from Eb to G, wlucl1 is filled by the F.
1 .
~ 'A . I
""--------' , ,-r r , :.t,....-'""'
- __ __, ' _ r ! ~ f \ 2 I , , .,; ____ _. - - - - ~
Exan1ple 129
But inore n1usic is needed. T\vo..-measure lengths have been established
as the norm-in the melody itself. and in the introdu.ctory measures as well.
The varied repetition in measur,e 6 does not change or even noticeably .re-
inforce implicarion.
68
Rather, rhe sixth n1ea:sure serves to create a n-0rmal,
regular phrase le:ngth. This is w instance of the bifurcation of form and pro-
Cess disct1sse.d at the end of Chapter IV. Here, as in the Dumka from Dvofak's
Piano Quint.et (Example 57), process reaches closure before morphological
lengr:h is corn1'>lece. The norm.alizing prolongation completes the morpholog-
ical le11gth.
The construction of the second phrase is similar to that of the first. Like
measure 6., measure 1 o is a normalizing prolortgacioo. But th.e:re are interest-
ing differences. Tl1e implication of descending motion is somewhat stronger
08 ft does:, however, emphasize closure bjr so1newbat intensifying the rhythmic
motion towatd G, and by suggesting m.ore con1plete linear p11tterning, Bb-A-G,
down ro F.
Material corn d1roitos autorais
230
:EXPLAINING MUSIC
at the beginnir1g of the co:nsequet1t phrase because the gap fror11 F to Bb is
larger t11an the cor:responding gap frorn F to Ab i.c1 tl1e first plirase, an<l be-
the Bb functions like an ap:poggiatura. 011 the other hand, che low-level
patterning at tile enci of the phrase (n1easures 9 an<.i 10) does not imply
direcr conjunct motion to the tonic,. as the G-F inocion at the e11d of t11e
first phrt1se did. Instead, tl1e melody descends to Bb wl1ich defines the area
of n1elodic aetivit y and rl1ereby Stabilizes the upper fiftl1 makin.g linear or
triadic contin11atio11 a.ho\,'e it less lil<ely, and in1plies disjunct motion to the
tonic (graph 3).
6
lJ As a rest1lt,. F is delayecl, and so is rl1e closure o.f the phrase.
Because th.e 111elody fails to reach tl1e t o 11ic in. 111easi1re 1 o, t\,VO cadential
measures are necessary. I11 tlle.se, tl1e several strands of nlelodic pt,itrerni11g,
indicated in the analytic gra1>l1s, converge to the Eb.
To balance ri1e le11,gth of tl1e conseqt1ent phrase, Schubert
begins the m.ove1nent \.Vith a t\vo-n1ea.si1re introdl1ct:ion. T l1ese n1CaSl_1res
might be regarded as a kind of 11or111alizing prolor1gatio11 /;ef ore the pl1irase.
I-lowever, they are obviousl)r a grou11d-a11 arct1etypal accompani-
ment figu.re:, rather than a well-patterned melod)' t he rneasures are
rive. expect that a srrot1gly shaped melody "'rill be presented si1ortly.
Though the regi:Uar.ity of the rt1ythm ancl the siznplicity of the harmony,
dynarr1ics, and tempo suggest that wl1at f(Jllows will be lyrical, '\\"'C l1a,re 110
way of knowing vvhat the rnelody will be. lnlplicarion is not specific.
That this i11ttoduction is in1plicative it1dicates that the effect 0 a
prolongation depends in part upo11 \Vhere it occurs in a n1elody.
When it occurs. at: tl1e end of pl1ras-e, as in n1eastire 6 and i o of Scht1berr,s
melody, a prolongation \iv:ill i1ot as a rule be impl:icati,,.e. But vvhen it occurs
at the beginning or in rhe t11idtile of a phrase, it ' vill tend to be so-cl1011gh.
perhaps for rhythn1ic rather than melodic reasons.
The melody 'vhich begins the second r110,1er11ent of Nlo1iart,s String
Quartet in. D 1\1ajor (1(. s 7 5) illiistra.tes this point (Exan1ple 1 30) . Like the
melod}r of Schubert's Trio, it consists of an antecedent a11d a consequent
phrase, each divided into t\VO parts. The implicative relationships \vithin the
antecedent phrase merit attention- both becaL1se tl1e effect of the prolong'a-
tion (.i.epends in part upot1 then1 and because t11ey are of interest in their
o \:vtl r.igl1t.
09
Because it is conspicuous tl1rougl1 it.s abser1cet D is implied as a probable goat.
The sltip from Bf> to Eb in measure l t in particular implies D as a fill. And the
n1clod}' is .repeated, the D (r11easure ll) follows the Eb and mo,res to\.vard a ca.der1ce
011 cl1e d.or11.inant.
Material corn d1roitos autorais
.MELODIC STR.UcroRES 2 31
The antecedent phrase (Exan1ple 1. 30A) l)egins \Vith a f our-meast1re
prolongation of rhe third of the scale, Cl (graph 1) . For ronal reasons,
morion through B to the tonic, A, is probable. This implic11tion .is reinforced
by a suri)risin:gly st1bcle, yet basically simple
1
melo.dic stn1crnre. In the fore-
grou11d, nivo conjunct patterns, each preceded by a gap, imply
conrin11aci-0n to the tonic; the first moves d.o'\vn from E not F#, an appog-
giarura (graph 2); the second, f ror11 A (grapl1 3) . 011 the next leve1
1
the
tones are th<>Se Of the tonic triad, and the second part of the
phrase (measures 5- 8) is incll1ded in this pattern (gra.ph 4). Again,, the lo'\\
1
er
tonic is implied, n,ot onl)r becau.se by m.easure 4 (and more patently by
measure s) the triad is con1plete except for tl1e lower to11ic, but because the
gap-fill s.trucrures suggeSt descendi11g 111ocion. Consequently the probability
.of triadic contin11ation ro the tipper C# is lo"''
Once again seemin.gly slight differences have in1plicativ.e significance.
In the co1ISequent phrase, t l1e first n1easure is varied so tha.t tl1e relationship
between Cl and E impljes continuation to tl1e upper octave (Example
130B); in meast1re 9, a weak> mobile eighti1.-note, E, follows Cl directly, so
that further triadic n1otion is probable. And,, after the A in measure r 1, the
seco11d part of the phrase b-egins on t l1e l1igt1 C#.
70
(See grapl1 above and
rhythmic analysis belo\v in Exan1ple r 30 B.)
In the second part of th.e antecedent (Example r 30), C# is pro-
longed until measure .s, '\vhere it beco1nes an. appoggiarara in a semica.dence
mo,ling to B. The motive u1 n1easr1res 5 and 6 is a li11ear rise to E, hut f t1rth.er
n1orion is not .implied. The E is the end of a relatively closed grottp: rhyth-
r11ically, it is preceded, by a sixteenth-note '7vhich acts as a l{micro-le\'el
1
' up-
beat, and, consequently, the hig!1er-le,1el dactyl is closed; melodically the
skip fro111 B ro E (in a Il-\r l1armoruc context) makes the E sound lik:e
the co1npleri.on. of a group. The interesting conf or111ant relationship be-
n:veen this motive and the pattern.ing of meastires I and 1 is sl1own in grapl'l 5.
Turning .now to our chief concern-prolongation. Wha.tever the
111elodic i1nplications of tl1e patter11i11g tluot1gh measure 5, tl1ey are in no
\vay changed by th.e repecicion tl1at takes place in measure 6. From a melodic
point of vie"'' ' 6. cor1tributes 11otl1it1g. Its contribution is fo.rmal .and
10 This calls attention to an important point in critical method. A specific cl1ange
.cann.ot be adequatel)r explained o.n the grou.ncls that lt provides variety. Cert:tlnlyt
th.ere is a need for \l'ariety, but there are it1nunler11ble \:vays of achieving it. Wh111t: is
required is an explanation which suggests wh)' this particular. way of aetii.eving
variety is app.ropria.t'e or \Vhat its format or implicative consequen.ces are.
