WILLNER, Channan - The Polyphonic Ursatz
WILLNER, Channan - The Polyphonic Ursatz
WILLNER, Channan - The Polyphonic Ursatz
Channan Willner
Apocryphal stories are not only the best; they are the most revealing, too. No one
knows whether Schoenberg ever did exclaim, “Where are my favorite thirty-second
But the story does express the sentiments of many who feel that there is something
something may turn out to be a different component of the analyses for each of us, of
course. For me, it is the pair of inner voices that supports the outer voices of the
fundamental structure. The absence of inner voices from Schenker’s depictions of the
beautifully. See Example 1, which shows several ways of reading the Allemande from
Handel’s D minor keyboard Suite (Book I, 1720). At a, the structural upper voice is the
soprano, and it descends from a high F, the structural 3^. . At b, the structural voice is the
alto, and it descends from the lower A, the structural 5^ . Common to both graphs is the
omission of obbligato voices from the Ursatz. (In place of “inner voices” I use the more
I am not the first to quibble about the fate of obbligato voices at Schenker’s hand,
nor the first to attempt redressing the issue by restoring these voices. David Neumeyer
1
For a slightly different version, see Babbitt 1991, pp. 130-31.
2
Rothstein 1990b, pp. 101ff.
The Polyphonic Ursatz, p. 2
has already blazed an “obbligato trail” with his three-part Ursatz, which allows for the
structural descent of both soprano and alto.3 Example 2a, of which more later, revisits
the Handel Allemande and incorporates the two upper voices, following Neumeyer’s
models. Felix Salzer often added inner voices to his background graphs, if without
making an issue of the matter.4 Wayne Petty has pointed to the possibility that an
obbligato tenor might on some occasions assume the function of the bass during a sonata-
movement by the tenor at the distance of an octave above the tonic of the bass;6 Brent
Yorgason has demonstrated that inner voices may display “Urlinie envy” and may in fact
assume the role of the Urlinie itself in the course of the piece;7 Carl Schachter has noted
that the Urlinie might be submerged well below several obbligato voices arpeggiated
high above;8 and Eric Wen has demonstrated that the Urlinie frequently migrates to the
bass.9 Here I should like to collate these theorists’ observations and to take the further
step of transforming the three-part Ursatz into a polyphonic Ursatz—if not one in which
all four voices are equal, nor one in which the tenor part embodies a genuine structural
voice.10 I emphasize that this is more of an empirical than a theoretical proposition, since
the background structure does indeed remain two-voiced at the very deepest level. The
obbligato voices realized by the alto and by the tenor unfold a little closer to the surface
3
Neumeyer 1987b.
4
Salzer 1952/1962. See, for instance, the background sketches in Vol. 2, examples i-viii
and many others throughout.
5
Petty 1999a.
6
Burkhart 1973.
7
Yorgason 2003. I thank Brent Yorgason for making a copy of his paper available to me.
8
Schachter 1994.
9
Wen 1999.
10
In responding to Neumeyer 1987b, Steve Larson skeptically posits a similar possibility;
see Larson 1987, p. 26.
The Polyphonic Ursatz, p. 3
than the fundamental two voices do. But in practice, as an aural and as an analytical
the alto.11
more structural: the soprano or the alto? Despite the soprano’s prominence, it’s actually
the alto’s descent that usually provides the scaffolding over which the thematicism of the
piece rests, at least in the Baroque repertoire, if not in later music. When the alto is
structural, the soprano represents an obbligato voice superimposed above it. Example 2b
illustrates this structural norm: It shows how the soprano’s 3^ –2^ –1^ descent in Handel’s
Allemande bows to the alto’s 5^ –4^ –3^ –2^ –1^ descent. The Allemande is reproduced in
Example 3; the two passages that are boxed in the Example are the ones we shall be
looking at. The brackets in Example 3 call attention to the Allemande’s most important
thematic feature, namely the progressive enlargement of its opening turn figure, bb1-a1-
g1-a1.12
To analyze the two boxed passages we need to preview the relationship between
the bass and the tenor. In theory, the structural status of the bass would appear to be
contrapuntal textures of the Baroque—the bass does let the tenor take over its line for
long periods of time, either while it remains standing tacitly below, or while it moves
forward silently in slow and stealthy steps that are implied by the larger voice leading of
the piece. Example 4 illustrates one of the reasons why the bass might go into hiding and
11
Unlike the distinction between a long-range voice and a local part, which Eric Wen has
already addressed in his admirable study. See Wen 1999, pp. 277-79.