Material corn direitos autorais
232
MtJ"SlC
("" \
, -'!' ,P,., , ""-- ,, .. ,v,, v
I
'
d
,-.. : ;a I
..J
I
Example t JO
rhythmic. From a. formal point: of \tiew, it norrnalizes the morphological
length of the seoond part of th.e pf1rase'-S(J that like rhe first it will be four
measures long.
Rhythmically, tl1e .repetition is processive ancl i1nplicatlve. Because they
are identical and c-ome at tne beginning of th.e second part of the antecedent,
measure s and its norn'.lalizing prolongation, measure 6, make it pro'bable
that the whole subphrase will be an an_apest, 3 + 3 + 6 beats, on t l1e seco11d
level. And this implication is realized in measures 7 ai1d 8. which for1n a
pivoted rhythmic group. 1"'he sense of goal-directed n1otion created by the
rhytlimic structure depe11ds i'n part upon me context of strong n1elodic im-
plication. At the same ti1ne) rhythmic implication compensates .or th.e tem-
porary suspension of melodic lnocio11 t O'\Vatd the tonic.
Material corn d1roitos autorais
MELODIC STRUCTURES
233
Extensi()ns
The conseq11e11t pltrase of tv1ozan>s melod}r is given in Example I 3 1. If
the changes in melc)dy and register already considered and those in the
closing measl1res ( i 6 :u1d c 7) are disregarded, tl1e phrase is regular a11d
t)rpical, rea.ching the expected cadence 011 the tonic in measure 16. Just '\Vhen
stability and closure seem assured, ho\vever, the and cello begin a repe-
ticio11 of part B of the phrase. The \'1.olins are, so to speak, obliged to follow
along, elaborating a ne"' counte1--poinr. T11e resttlting lack of closure is
e1np.hasized b),.; the fact that the tonic t:riad is in the first inve1si.on, rather
thai1 root position ..
This repetition, t:oot is a prolongation. But instead of being 11or1nalized,
the morpholot,rical le:tigth is stretched. In ocher '\vords, tneasures 16--19 be-
long to t he class of prolongation l{no,vn as extensions. Not only is the
niorphological length stretched, but the e>.."'te11sion begins 'before the co11 ...
sequent phrase h,as finisf1ed-reacl1ed irs normal length. l "'l1ere is an elision:
measure 16 is both the end of the main n1elody and the beginning of the
extension. The ''n1orphological dissonance', which results from this ov,er-
lapping creat:es a tension \vhose .resolutio11 e11li.ances the sense of satisfaction
and closure "' hen an .u,ndisrurbed, cadence is reached at measure i 9. In.deed,
the tension is such that some of tl1e accumulated energy spills over into the
bridge passage which follo'-''S.
J\
1
tost extensions at the en.ci of a phrase do not, however, i11volve elisions.
They occuI after tl1e morphological length is complete. The coda of tl1e
l\4o.zart n1ovement we ha\re be.en analyzing provides a cle.'lr illttstrarion (Ex-
ample I 3 2) . A.fteJ the the1ne presented in t l1e pre,ceding examples, a
moduladon to the don1inant to the statetTienr of a. secondary melody.
This leads back witn virtually no dela}r to a restaten1ent of the ru1tecedent-
conseq11e11t melody. 11lougl1 details are varied, the mt1sic is basically tl1e
same. But now no bridge passage follows to absorb tl1e tension of the elision
and to arrest the momentun1 built up by the delays in the melod)r The coda
of the movement accomplishes these ei1.ds. It is, so 'to speak, a c,omposed
ri:tar dando.
As Ex.ample 1 3 2 sl1ows, the coda begins after a full ccadence ir1 rhe tonic
ar m.easure 61. It is an ext ension consisting of a four-nre.asure pattern (A),
I Il
6
- l!- V7-I, which is repea.ted (A') , Tllis is followed by a further
e>;tension . a two-measure authentic cadence (B), whicl1 is also repeated (B')
closi11g the movement. Since the extension. is essentially a melodic prolongation
Material corn d1roitos autorais
J
c
t
'
I
J
I
,
I
)
>I>
I
...
-
r-r,
-
11.)
-a ' ,_
c::
w
..
Mater al corr dire tos autora s
MELODI C STRUCl'URES
rr r-J''
_,..,_ _ -- -.J
of the tonic:, A, n1oving th.rough three i10 implicative relarionsl1ips
are generated.i
1
Extensions also occur within phrases. Though they do not influence
the directi0n of the implicative process, such u1ternal often
11eighte11 the listener's sense of implication by delaying arri\
7
al at implied
A strilrin.g instance of internal exte11Sio11 \vhich intensifies tl1e feel-
ing of goal-directed motion occurs in tl1e firsc: section (measures 1- 1 7) of the
Prelude ro Tristan und Isolde. The larger strucnire and ha.nnony of these
m.easures have been expertly ai1a.lyLed by William !V!itcl1ell.
12
l'ily concer11
will be the co1nplex relationship:S witlun the prolongation,. wlrich occur
betv;ree11 i11easures 12 a11d 16 (Exan1ple i 3 3 .. i\).
The passage is forcefully in1plicarive l1arn1011ically and n1elodically.
Harmonically, each element of the seqt1ence consists of the ''Tristan,, chord,
'\vl1icl1 functio11s as a se:coadary don1i11a11t and resolves to an unambiguous
domi11ant .. se\renrh chord. As indicated un.der graph 4, the first element ends
on the dorrunant seventh of A n1inor (V
7
) ; t he second, on th.e do111intu1t of
C major (V
7
/ lII) , the relative major of minor; and the third, on the
-dominant-of-th.e-domi11ant (V
7
/ V). Each is therefor:e internally processive
and i1nplics co11tir1uation. TI1e sense of goal-directed mocio11 ge11era,ted by
t his foreground patterning is enhanced by"' a higher-level triadic structure
created by the roots :of tl1e chords of .resolution, E-G1f- B. This structure
implies continuation to E (graph 3).
7
1 The in different octaves at t11easures 71 and 73 is one of the results of
the rnotior1 of tb.e consequent phrase co rhe upper Cl. Other resttlts :n1ay be fotmd in
the middle s-ection of the moverne11t.
'fl! 'Th.e Tristan Prelu.d.e: Tecl111ique mid Structt_ue," in Willia:t11 J. Alt.itchell and
Felix Salzer,. eds. T.IJe M.u.J'ic Fo1U1n, Vol. I (Ne\v York: Columbia University Press,
1967) I pp. J6l- l03
Material corn direitos autorais
The melodic patterning) \Vhich. col11plen1ents this harmonic sttucn1re
1
is no less implicative. 011 tl1e lo\vest, note-to-note level, it consists of a chro-
1naric scale \-Vl1ich rises fr.o.n1 to F# (111easures 2- 1 r). On t he next level
1
eliminating those to11es. \.vhicl1 are ob,1iously appoggiaturas or l'a.'\sing ror1es,
t l1e n1elody is a diatonic sc.ale in A minor. As sho\v11 ir1 gra pl1 r, botl1 t l1ese
motions imply continuation co the Uf1per
because the processes are
quite uniforan, tler1mps beyot1d.
73
011 a still J1igher tl1e passage
sises of a. series of thirds continuation of this patterning
\vould lead to th.e higl1 A.
R11ythmic organizatio11 st1pports arid enha11ces the goa1-(lirected pro-
cesses ge11erated by melody arid harmor1y. 011 the prin1ar)' level ( I ) , each
t)lm1se ends on the iveak part of t11e, rl'lyth1nic group. Hence, even though
th.e lo\vel)t le\rel is a partiall.Y closed trochee) the basic structure is inobile.
As a result, the appoggiatnra pattern \v ruc}1 ends eac}1 phrase ren1ains inobile
and goal--directed, even '\ivhen iris cletacl1ed an(l begins an nl1pulse, as it does
in r11easuxes r 4 ar1d 1 5. On tf1e next level ( i a), that of the varied
repetition of a single pattern weakeris the impressio11 of structure and st1g-
gests t hat the ltltimate organizatio11 of t}1e \;Vhole section \vill he son1e sort of
a.napest grottp. As a res.tilt, the seco11d ai1{i third grou ps--a11d tl1e first ir1
retrospect-are perceived as 011-going anli in1plicacive.
These strongly? goal-c.iirected processes ''get stt1cl<
1
after measure 11.
I11f:t 'tead of contint1arion. there is obstinate Not onl) r is the re.aliza-
tio11 of tl1e processes ge11erated by tl1e patte,r1ling of t he first ele,ren measl1.res
delayed, but morphological le11gths are stretched r11etric contint1it}r is
disturbed.
'!'he analysis of these is some\vl1at proble111atic: are they all
extensior1, or extension and partly r1orn1alizing p.rolongation? The)r
might be considered a complex extension_, for had the melody conti11t1ed to
the cadence in i11easure 17 ' vithout aJ1)r repetition "'lh.a:ci;oeve.r. che result
would ila,<e been regular: if 111easl1re i o 11ad been i1T1n1edia.tel)' folLo\\red by
r11easurcs i 6 and 17 t het1 t11e passage ' would ha,,e cot:1sisted of tl1rec four-
measttre phrases. 1"'11is is sl1owi1 i11 part B of Example r 3 3, ' vhere the slig11t
elision in rr1easure 8 has been removed to sho\v the potential regulari.ty of
the phrase structtue. Seen fror11 tl1e 11erspective o.f melody alone, the exten-
sion runs fton1 1nensure i 2 throt1gh measure t 5.
10 Because. the chroma,tic pattern is uniform a11d u.ndifferent.iate(i, a clear re\,ersal
is 11eetle-d ii closure is ro rake. place. 'I'he gap from G# to B (n1easures 16-17). filled
by the tonic (A ) , creates the required reversal.
Material corn d1roitos autorais
MELODIC STRUCTURES
Nevertheless, for rl1 yrthrnic reasons, a11d .harm.onic ones as well, these
measures also seem to involv.e norn1aiization. The organization st1ggested
as basic in part B of the exan1ple is far f rotn satisf actor)' ; it is too regttlar and
reacl1es the cadence too quic'kl)r. Not only does tl1e 1nelodic rnotion, \Vhich
heretofore n1oved ":vith intense deliberatjon, no-vv speed ith ,un\va.rranted
ease, bt1t the arcict1lation of tf1e crucial cadencial harmonies is ct1rsory and.
cru,i.1al. Above all, the equal, four-1r1easure phrase lengths and sequential
. uniformity create no l1igher-level structure. F'.or all these reasons, closure
at the end of such a t'1\relve-measure pattern \voulcl have bee11 ab.rt1pt and
wealt.
Though these measures a.re best an.al )l"Zed as part e>..'tension a.nd pa,n
normalizing prolong'ation" it is riot to deternline '\:Vllich. is '\Vhich. The
analysis give11 in tl1e exarnple is based on a nt1mber of considerario'ns. Be-cause
they function as upbeats to the closing ca.der1ce, measures 14 and 1 s create
a srrongly end--accented anapest groupu-ig on. the pr.imary level ( i). Th.is
patternuig supports tl1e meloclic closure ar rneasu.re 17 and empl1asizes tl1e
bacrmonic articulation of the de.ceptive cadence. In addition, they re-establisl'\
0 '
rh.e four-measure phrase lengths \vith 'vhich the passage began. For tl1ese
reasons . n1easure 1 5 seems to be a norn1alizing prolongacio1t.
Tl1ough measures 14 and 1 s are si111ilar in structure and function to
measures 5 and 6 of l\4ozan)s String Quartet (Example 1 30A), they are
much more pate11tly implicative, for four reaso.ns.
iD: Wagner's Preli1de,
rl1e half-step motive, E#-F#, is part oft and by reiterarion reinforces, tl1e
implications previously by the n1elodic patterning. ln the 1\11ozatt,
011 the other hand, the comparabJe measi1res are not derived from,, and do
not support, the basic descendi11g melodic motion. Se-oond, harmonically
these n1eaSt1res are in1plicative because of their previous association witl1
goal-dire'Cted processe:s-the donlln.a.nt-seventh of the do1ninant (V
1
jV) in
ineast1re 1 1. In i\11.ozarr's n1ovement, l1owever, the :comparable n1easures are
part of stable, tonic hanno11y. Third, when first presented in measures 11
and 13, this motive \\ras a '\\
1
eak, mobile part of the rh;rth111ic grou.p. Because
it retains the function tl'.1.at it originall jr understood to have ( ei,ren in the
absence of the accent in relation to \.vluch it "'' as a ele1nent)
1
the re-
peated motive is rhythmically in1plicari'\re. In the M,ozart, measure 5 is ini-
\,ially understood as accentc;d and stable, and is rl1yrhmically implicative
only in retrospect. Finally these rl1}rrhmic and m.elodic implications are af-
:firn1ed and underlined 'by tl1e" crescendo ( \Vithin each n1easure) \Vhich
''points to', (.acts as a sign of) an organizing accent.
Material corn direitos autorais
I I
if' ,..
ti
I
. '
'
1
, .
...
' ,
' '
'
...
..
'
'
I I
I '
11
....
I ' I
I
I
, I
I
l I
I
I 1
I
I
' '
I
I
'
I
I
I
, '
;
"14 ''
JI,
1 ..
'
I
' ...
'
I
I
'
.. , )
I
) ,
. .J
,.. !
(
f. I
Mater al corr dire tos autora s
MELODIC STRUCTURES
l\1easures I 2 and, I 3, then, are an rfhis is evident if the third
eleme11t in the sequence is i"normalized'' as in part C of Exa:mple r 3 3. N<:Y\V
each phrase begins on the last eighth-note of the measure, and the final four
111easures '
1
fit:,, perfectly into the regular pattern of fottr-times-four
And this is precisely is wro11g " rith t l1e structtrre: oot only :is it tedious,
but no higher-level r.l1ytl1mic structure arises. It is so unj_form that clost1re
' vould be '''eak and an:ticlim.atic. A longer, con1plemer1tary patterning is
r1eeded, and such parrerning has already been potential in the basically equal
morphological le1igths of the first t\Vo
1
elei11enrs of the sequence. The elision
welds the third eletnent of the sequence ro the last four measures so that, in
a broad sense, the structure of the \,\' hole section is a bM-form, with an ex-
tension, both on the n'liddle levcl (2b) and on the.highest le,,el (2a).
Parentl3eses
Internal extensions, like the one in W agne.r s Prelude, take place witllin,
and are continuations of, processes gene1ated b)r the precedi11g n1elodic-
rhythmic patterning. By stretching n1or,phological lengths and delaying
tion to implied goals, tl1ey dist11rb continuit}r, bt1t tl1ey do not intern1pt it ..
Co1iseqne11cly, tl1ey are ur1derstood as intensifications of the existing pat-
terning. .Bue there ru-e ir1ternal prolongatio11s wl1ich,. while not affecting
implicatio11s, interrupt the n1usical usually after arrival
at some poi11t of pro,lisi.011al Because tl1ey do not really ''belong''
to tl1e pre,ceding and following fY.ttternings, s11cl1 internal interruptions l1ave
bee11 called parentheres.
11
,
This kind of discontinuity is discusse<i in The Rhytfj71zic Stntcture of
Music, and, rat.he.r that1 paraphrase "''l1at vvas said there,. I take the liberty of
quoting 011e paragraph:
A case of interrupted co11tinuit)' that comes to mind is
found in the classical concerto, in \<Vhich the resolution of a ig chord
011to a V chord n1ay be delayed for sevetil mioutes by the insertion of
a. ca.denza.. The effect of this lcit1d of (and of similar kin,ds)
is perhaps even more surprising thru1 are the e.ffects of links a11d. over-
lap11inb7S For two tJtings l1apper1. First, suspense res\1lts, and suspense
inte11sifies \.Vhatever co11cinlliry there mt:iy b,e .. It llla.y be several seconds
'1'1 Earlier theorist.s such as A1attheson (sec foo-tr1ore 59, p. 211), "'110 took langua.g,e
as a modelt osed th.is term. But I a.111 n,ot sure wl1cre the modern U.. 'ie c-omes fronl. 1
have., however, f r,equently discussed tl1ese 111atters with, and leart1ed much from,
Professor L\lwxence Bernstein.