12
Kamien 1983b describes progressive motivic enlargement.
The Polyphonic Ursatz, p. 4
become a hidden bass: the prevention of long-range, underlying parallel fifths between
the bass and the tenor.13 When the voices ascend, Handel usually averts these fifths by
unfolding them from the bass up—or, more rarely, from the bass down—and letting the
tenor move first (Example 4a). This creates a long-range intervallic 5-6-5 progression
between the two voices (also known as a 5-6 exchange or a 5-6 progression for short).
The procedure is shown in Example 4a in its more common, ascending form; the lowest
staff of the Example shows how the tenor may temporarily dip below the bass through
intervallic inversion. I’ll discuss this progression later, when we attend to the contents of
When the tenor and the bass descend (Example 4b), Handel lets the bass
move first (top staff, Example 4b) but often varies the progression in such a way that a 5-
4-5 rather than a 5-6-5 succession between the bass and the tenor obtains at levels closer
to the surface (middle staff, Example 4b). In this instance—this is the subject matter of
our first box—two linear progressions come into play, linking both the bass and the tenor
with the adjacent obbligato voices (the first part of the bottom staff, Example 4b). They
also introduce a last-minute transfer of the tenor to a register below the bass (the second
part of the bottom staff, Example 4b), covering up the underlying progression almost
completely. Indeed, owing to the tenor’s descent to the lower register, the progression’s
13
For a detailed account of this feature see my “Bach, Handel, and the Hidden Bass”
(forthcoming).
14
Beginnings and endings of progressions are often covered up in this way in the high
Baroque repertoire, rendering one’s analysis all the more complicated. And, to
compound one’s difficulties, there is the frequent overlap of progressions (which,
however, merits a separate study; see Wagner 1995).
The Polyphonic Ursatz, p. 5
(Another common reason for hiding the bass and exposing the tenor, which I
mention here for the sake of comprehensiveness, is the need to insert a parenthetical
cadential prefix—a rising third—between the subdominant and the dominant in order to
add time and lend substance to a cadential progression (Example 5a). The prefix, which
can be enlarged over the span of many measures, originates with the tenor or, less often,
with the alto, and appears at the bass register.15 Still another reason has to do with the
realization of a long-span polyphonic dialogue between the bass and the tenor when they
move in parallel thirds or sixths, often against similarly parallel motion in the opposite
direction between the two upper voices (Examples 5b and 5c). When, during such
dialogues, the tenor voice has its say, the bass must of necessity rest.16)
* * *
The two passages boxed in Example 3, with whose contents we shall now be
occupied, span the opening eight measures of the Allemande and a group of nine
measures near the end of the piece (bars 17-25). In the course of the opening measures,
all voices descend a step from the key of D to the temporary key of C; in the course of the
later passage, the two upper voices, both displaced registrally, carry out much of their
structural descent. Within the second box the bass rises from the mediant to the dominant,
Looking at the first box we can see how a1, the alto’s structural 5^ , is established
as the primary structural tone in bars 1 and 2; and we can see how the high f2, the soprano
line’s primary tone ^3, is established in bar 3 (both 5^ and ^3 are prominent in the
foreground and middleground sketches in Examples 6 and 7). By the last complete
15
Rothstein 1991, p. 327, fn. 50, and Rothstein 2007; see also Bach 1949, p. 256.
16
In Willner 2000 I discuss such situations in detail.