Material corn d1roitos autorais
EXPLAINING MU:SlC
after the lightriing fiasl1 tliat the sound of tl1u11der reaches our ears
1
but
\:\!hen \Ve see the lightning \Ve kno\.v the thunder will follo\,r. Second,
there. is a certain unreality abo11t the interroptior1. Tr is nor part of t l1e
'real" piece, '\Vhich \ill resu111e as rhougl1 1\od1jrtg J1a.d. happer1ed whe11-
ever it .is allowed to. In or1e se11se, of coiirse"' the cac_lenza is part of t he
piece because \ve expect it to t>e r:here;. in another very real sense,
- ' .
eve.r, it is not. The.re are so.n1e'\\
1
hat ar1alogous cases i.t1 both art and liter-
ature. A painting is supposed to have a frnme; tli.e frame is r1ot part of
the pli11ti11g-bur it is. A story 'vitl1 a fr-ai11e- for exan1ple, a \vitllli1
a :play or a 110\.rel \Virh a. flashback- includes and does tlot include the
frame.. .Extraneous coolie i11teri't1des are ar1d are 11ot .part of a serious
play. A ballet it1 an opera does a11d. does not belong to that opera. And
so on.
76
r11e melody wllicf1 begi11S tl1e last 111oven1ent of I-Iaydn's String Quartet
it1 Eb Nlajor, Opt1s 50 No. J, co11rains an t111equivocal example of a paren-
tt1esis. Tt1e theme is an anteceder1t-consequer1t structure. The antecedent
pl1ra.se and. rhe last two n1east1res of r:he consequent are given u1 Example 1 34.
Ttle patte11ling of the high.est level is linear, moving up from Eb t<> G
a11d rher1 returning to F in the antecedent phrase and to the tonic, Eb, in the
consequent (graph c). Because of the patterning of the lo\\
1
er levels, the G
\vhich continues the processes generated in the first fotir meastrres is clearly
not tl1e one in rneasure 5. but: the one in mean1re 9. The middle-level pa.tt em
(gra:ph 1) consists of a series of thirds, EtT-G, F-Ab, which should conci11ue
G-Bb. But Bb does r1ot follow in r11easure 6, as it should Instead, tl1e
direction of 1nocion is reversed- Inoves do'vn to the D. The fail11re of the.
i1nplied patterning tc) concint1e is ernpha.&ized by the repetition of tl1e paren-
thesis figttre. 1ne rr1elod }' continues ir1 n1east1res 9 and 1 ot where rl1e tension
btiilt up by the d.elay carries tl1e n1otion to the high Eb for ru1 instar1t.
111
The
man1 of melodic activity is, d.ef:i11e.d by the octave frorn the
opening u.pbeat Ilb to tl1e Bb ir1 measure 9.
The lowest le el (grapl1 J ) is also li11ear. And again the pattertling is
brol{en ii1 measures 5-8. The concinuacio11 in m.easure 9 is 11ot in dot1bt. And.
the momenn1m. of the .li11ear n1otioti c-arries t l1e lllelod)' to tl1e si:ttl1 degree of
16 P" I 49
ra Altt1ough thee high Eb is har111onized by a subdotnina.nt triad, it is also part of
tl1e oonic melodic triad ( graph 2 ) . For the triadic 1notio11 latent in each of the first
tvto tllirds suggests tonic and su.pertoni.c patterns i11 roo.t position, and, acco.rding to
the probabilities of tonal synta.x, die next men1ber of the series be t he :first
inversior1 oonic triad. (See the discussion of Ex3'mple 114A, graph 3
1
a11d 114B.)
Material corn d1re1tos autorais
MELODIC S'fRUcrurutS
the scale (C) which
1
mo\ring to the second degree in the antecedent phrase
and to ti1e tonic (harmo1uzed b:y a ! chord) in t'he conseq\1ent, creates a
tradition.al closing gesmre-mucl1 like cl1at of the extension in
Example 132.
From a rhythmic point of vie\v, the goal of che first four measures is
clearly the last four, 11ot the mid.die ones. j\ileasures r- 4 a.re made u,p of two
similar rhytl1111ic J>atterns. A four-measure unit in relation to \Vhich these
two events can be grouped is implied. But n1easur'es 5-8 are even more :pat-
ently divided into two identical evenrs \vruch forrn 110 higher-level rh)rth-
mic sn11cture. The implications of th.e first four measures are
1
tl1e m1alysis
under the cxam1>le sl1ows, realized in rhe last
-
oda.c _
r--------------
s
P,11fo
--
! .
\. __ "' -;y: .. __ .,.... ""'" ?---. -_-' _ 1). - =------=----...:-= ..... =--=--_-_-_-_-_-_-_ .........
----------....... -- ...... a-i
Exan1ple 1 34
For all these reasons, \Ve recognize at once that n1easures 5-8 are not
part of tl1e ''real'' melody. And. such ree-0gnirjon is facilitated by the
acter of the pattern and by its Jack of rnorivic (conform.ant) relationship
ro the opening 1)attern. For the opening 1nelody is emphatically conjunct,
but tl1e motive of the parenthesis is pri1narily disjunct-almost like a
thumping bassr mar1ring cin1e. And. tl1e real 111elody is cl1aracterized by goal-
directed motion; but the parenthesis is static. It .is as thotigh a person pur-
posefully striding to\va.rd some objecti\' e should suddenly pause, perforn1 a
dancelike caper, a11d then continue to his
T he need for the paienrl1esis is nor hard to u11derstand. The 111otion of
the first four measures is so apparent and palpable that had the goal been
re-iched without delay-ha<i measure 9 f ollo,,recf .measure 4, as it could have
done the result '\Vould l1ave b-een obvious a11d t1nincerestit1g. If the second
pl1rase o,f cl1e r.eal melod;r is to be felt as an ac'hieved and "vorthwhile goal,
tl1ere rnust be delay. This the parent11esis provides.
Material corn d1roitos autorais
CHAPTER VIII
---..__.,,,,_. -w- -......,...-- .........
A Summary Example
By \'\la.;r of re\rie\ving sorne of the theoretical c<JnCCf>tS ar1d analytic
methods cJeveloped in these 'Essays and Explorati<)llS, let us co11si<.ier tl1e
first t\\'enty-one measures of the first movement of Beethoven's Piano Sonata
in Eb iVlajor, Opus 8 ra- '<Les .Aclieux." Ot1r 0011cern \ill be primarily '"'ith
implicative relationships and hierarchic but other kinds of rela-
tionships- ethetic and conformant ones- are also irnport:ant iti our ut1der-
stat1ding and experience of n1usic. A b.rief of these \vill act a
preface to th.e n1ain analysis.
1
A competent li.stet1er perceives at1d responds to music "\1rith his toml
being. ,.l\ s tonal Stimttli, filtered an<l processed by a selecrii.te auditory ne:rvous
sysre,m, are related to o:ne ano.ther by the patterning procli,rities an.ti habits
of the hun1an rrlind, every facet of bel1avior-ph}rsiological an(l psychological,
motor and n1:enta.l- becon1es attuned to and congruent witl1 tl1e pr<>cess a11d
structure of eve11ts. Throt1gl1 such empathetic idenci.fication, music
is quite literally f ett, and' it can be felt \.Vithout tl1e rnediation of extramusical
concepts or linages. Sucf1 kinestl1etic sen.si11g of the ethos or ch.aracter of a
.n1t1sical event is \Vl1at the term ethetic refers to.
llutnan experience is not cotUE)arttnentalized into n1usical an.ti
n-0nmtJSical, aestJ1etic ac1d. r1onaesthetic, the etl1os of a 1nt1sical evenr will
ofte11 seen1 to an.d suggest so1ne aspect of t he extra,mtisical \vorld ..
The inusical event is felt to b.e sad or joyful, restrained or e,"{uberanrt cal111
or agita.ted, and rh.e And SL1cl1 stt1tes of lJei11g t11ay in turn
be associated '\Vith more specific circun1Stances and ideas: a summer evening's
calm, tl1e gaiety and bustle of a social gathering. lvlo:reover, wl1e11 it explicitly
Material corn d1re1tos autorais
A SUMMARY EXAMPLE
imitates sounds- -.1s in birdcalls, wind and thun.der, and the
like or is established as part .of tl1e tradition of estern tnusical ico11og-
raph,y,
1
a musical pattern may denote quite specific kinds of eve11ts, actions,
and ideas in the extramusical world.
Although they can perhaps be differentiated iii theory, in practice
ethetic relationships are i11separable fron1 inlplicative and l1ierarcluc ones.
The ethos of a n1usical event, based in part t1pon the 1.nore constant param-
eters of music sucl1 as ren1po, d}1!lan1ics, register, mode; and the like, in-
fl uences and (1ualifies the listener's sense of' ho\\l tl1e event 't\
7
ill probably
proceed syntactically and formall}' Conversely, the synt actic processes and
for1nal structt.l!'e of an event- \V.hecl1e.r regula:r or sporadic, balanced or
asy1runetrical, i)redictable or capricious-play a crucial role in defining its
ethos. And just as our preliminary opinion of an individual is revised and
modified in tbe light of l1is subsequent behavior, so our and under-
Standing of the character of a musical event is often modified by its use and
variatio11 later in tt1e \vorlc.
Tl1e begu11ung of the Sonar-a ''Les J\die\L"(,, is a case in point. Tl1e first
event-the '
1
Lebewohl'' motto \<Vhich plays a central ,role in the mo\'l"ement-
has a very special savor ax1tl (Example 1 3 6A). That words can-
not adequately express the sin1ple and unpretentious, yet couc.hlng, sense of
"vistful regret at1d resignation does r1ot gainsay the importance of the ethos
of the rnotto.
Its pa.rcicular ethos is the result of a .con1binacion of facto.rs. Register
and. so11ority, tempo and dyt1amics are obviotisly crt1cial. Had the same
pitch-time relationships been presented in a higl1 register, at a fast tempo,
a11d \Vitl1 forte dynamics, cl1aracter \\-'Oul.d ha.,re been very different. Tl1e
action of these param:eters is complemented b)' rhe patent and regular
n1elodic, .rhytht11ic, and harmonic structt1re of tl1e n1otto-despitc the de-
ceptive cadence closing the event. This cadence further defines t:he ethos of
the motto, bringi11g ''tl1e eternal r1ote of sadness in>
1
- ar1d perhaps suggesti1:1g
t hat the parring is nor final.
Feeling-tone is also tl1e result of the de\riant use of an archet ypal schema,
horn .fifths: a conventional patterning-\rirtually a formula-used in rhe
eigl1tecnth century by iurural brass itlStrurnents (without valves) to p:lay
authentic ca.deuces. Their occurrence just before tl1e end of the fourth
move1nent of l\1ozart's Symphony No. 39 in Eb Major is typical. As Ex-
ample 1 3 5 sho,ws, they f ollo\v a harmonic progression, II!-V', which
1
See pp. 6.;.f.
Material corn d1roitos autorais
EX.PL1\INING MUSIC
strongly implies morion to che tonic. The horn filths are the resolution of
this progressio11, a11d rhey prolong and emphasize t he cadential character
of the pas.sage througl1 an alterna.tion of tonic ai1d don1inar1t-sevenrh chords.
Because they a.re 1nelodically and hannonicaily c-adencial, horn-fifth
patterns normally occt.1r i11 closir1g sections or codas of fast movements and,
as .in sympho11y, they are frequently played forte. As a rule. ho\v-
ever, tl1ey are not'. tl1e r11ai.t1 melodic substance, bt1t support a11d reinforce
the cadenrial use of motives tal<e11 from first or second t l1en1e grouJ>S. 111 so
cioing they act as signs of iinpending
The use of horn fif tl1s in the first measures of Beetho\ren's <' Les Adieux''
Sonata is u11usual in al1nost every "''ay. Instead of coming at the end of a
fast mo,ren1en4 they are the l)eginning of a slow i11troducrion; i11stead o.f
being accompanime11tal, rl1ey are the 111ain subsca11,ce; an.d instead of reach-
ing e1npl1aric closure 011 cl1e t:onic
1
they end in a <lece,ptii;re cadence vvhlch is
mobile and or1-going. Tl1e deviant ltse of this tradition.al pattern 1101 only
eni.phasizes the i111portance of the n1otto, but contributes considerably to
its pectiliar poigna11cy.
The ethos of cl1e ''Lebe\.\1ohl ' motto, characterized ir1 pare by its il1reroal
relaci<>tisl1ips, st1ggests something of the probable co\1rse of st1bsequent C\Ientc;
in r}1e 111ove1nen.t: it: estahl.isl1es at1 a.tn.bience inim:icaJ to tO\.verir1g de11relop-
ments, l1eroic contrasts, and capricious Stlrprises. The aLnost apl10.risric
specificity .and paJpal)ility of the Inotto 1 36A), taken together
V\
1
ith t.he fa(.'t tl1at it is deft:et.'ted fron1 its to11ic goal, makes its st1bsequent
Material corn d1roitos autorais
A SU Ml\iCAR Y EXMtP LE
ubiquity both appropriate ar1d cor1,ri11cing. s it returns in 11e\v co11textS
and different guises, the \
1
arious facets of its character arc revealed. It func-
tion in \
1
aricd form as t he forceful, dri,ing first theme of the Allegro
(136B), as the begiru1ing of the second key area ( 136C), as the basis for the
.fiowirig themes of the closing grot1p ( t 3 6D),
2
as the sot1rce for the am-
biguous, almost hesita11t linear motio11 of the dcvelopn1ent seccio11 ( 13 6E),
ar1d as t he in.a.in 111at erial of the coda
1
wl1cre it occurs in irs p11re arcl1et)rpal
for1n, first i11 .i:ts closing theme ( 136F) a11d t hcr1 in ca.r1.onic imitation ( x 36G).
Etl1eric relationships are 11nqt1estio11ably i1nporta11t-p-articularly iI1
-
4
I
'
.J l
.a ' I
J I
-
i
.
.
-
~
- -
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I r
F.
f
---- - '""'\ .
...,...,.. .
~
t
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'
-- -
'
\.,
, ~ '4 '
; ' T
i
...
. ~
- 1:11!1 J. J
I
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~
'
~ ~
' ' ' ' . .
...... "
,
Example 136
2
For the i. 11ke of con1parison,. these are given as t hey occur in tl1e recapirolarion
1
where they are in the tonic.
'
Mater al cor'1 dire tos autora s
.&."'CPLAINING MUSIC
some styles and in some compositio11s. And the ''Les Adieux'' Sonata. is, I
thlr1k, one of these. However t though they are notoriot1sl}' easy to discuss
in casual, plausible fashion, ethos and affect .are hard to anal}rze with rigor
"
a11d precisioxi. Partly, tlus is because la11guage ca1111ot adeqttatel}r ciistingtush
benveen and delineate subtle shades of character and nuances of feeling-
tone. f\ . more ba<tic problem is that, in the absence of an adequate t heory Of
ethetic change and traiisforinatior1 or \''ithot1t a tekl: or progran1 explicit!)'
connecti11g the cl1aracter of earlier events to later ones, it is diffict1lt to explain
the succession of cllantct eristic gesttrres or tl1e sequence of different sorts of
feeling-tone.