The Polyphonic Ursatz, p. 6
measure of the boxed passage, bar 7, the alto has moved down to g1 and to g#1, and the
soprano, suspended as it were all the way from bar 3, has regained its high f2—only to
fall, appoggiatura-like, to e2 just before the box closes (bar 8a). In between, the
Allemande’s melodic line traverses a zig-zag dialogic journey from the soprano’s high
ambitus down to the alto’s middle register, lingering around the alto’s g1 and improvising
an enlargement of the Allemande’s opening turn figure, bb-a1-g1-a1, over the sustained
bass tone C (bars 5b-8a; see the upper brackets in Example 6a). These events, which
culminate with the arrival of G# and our first glimpse of the dominant, A minor, in bar 8,
are presented schematically in Example 6a. The Example discloses that although the alto
and the tenor both move from A to G, an octave apart, each part maintains its own
The bass and the tenor, as they move down from D and A to C and G, engage in
the dual task of averting their impending parallel fifths and accompanying the upper
voices. It is here that the tenor intervenes and takes over from the bass for the first time:
Its fall from A to G becomes the main event of the progression, and it is placed under the
longer bass movement from D to C (see the curved arrows that run from a to A and from
G to g in Examples 6a and 6b). The bass ascends from the opening D to an inner-voice F
across bars 1-2 (see again the tonal reductions in Example 6, which are more detailed
than the schematic sketch in Example 4b or the middleground graph in Example 7). To
describe the progression more closely from the beginning of the Allemande: At this point
(bar 2b) a long descent begins. It connects the inner-voice F, through an intervening D
The Polyphonic Ursatz, p. 7
(bar 3b), with the tones A and G at the end of bar 4. That is where the tenor’s G, sounded
an octave below its proper register, enters. An ascending fourth, G-C, then links G with
the bass’s C across bar 5. Example 6b shows how between the aforementioned tones D
and A the progression also offers a 7-6 suspension series in support of the dialogue
between the descending upper voices (bar 4). It then goes on to show how the alto, the
tenor, and the other incidental obbligato voices add local enlargements of the
Allemande’s opening turn figure, Bb-A-G-A, once the bass C has been reached (bars 5b-
* * *
Because the bass line is by its nature disjunct at any level, its tendency to call
upon the tenor for help (by way of exchanging roles and registers) inevitably leads to
substantial disjunction in the tenor line as well. At levels close to the foreground, and at
the foreground, the tenor—impersonating the bass—is likely to simulate the bass’s
signature movements, often for the entire duration of its masked appearance. Across the
span of a complete movement, with the tenor stepping into the shoes of the bass at
irregular but frequent intervals, the line the tenor draws will consequently not describe a
obbligato part—now linear, now disjunct—a “utility part,” called upon to accomplish
Before we move on to the second box of Example 3, let us look at the tonal
reduction in Example 7. The reduction explains the way the first box fits into the larger
scheme of things during the first reprise, and it charts the path which the second reprise
takes to reach the mediant, F, at bar 17—where the second box begins. By the time the
The Polyphonic Ursatz, p. 8
key of F has been reached, the alto and the soprano have regained their principal tones, a1
and f2, and they have returned to the two distinct registers with which we associate with
them. However eventful in the foreground, the connecting passages (those between the
boxes) move slowly and cautiously; their middleground reduction (Example 7) discloses
only modest neighbor-note figures and unfoldings. During the time taken up by the
connecting passages, the background structure rests as it were, patiently waiting for the
middleground to complete its falling arpeggiation from the opening tonic to the mediant
via the dominant at the double bar. Once the mediant, F, has been reached, the
Our focus will now be on how the bass in the second box rises from F to G and to
A in bar 23—from the mediant to the subdominant qua supertonic in first inversion, and
to the dominant—and on how the tenor helps the bass to articulate this ascent. I shall also
address the upper voices’ concurrent structural descents, if more briefly in order to draw
a more comprehensive picture of the tenor’s role in the larger scheme of things.
As they did earlier, the bass and the tenor engage in a horizontalized dialogue
whose purpose it is to forestall the evils of impending parallel fifths. The step-by-step
series of sketches in Example 8 discloses that the bass F in bar 17 tries to continue on to
the G that ultimately arrives at the downbeat of bar 23 (see Example 8a). The arrival of
G is delayed by an arpeggiated detour, this time upwards, to the tenor’s intervallic 5-6
motion (Example 8b; recall Example 4a). The tenor extends its 5-6 motion, C-D (bars 17-
21), by dwelling on a chromatic passing tone, C#, and on an introductory upper neighbor,
D (Example 8c). To elaborate the progression and to give it length, both D and C# are
first realized higher up by an obbligato voice in the one-line octave (bars 18, 19, and 20;
The Polyphonic Ursatz, p. 9
see the 8va sign in Example 8c).17 Notice that the tenor no longer moves at the distance of
an octave from the alto, as it did in bars 1-8. The tenor has migrated down a sixth from its
previous “station” at A (which it occupied during the entire first reprise) to a new station
at C (compare the tenor line in Example 7b with the tenor line in Example 9b). This is
what I meant when I indicated that the tenor migrates from one tonal area to another, in
Let us now take a closer look at the components of the “grand detour” of bars 17-
23. First, the connective arpeggio F-A-D in the middle of bars 17, 19, and 20 reaches up
to the tenor’s final D (Example 8d). The arpeggio fills much of its ascent by step as it
climbs, and along the way it simulates the subdominant, at bars 18a-19a, the dominant at
bars 19b-20a, and the tonic, at bar 20b (Example 8e). The connective voice leading then
reverses its direction: The complementary arpeggio D-Bb-G brings us down from D to
the long-awaited G, filling in its descent by step at the downbeats of bars 21, 22, and 23
(Bb, A, and G, Example 8f). The descent outlines a genuine subdominant, but the need
for tonal variety promotes a colorful substitution of the subdominant by a supertonic 6/3
at the turn of bar 23. The completion of the progression at the dominant’s A, in the
middle of bar 23, enables Handel to expand the Allemande’s opening turn figure at
several levels, as if the figure were the subject for learned improvisation (see the bracket
in Example 8f).