3
Cor1f orxna11t relationsl1ips
1
too, are i111portant u1 this 1novement. As
Example t 36 malces cleart all the main n1aterials of the m.oveme11t are related
by" conformance to the '' Lel)e,vohl' > motto. Tl-1e and va.ried returns
of rhe motto 1narlr important poinrs of structural arciculacion. Ar the sai11e
tin1e tl1ey create a col1erence which rends ro lessen the sense of explicit con-
trast in what is. a basically dran1aric form. But the main reasons for t:he per-
vasiveness. of rl1e n1otto are s;rntaccical and in1pLicative.
2 .
T'he hor11 fifths which ope11 t.his mo\rement are as clear an example of a
Strongl)
7
established scherr1a as one can hope to fir1d. The r>atcerl'l is specified
melociicall}r and harmo11ica.ll}" and, \Vith some,vh,lt tnore lati-
tt1de, .rl1)rthrnically. We have no dot1l)t as to 11ow it should sound. Conse-
quet1tly, \\re are acutely avv-are tha,e the lo\v C t1sed to ilarmonize tl1e rni11or
sLxth (G-Eb) at the beginnitlg of measure 1 is an aberra.t1t in1position, a11d
' ve presu1ne that the corre.ct, archetypal version of tl1e formula \tVi11 occur
la.ter i11 tl1e n1ovement. !-Iowever, tl1ot1gh it appears in a rnyriad of ,rariar1ts,
the schen1a is i1ot preset1ted i11 its pt1re, horn-fifths form until the middle of
the coda. Approp,riacely rlus archetypal versior1 occurs im.mediatel)r
ing what can be consid ..ered tl1e ''solt1t:iot1,' of the C-n1inor problet11, tl1e de-
ceptive cader1ce, gave rise to tl1e implicati\re r elario11sllip il1 the firsc
place.
3
Io music, and parti CtlL1.rly in instrt1mentl'll conlpo itio11s, t l1e con11ecrion between
successive ethetic staees is 1.,robabl)' largely con\rel1tior1al. Tltis does not tl'1ean, h-0'\'-
ever, that cha.ra.cterization and feelit1g-tone are less J)ers-unsive and .captivating. But it
does inean that impomnt work 1nust be done h1 the area of St )rl e a11al) sis lJe:fore sucl1
.relationships cati he e.Ypln:U1ed.
Material corn d1re1tos autorais
A SUMMARY EXAMPLE
Because the scl1em_a is so \Vell and specific in its pattern, ti1e
effect of the alien, C-mino.r harmon,y is particularly powerful. This is no
mere deceptive cadence; it strikes us as expressly anon1alous.
1
For thi.s reason,
" re se:nse, thoug.h perhaps only intuitively, tl1at it is significant. And so it is.
The implications of the inrrusive C-minor harmony reverberate throughot1t
the movement. Let us begin by considering some of th.ese.
I) C-minor har1n-0ny has an importfillt etf ect: i1pon t'he n1elodic ten-
dency of the Eb which it harmonizes. For the linear morion generated by the
descent f ron1 G no'"' has less tendency to stop on tl1e Eb. \1Vhat the listener
''kno,vs'' ought ro have been a sta.ble tonic is experienced as a. mobile
thirdc} possibly implyi11g motio11 '"'ithin sl1bn1ediant harmony to C, or. im-
plying motion co the leading-rone
1
D. The first of these possibilities is
realized in the closing th.em.e version of the pattern, where the ''Lebewo.hl''
motto is followed by a skip t o t.he note (C) a th.irtl .below (Exa1nple 137 ).
--,:---- - .... .
'
. ..
. '
The tendency of the Eb ro move to D is the result of harmonic as well
as melodic relationships. The syntax of tonal harniony makes it probable
that a I- V- VI progression such as this will m_oi.re to tlie leading tone, har-
monized by a dominant chord, and then baclc to t:he tonic. Such a
sion is shown in Example 138.
4
Here a.n intel"esting psychological paradox aris_es-one wl1ich l c a11 describe,
but not really explain. While we JtnfY'UJ that th.e deceptive cadence is abetranr and
in tbi:s sense l1nexpected, we be at teas.t -as surprised- e.,.-ren taken aback-if the
fu:st b-eat of m.easure z were an nnembellished tonic triad. 111 other words, though we
a.re conscious of how the sche-i11a should go, we -are also aware that a tl obvious and
predictable aat:l1emic cadence ic; improbable at the very l>eginning of a composition.
In the same 'vay t we botl1 expect and donit that the cadential partero w.hich
begins th.e movement of Brahms' Violin Sonata in G Maj or (Example r1 7) \Vill
move to the ronic at d1e beginning of the second measure.
Material corn d1roitos autorais
EXPLAINJNG MUSlC
!
TI1e in1plie.d r11otio11 fron1 Eb to D back to Eb is realized provisionally
"'' l1e11 tl1e prolonge,d Eb (see belo\-v) inoves to D and back to Eb in 111eaSlire
r .2 139A), and. n1ore forceft1lly in rhe tl1ird measure of the Allegro
t he111e (Ext1111ple I 39:B) \Vlucl1 is a varied versio,n of che earlier pattef'rling.
- """'
.Exan1ple 139
Bur the in:11)lied cadentia1 progression does not occur in the p
1
roper register
ar1d \Vitl1 an u11.equivoctlly end-accented rl1yythn) t1ntll the pe11u.ltimate
cadence of the coda (Exan11)le 140). For implications are specific, 11ot only
"vith respect to schema, bu.t also to regjsrer, l1ar n1011}' '" a11d rl1ythm.
c ' -
- .
!
, . }fr .. . I'
,,,
Material corn direitos autorais
A SUMMilY EXAMPLE
1) The proximate consequet1ce of the imposition of submediate (C-
minor) harmony at the ;end of the horn-filths formula is the prolongation
which follows. TI1e i>rolongatic)11 is important both because in this case
it is itself and because it pro,res to be a basis f.or the Allegro
theme wt1ic'h begins th.e exposition section of the sonata.
The prolongation begi11s witl1 the slrip from Eb to Ab. When this gap
is followed by G, conjt1nct continuation to the conic is im.plied (Example
141, graph 1). The fill does not follo\v directly, but comes in
measures 7 and 8. TI1at this a,na1ysis is not is by the hartnoni-
ution of tl1e G in measure 7 (grapl1 za) and by the fact tlar it, coo, is
preceded by an Ab upbeat: Beethovei1 specifically connects the G at the
beginning .of measure 3 to th.e one at the beginnit1g of measure 7 :by using
essentially the same l1armony in both Thougi1 the G in measure 7
does n1ove to Eb as implied, the cade.nce is again deceptive- and in the
\Vrong m.ode as \vell. Consequentl)' the realization is only provisional.
6
Instead of motion to Eb tl1e G in me-asure 3, the gap :figure
(x) is repeated (x') beginning on G. Tliis repetition. generates furtl1er im-
plications. Like the first statement of the figure, the second also implies de-
scending fill. A11d this implicacio.n is realized \Vhen rhe C moves to B in
measure 4, and through Bf;r and Ab to th.e G in measure 7 (graph 2) .
7
Once
the C in meaSttre 3 is reached, the melod.ic 111orion is clearly triadic on. a
somewhat higher level (graph 3) . The high Eb implied by this patterning
is realized aln1ost i1nmedia;tely. The Eb clos-es out the triadic mocio.n b-oth
because of the satisfaction of occave completion and because, as the analysis:
under Example 141 sho,vs, it is the accented goal of both lo\ver and higher
rhythmic groupings.
Because it involves disjunct motio11, tl1e tria.dic pa.tterning is also impli-
cari.ve. The first gaps, wl1ich are filled as st1own ll.1 graphs 1 and z:, have
fi Because this ftatmony is tlllttsnal, the confo.n11ant relationship see111s to be in-
tentional.
6
The fourth, Eb t-0 Ab, migh.c be thot_ight t-0 imply tri3dic continuation to rl1e C
in rneasure 3. However, thoU;gh t11e C dGes follo,\.
1
the implication is \.veak. Because
the; C-minor harmony is strong and. the Ab is onl)r a sixtteenth-note, the .Ab tends to
be understood as au ornamental tone. lending co the G and irnplyin.g co11junct fill
rather d:ian triadic continuatiot1.
1 That originality in art does not ell.tail the disco"'el)' of novel, let alone unique,
synmctical means or even archetypes is in.d.i.cated by tl1e fact a sequential gap-iill
pattern very similar to the one Beethoven e.mploys here occurs in the first measures of
Schuben' s song, ' 'Das Wan.d.ern'' (Exainple 79).
Material corn dirc1tos autorais
'
I
'
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' - ..
r .Ii -
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-
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LI Ll
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Jll 111
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(ft
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t i-
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-a..
8
~
~
-
-
ii 11'"
Material corn d1rc1tos autora1s
2-5 I
already been discussed. The third one, from C to Eb, implies descending
morion to D (graph s) and is panicularly important i1ot onl)r because Eb
is a melodic and rl1ytlunic goal, but because it reir1f ore.es, tl1ougl1 an octave
highe.r, the irr1plicacions generated by the linear motion and deceptive
cadence of the .first n.vo measures (graph 6) . These melodic in1plicacions
are strongly support:ed by tl1e ht1r111011y. Because tlie Eb comes on a six-.four
chord '\vhose appoggia:tura tones 11ormally resol\
1
e by step, the most probable
note to follo\v is D.
The implied D could have folloi.ved direcd.y, as S:ho-vvn in Example 142,
or could l1ave been realized in some 0th.er v\ray. One of these Beetl1ove11 em-
ploys \\
1
hen the triadic motion is repeated a. tllird lligher in measures 8- 1 i
(Exa111ple 141 ). He n1akes the continuation seqt1ential, so the gap from Eb
to Gb is filled by the Fb in the ne>.. i: n1easure, and tl1en 1noves t:l'lrol.1gh Eb
to D (grapl1 4).
8
Botl1 the earlier motion (graphs 3 and 5) and the
la.ter o,ne (graphs 3a and 4) con\rerge 011 the Eb and move together ro the
D in measure r 2.
Descending motion does in fact follow tl1e Eb in measure 4 Bl1t ir is
not by step. The D is conspicuous by its absence. The gap pme.rnmg is
emphasized agai11 by tl1e skip of a sixth at the begiru1ing of tl1e
again the Dis The implied motion fro.m Eb to Dis not realized until
the close of this section of the introdtlctiotl-in the mO\"Cinent from measure
1 i to 1 z (Example 141, graph 5). Not only are rl1e registral relationships-
the ocn1ve Eb-tl1e same in measure l t as il1 measure 4, but the i11tertrallic
relacionslups are sin1ilar: in both places Eb is a sixth a,bove tl\e bass, first as
part of a C-minor six-four chord and then as part of an Eb-minor triad in
the first inversion. (graph 5a). The octave Eb in measure 11 is the result of
s The earlier. less important gap fr-0r11 Bb to Eb is filled b}' the secondary voice
in gnpl14,a.
Material corn direitos autorais
I
(
'
'
'
tU
,.,
I
@
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I
I
'
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"""
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I
I ,
I
,..,.
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'- '
..
-
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-' t- ,_, '
'
.._,
,.
rfi
1194
'
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....
I
1,
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'
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_ .....
...
.... ..
I
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(frji.
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'
'
...
'
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..... , '
,_
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I .. - -..1 ....
. -
t6
,.
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....
l
J
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-
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--
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ut
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. D
J
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Material con1 d1reitos autora1s
A SUMMARY EXAMPLE 2
53
the division of the melodic line \.Vhicl1 is created by the triadic motion in
measures 2-4. The lo\ver Eb wluch closes the motto (and its varied repetition.
in n1easures 7 and 8) is not reall}" displaced into cl1e upper octave, bur per-
sisrs_, moving co the D in n1easure 1 1 (graph 6) .
Like the patterrlS '\vhich generate tl1em, iri1plicatiotlS are hierarciuc. For
example, tl1e in1plications generated by the ga:p-fiJl patterns x and though
not immedia,tely realized, are essentially low-le\
1
el-in the foreground (graphs
1 and i). TI1eir main pitches give rise to a higher level triadic structure
(graph 3). 011 a still tugher str.u.ctural level, tl1e prolonged Eb and Gb, "\<vhicl1
are srrocrurally equivalent, combine to form a long-range triadic pattern
implying a: B&, actualized in measures 11 and .i1 (Example 143) . Supporting
this supposition is the 1r1anif est octa\
1
e morion. tl'lat \Vas implicit in the lower-
level triadic motion.
3) One of the most ch.aracteristic sequences of sounds in the first move-
1nent of the t .
1
Les Adieux' ' Sonata is tluit which begins the Allegro theme
(Example 14-4-A)-a cl1ord progression fron1 an Ab-major triad to a. G-major
one ( n). T he relation.ship is strilcing both because it is tl1e only c,ommoa har-
monic progression in 'vhicl1 fl.'.\' O major triads are c.on.11ected by half-step
m.otion in all voices, and because i11 this case all the '
1
oices actually move in
parallel. fashion ..
As it occurs at the beginning of the Allegrt>, the progression is equivocal.
Usually it is understood as a progression f ron1 V1 to V in tl1e i11inor mode.
Here it would be in C minor ( Or less frequently. t'h.e first chord
n1ight function as a sixth. In tl1e latter c:aset the bass would move
t1p a whole step so that the f.ollowing chord (G major) "vould be in the six-
four position ( 144C). As it occurs it1 measure 17, however, the Ab-major
chord has been so firmly established b)r preceding evencs as the subdominant
of Eb major that a in C minor seems out of the question partic-
ularly since such an ai1alysis is not supPorted by \vl1at follows.
ll AC&, =-
1
11"'
-
- 5 - "
rr
- -
Exa.1nple 144
Material corn direitos autorais
EXPLAINING l\if.USIC
This arnbigi1ity is Stlpported by t.h.e f acr that n1elodic and rhythnrlc
processes are not co11gruent. T11e melodic c-0nn.ectio11 between tl1e t\VO cho.rds
is stron.g-Il1e stepwise parallel motion is uru1listal{able and is reinforced
t)y its subsequent conri:t1uation .in measure 1 8. In t he foreground,. there seems
to t>e f'l'arent linear motion from Ab (n1. 17) to D (m. 19), and bacll to Ab
(m. 20). Bt1r the rhychmic con.t1ec.Lior1 bet\tlee11 tl1.e two chords is te11ous.
For the fourth .beat of measure 17 is unquestionablyr t l1e beginning of ar1
anapest r.hytl1m \\' l1ich reaches rer11poraf}r closure in me41sure .19, as the anal-
ysis under Example I 44A s'ho\VS. I""iowe,rer, thot1gh the fourt:l"1 beat of mea-
s11re 17 is 111arked. bec<1use it js the beginning of a rh ythn1ic group, its n1etric
position is \Veale. Co.nseq\1e11cly, fro1n a melodic point of v i e v ~ the bass (B)
seems like a passit1g-to11e bet\veen ,C and the Bi, ar the beginning of m.ea-
sure 18.
T he proximate co11Sequence of this set of relationships is, as we shall s e e ~
that tl1e Ab chord is pri111arily related not to the phrase '\ivhich im:mediately"
follows, bur to the dorninru.1t:-to11ic progression at th.e end of the tl1eme, in
rne.asLtres z.o and i r. The more remote consequences are to be foi1nd at the
beginning of the development sect.ion and it1 the coda.
After a chord on the domiruu1t of Eb major, tl1e development section
conrint1es witl1 the Ab-major to G-r11a)or relationship (Exarnple 145A) . Bt1t
+
Example 145
Material corn d1roitos autorais
A SUMMARY EXAMP'LE
now the progression moves to;. and is understood as being in, C minor-which
appropriately enough is the main key of the development. But here too, th.e
rnocion is quite uoiform and continuous .rather than cade11tial. '\Vbat seems
to be called for is a cade11ce in\rolving the Ab to G, chord. progression which
can b.e un.equi1roca1Iy interpreted in the Eb major; and ideally one which
n1oves through a V chord progression.