17
The D, which occupies bars 18 and 19, appears before the C# of bar 20. It serves to
mitigate the harshness of the tenor’s underlying C-C#-D chromatic progression. Schenker
explains this principle in Free Composition (Schenker 1935/1956/2001), §249 (pp. 91-
92), Figure 114. The way C-C# is intensified by the neighboring D here parallels the
intensification of G-G# by the neighboring A in bars 5b-8.
The Polyphonic Ursatz, p. 10
On top, the Allemande’s main concern is with the soprano’s climactic fall from
turn figure minus its closing tone (see the bracket in Example 9a; a glance ahead at
Example 10a discloses that both Bb and G are ornamental tones placed above and next to
the soprano’s structural F). Once g2, a local neighbor note that feigns to be a structural
neighbor note, has been sounded, the soprano’s high register is all but abandoned (see the
ellipsis sign in Example 9a). The soprano’s later continuation to F and to E takes place in
the one-line octave, right above the aforementioned Bb-A-G (bars 21-22-23). Only the
brief excursion to e2 and d2 at the turn of bar 25 hints at the presence of the soprano’s
earlier tessitura, and the brevity of the excursion confirms our preliminary impression
that at the deepest level the soprano is but a superimposed obbligato voice.
What the alto and the bass do vis-à-vis the connective thread Bb-A-G in the large
octave is still more remarkable. The falling third Bb-A-G in the low register and its
continuation to the dominant on A at the middle of bar 23 not only expands the
Allemande’s opening turn figure but also takes over the alto’s structural line. A
comparison between bars 17 and 23—and a look at the heavy beam between the staves in
Examples 9 and 10—reveals that the alto’s fall from A to G (5^ to 4^ ) has been entrusted to
this space-filling, thematically cathartic enlargement. The melody above the enlargement,
accommodates the soprano’s structural descent.18 At bar 23, both the alto and the bass
18
The rhythms of the melody’s passagework—and the pointed sharpness of its off-the-
downbeat rising leaps—are a gloss on the rhythms and leaps at the turn of bar 3 and the
middle of bar 3.
The Polyphonic Ursatz, p. 11
converge upon G. While the bass then proceeds to A, in the middle of the measure, the
Once the bass A has been established, only a few issues remain for the Allemande
to work out. These include the completion of the alto’s descent—in both its proper
register and again in the register of the bass—and the bass’s gradual reclamation of the
tonic. Like many pieces in binary form that have reached their climax with an expanded
sequence late during the second reprise, the Allemande has neither the time nor the space
to deal with much more than the tonic’s reassertion (see Example 9 and 10).
As for the tenor, after reaching the D of its 5-#5-6 motion at the middle of bar 20
and continuing up to E (bar 23), it does not stop its ascent: It climbs further, up to G (bar
24b, Example 9b). At this point something special happens: The tenor tries to reclaim its
connecting the A of bar 17b with the closing tonic’s upper third, F (bar 27, Example 10).
The tenor now begins to move restlessly between A and G on the one hand and D and E
on the other; see the straight lines that connect these maneuvers in Example 9b. Only at
the very end of the Allemande does the tenor comes to rest, on F.