And tl11s is preci9ely what occu.t'S at the crucial cadence of the coda
(Example 1.4.; B). There, the G-major triacI is as a passi11g cl1ord-a
possibility iI1 the Allegro theme-\.vhich moves to 1: in Eb n1ajor. TI1e great
imp<>rtance of the cadence is sho'\vn in the fact that follo,ving it, the ' ' Lebe--
ivohl'' motto is presented f 01 the first tin1e i11 ics archetypal, l1orn-fifth_s form
( meas11res r 97-199). With this cadence che ''problem'' generated b:y the
deceptive cadence in measure 2 is literall}r
4) Tl1e develop111e11t section b:egins and ends i11 C mirior and in tllis
respect is related to the deceptive close of the horn-fifths pattern in measure 2
(Example :141 ). But the seco11d deceptive cade11co V
1
to Vl in Eb-fronl
measlu:e 7 to 8 also has consequer1ces in th.e development. After a number of
measures \'7'11ich are meJodically, rhythmically, and harmonically ambigt1ous,
a h:armony which we realize (in retr,ospect) an augmented..Jsixch chord-
in Eb minor- leads to a clear do111inant-sevenrl1 cl1ord. in meas,ure 87
(E.xample 146).
--
-- .
I
Here, for a brief moment, the relarionslup betw'een the deceptive cadence
in minor and the l1alf-step progression of t'h.e Allegro seems to be n1ade
explicit. The motion of tl1e dominant of Eb minor to, Cb maj or in measure 90
is the same as that of the dec,epti\re cadence at measure 8 (Exarnple 147,
graph 1 )
1
and the re,rerse motion, .. f:rom the Cb-major triad to the Bb-major
one is the same as th.e half-step progression of tl1e Allegro th.e,m.e (graph 2.).
Material corn direitos autorais
EXPLAIN'ING l\.II'USIC
.
:r-Jl
E:.-<a1nple 147
3.
There is a c:o:ntemplacive, itnprovisatory quality abouc the slow intro(iuc-
tio11. Tl1e "quasi fan.tasian feeling is the .result of a. lacl<. of strongly processive
relationships between successive foreground .events. (Note agai11 tl1e inti-
mate. co11nection benveen ethetic and implicative relationsl1ips-and hier-
a.rchic ones as <t:vell. ) Patterns rend ro be qture closed, or, if they are not so,
tl1e syntaccic connections beN
1
een them are sig1rificantly attenuated. Conse-
qt1eritl though there is l1jerarchic structuring \\ritllli.1 lo\\r-level patternings,
ther.e is little betwee11 them. In. a sense the is a potential hierarcl1y
rather th.an. an acrua.lized on.e. Yet the 111otion is goal-directed) nor
desultory.
The '(Lebe,vohl
11
motto with '\vlucl1 tl1e introiiu.ccion begins is, as em-
phasized earlier, a palpable, '\vell-defined pattern. The 111elodic 11loti:o11 from
third to ro1uc
1
the harmonic pla11 frorn tonic to dorninanc to (possible) tonic,
and the limits specified by tl1e scl1en1a itself-all n1ake us a'\vare tl1at the pat-
tern is at least complete. Though not f orcef uUy closed; the
pivote<i rhythmic patt ern, J J j J , is end-accented and nor i1iarkedly
,- "-'l -
' - 7
on-going (Example 148.A, level r) . T he group is mobile and implicative be-
cause of the powerful effect of the decepti,re cade11ce, ru.1d because at the
beginning of the 1no\ren1e11t we i1.atuntll;r look forward to n1or.e mt1sic.
of the conseqt1ences of the deceptive cad.ence have already been
co11sidered. One more iwill concern us here. The deflection from a clearly
implied tonic establishes a :particularly powerful harmonic goal - one re-
generated in measures 7 and 8 by a second decept ive cadence: an unequivocal
authentic cadence i 11 the tonic, Eb major. The '' need'' for such a cadence
acts Jike a magnetic pole, gi\ring direction to the Ada.gio even as it appears
Material corn d1re1tos autorais
A SUMMARY EXAMPLE
to be ctiriously inconclt1sive and hesitant. Ti1e tonic goal creates tl1e am-
bience within ' vhich the ensuing e,1.ents are underStood; the first twenty
n1easures have an .authentic cadence in Eb as their primary and principal goal.
9
Becat1se the patterning of tl1e motto is q11ite closed. and because no har-
mo.tuc, melodic. or rf-1ytl1nlic process connects it to the prolongation"' tl1e
rela.tionship between them is essentiall }' additive. The prolongation follows
the 1notto bt1r is not implied b)T and does nor follow f1om the motto. For
these reasons, tl1e motto tends to be un.derstood as a discrete entity, connected
not so much wicl1 tl1e measures '\\rrucl1 con1e directly after it as with its
varied repetition in measures 7 and 8.
The first two 1neasures of th.e prolongation create a clearly end-accented,
ar1apest rhytl1mic group on the }}rimar)r (I) level (Exan1ple z48A). Both
because the B is implied by the seco11d gap-fill patterning 3} and
because the dominant l1acnno11y is the goal of the preceding harmonic pro-
gression (C minor:
111
2
24on. [ Ex. 124B]
String Quartet in Eb ;\t1ajor, Opus 115,
II: 134-139, r45 n.
1
!.iZ.t 1741 196 n.
(E,x ..
Trio for and St:rings, Opus 221 fl :
228-230 [Ex. !1.2]
Sct1un1ann, R.:
Alb11111 for
Marchu:
tl;e Y 01,ng, "Soldier's
121, 125-130, 140, !..!.i !Ex.
Quartet for Piano and Strings, Opus .4L
I \ T: 108-212, !..!..4 [Ex. 109 & 111-114]
Quintet for Piano a11d Strings, Opus
ll: ii f. [Ex. 1.!J
Sn1etana, F.: .
Vlta'1...n (The 1\ 1Ioldau): L.6a f., 166, u8
Sr.rauss, R.:
Till E11lrmspiegel: 123, 16r-163, 174,
[Ex. W
Stravinsk}
1
, L.:
Octet for "'' inds, 1: 209 [ Ex. I roB]
Petroz1cbka: 123-125 rEx. 61]
Telemann, G. P.:
Suite in A i\1inor for Flute and Strings,
11: 158-160 [Ex. W
T chaiko,\sk\, P. L
,
Symphony No. il l\' : 'E [Ex . .+3A]
Wagner, R.:
Die 1\leistersinger, Prelude: 68 [Ex. 38]
Trista1i u11d I solde, Prelude: 135- 139
[Ex. 133]
Mat nal com dtr 1tos autora1s
f'
cll.lj)tcr cc>11ccrns the significance of r110-
ti\ ic si111ilarirics and, more s1Jccificall).
rl1c 'iL '' J)<>i1lr <>f critics such as Rt1<lc>lf'h
llcri. J he f1,t1rrh cl1ar>rer cc>11sidcr<; the
11arurc c>f hicrarcl1ic srruccures-rl1c ,,.<l\' S
in '' hich fc>rn1 a11<l l'rocess, conri11t1it)'
anti clc><;urc, i11rcracr.
1 he \CC<>n<.I, an<.I n1c>sr a111biric>t1s, })ttrt
<>f the L><><>l.- accc111prs ro establish a fc>un-
tlacici11 f<>r criticis111 <>f t<)nal n1clc><l\. Jr
a11al.\ /'.cs 111c.:lc>tlic: rclaric>nships as f)roccsscs
i11 \\ hicl1 earlier in11)ly 1>r<>b-
al>lc ccn1ri nuari1>11s a11d pc>ssiblc l<:i11ds of
clc>surc. f 111plicat ic>11s 111a) IJc realized at
()llCC Clr lll,1)' l1c tlcla)cd: the (JrC)CCSSCS
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