Examples 10 and 11, we can see how the tenor prolongs A but migrates down to C, D,
and E for a substantial stretch (bars 17b-23a) without any contrapuntal procedure to link
the tenor’s two distinctly different areas of operation (see Example 10c). On the whole,
the tenor projects a 5^ -6^ -5^ -4^ -3^ line which, despite its focus on ^5 , is interrupted halfway
by the excursion to C-D-E. If we put the tenor together with its three companion voices
we’ll see readily why a structural graph, one that is very close to the background of the
The Polyphonic Ursatz, p. 12
the migrating obbligato tenor;19 see Example 10a. Because the tenor is more of a disjunct
“service part” than a truly homogeneous contrapuntal voice, and because as such it
wanders through the texture, its inclusion problematizes the sketch and the theory
underlying the sketch. Intended to reduce and to clarify, the sketch in fact runs the dual
risk of becoming too cluttered and veering too far off from what Schenker meant by
“background.” The addition of the tenor brings with it polyphonic details that are usually
omitted even from the deep middleground (let alone the background) graph, but in so
And yet tonal music—and Baroque music above all—is polyphonic to the core:
not two-voiced, nor three-voiced, but four-voiced. Leaving out those parts of the
scaffoldiing that support one’s favorite thirty-second notes does alter the meaning and the
sense of one’s analysis. It also changes one’s aural picture of the music. It consequently
hampers the realization of the structural reduction’s mandate: To provide a visual and
experiential emblem of the music’s scaffolding at the very background. Nonetheless, this
task can be accomplished—by summing up, however cryptically, not only the movement
of the alto and the soprano but also that of the tenor. See the proposed background graph
in Examples 11a and its more drastically reduced companion graph in Example 11b.
Such a blunt summary, of necessity, reduces the tenor line down to a 5^ - 4^ - 3^ descent (as
19
Not to mention the obbligato soprano line.
The Polyphonic Ursatz, p. 13
of some of the tenor’s middleground forays (especially in Examples 11c and 11d), the
visual summary succeeds in making the tenor’s presence known loud and clear, without
Ultimately, the significance of the two principal obbligato voices and the reason
for retaining them in the background rests with the purpose they serve: They provide the
tonal means by which the two lines of the background structure open up, arpeggiate, and
unfold at the later levels. Searching for a metaphoric image one might say that they are
the wings that allow the bird to take off and fly.
Letting the Ursatz remain in a state of polyphony points to the dependence of all
already emphasized that the migration of the alto’s structural descent to the lowest
register (as in bars 21, 22, and 23), for all the structural drama it enacts, is a very common
phenomenon. So is the alto’s second migration, to F in the lowest register, in bar 25 (see
20
Owing to difficulties in resisting the tendency of 6^ in minor to fall back to 5^ , and to
related difficulties of raising 6^ chromatically over long spans of time, this progression
does not lend itself to composing out on a large scale in the minor mode. Examples
nonetheless can be found throughout Bach’s suites, sonatas, and partitas for various
instruments. Most movements of the D minor Suite for Violoncello Solo, for instance,
close with a motivically charged ascending Urlinie. Rothstein 1991, pp. 306-7, and
Schachter 1996, pp. 333-41 (especially 338-39) take up the question of levels raised by
David Neumeyer’s notion of the ascending Urlinie; see Neumeyer 1987a.
21
Specifically, invertible counterpoint at the octave. Franck 2006 demonstrates brilliantly
how invertible counterpoint at the 12th may affect the disposition of the structural voices
of the Ursatz under fugal circumstances, and how it may take part in composing out the
Ursatz. I thank Peter Franck for making a copy of his paper available to me.
The Polyphonic Ursatz, p. 14
the alto’s beam in Examples 9 and 10).22 The polyphonic Ursatz sets the proper stage for
presenting and interpreting this invertible counterpoint in its larger context, and for
structure resembles a formal portrait of a senior Royal Family—the monarch and his
queen—without their siblings. The polyphonic Ursatz, by including both the prince and
the princess, adds a much-needed human and familiar touch to the tonal hierarchy.
22
By the same token—and this applies to all tonal structures—the bass may migrate
temporarily up to the soprano’s register. In the Classical and Romantic symphonic
repertoire (and above all in those that borrow from the Baroque repertoire), a lone tone
played by the double basses may take over the soprano’s wandering Kopfton, and a lone
tone played by the flutes may represent a structural bass tone. Retaining the obbligato
voices alerts us to these essential but frequently overlooked inversional situations.
The Polyphonic Ursatz, p. 15
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The Polyphonic Ursatz, p. 16
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The Polyphonic Ursatz, p. 17
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_______. Forthcoming. Willner, Channan. “Bach, Handel, and the Hidden Bass.”
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