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Music at the Turn of the Century A 19th Century Music
Reader Joseph Kerman (Editor) Digital Instant
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Author(s): Joseph Kerman (editor)
ISBN(s): 9780520311664, 0520311663
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Music
at the Turn
of Century
California Studies in 19th-century Music
Joseph Kerman, General Editor

1. Between Romanticism and Modernism: Four Studies in the Music of the Later
Nineteenth Century, by Carl Dahlhaus, translated by Mary Whittall
2. Brahms and the Principle of Developing Variation, by Walter Frisch
3. Music and Poetry: The Nineteenth Century and After, by L a w r e n c e Kramer
4. The Beethoven Sketchbooks: History, Reconstruction, Inventory, by D o u g l a s Johnson,
Alan Tyson, and Robert Winter
5. Nineteenth-Century Music, by Carl Dahlhaus, translated by J. Bradford Robinson
6. Analyzing Opera: Verdi and Wagner, edited by Carolyn Abbate and Roger Parker
7. Music at the Turn of Century: A 19th-century Music Reader, edited by Joseph Kerman
A 19th-century Music Reader
Edited by Joseph Kerman
 Music
at the
Tìirn
of Century

UNIVERSITY OF CALIFORNIA PRESS

Berkeley • Los Angeles • Oxford
University of California Press
Berkeley and Los Angeles, California

University of California Press, Ltd.

Oxford, England

© 1990 by
The Regents of the University of California

Library of Congress Cataloging-in-Publication Data

Music at the turn of century : a 19th-century music reader / edited by
Joseph Kerman.
p. cm. — (California studies in 19th century music ; 7)
ISBN 0-520-06854-8 |alk. paper). - ISBN 0-520-06855-6 (pbk. :
alk. paper)
1. Music—19th century—History and criticism. 2. Music —20th
century — History and criticism. I. Kerman, Joseph, 1924-
II. 19th century music. III. Series.
ML 196.M85 1990
780'.9'034—dc20 89-28022
CIP
MN

Printed in the United States of America

1 2 3 4 5 6 7 8 9

The paper used in this publication meets the minimum requirements of

American National Standard for Information Sciences — Permanence of
Paper for Printed Library Materials, ANSI Z39.48-1984. @
Contents

Preface vii

Transformations of Musical Language and Rhetoric

l-XII-99: Tonal Relations in Schoenberg's Verklärte Nacht Richard Swift 3
Mirrors and Metaphors: On Schoenberg and Nineteenth-Century Tonality
Christopher Lewis 15
"Quotation" and Paraphrase in Ives's Second Symphony
J. Peter Burkholder 33
Parallel Voice-Leading in Debussy David Lewin 57
Chez Petrouchka: Harmony and Tonality chez Stravinsky Richard Taruskin 71
Liszt's Experimental Idiom and Twentieth-Century Music Allen Forte 93
Engagements of Modernism: Personality, Politics, Perceptions
Decadence and Desire: The Wilhelm Meister Songs of Wolf and Schubert
Lawrence Kramer 115
Pelleas and Power: The Reception of Debussy's Opera Jann Pasler 129
Le Soleil des morts: A Turn-of-the-Century Portrait Gallery Susan Youens 151
Wagner and Our Century Leon Botstein 167
Nineteenth-Century Ideas Developed in Bartok's Piano Notation, 1907-14
Laszlo Somfai 181

Index 201
Preface

Most of the essays in this book were solicited on the count-down to modernism. The sub-
for the tenth anniversary of the journal 19th- stance of his study—like that of only a few oth-
century Music, which has sought to encourage ers published in the journal's first decade —
innovative writing about music —musicologi- contributes directly and handsomely to that
cal, theoretical, and/or critical writing —since theme.
its founding in 1977. We invited former con- Music in the period prior to Europe's first
tributors and some others to submit articles on World War has always held a strong interest for
the general question of the relations between musicians, musicologists, and listeners, an in-
nineteenth-century music and music of the terest that is perhaps even stronger today than
early twentieth century. Responses to our invi- in the recent past. For comprehensive bril-
tation were published in two special issues in liance, this period is unsurpassed in the history
the spring and summer of 1987. The breadth of Western music. The decades from 1894 to
and scope of these articles, and their collective 1914 saw the composition —and the frequently
cogency, sparked the idea of reissuing them unruly first performances — of Verklärte Nacht,
under a single cover, as a book. Pierrot lunaire, and the early works of Alban
To them has been added the opening essay in Berg, Anton von Webern, and Béla Bartók; of
the very first issue of 19th-century Music, in the three most famous operas by Richard
July 1977, "l-XII-99: Tonal Relations in Schoen- Strauss and the three famous ballets by Igor
berg's Verklarte Nacht" by Richard Swift. Stravinsky; and of practically the whole major
Swift's stylish pre-colon text encapsulates our output of Gustav Mahler, Claude Debussy, and
theme, and does so with an appropriate sense of Charles Ives. Busoni published his Sketch of a
urgency: music of the late nineteenth century New Esthetic of Music in 1907, and Russolo is-

vii
sued his "Futurist Manifesto" in 1913. Record- cate the new musical languages which evolved
ing technology began to make its impact dur- in that era, and which are still not well under-
ing this period, as we know from a memorable stood. But if this scholarly goal may seem fa-
chapter in Thomas Mann's The Magic Moun- miliar enough, its pursuit here takes some very
tain. different and novel forms. Other authors deal
It was also the period of Madam Butterfly, with reception —directly, in the case of Pelleas
The Meiry Widow, Pomp and Circumstance, et Melisande, and indirectly, in the case of
and Maple-Leaf Rag, though nothing about Bartok's copious (and copiously glossed) edi-
these works or their like appears in the present tions of earlier piano classics. In the academic
collection. The anniversary project of inviting jargon that has grown up around music, some
contributions on music at the turn of century of the essays would be described as musicolog-
under a broad, general charge was scarcely cal- ical in orientation, others theoretical, others
culated to produce a balanced history of music analytical. Most bring together historical, theo-
at the time, even if one supposes that "history" retical, and analytical insights to achieve a
in this sense is an achievable goal. What the richer kind of composite scholarship than is
project did achieve was something else: a cross- available to traditional musical studies.
section of the best writing now being devoted 19th-century Music has tried to encourage
to those aspects of turn-of-the-century music composite scholarship of this kind; there will
that particularly interest scholars today. The be time for a few words about the journal and
music of modernism, rather than the more con- its role later in this preface. But first it will be
servative music of the time, or popular music, appropriate to present a somewhat more de-
remains the focus of this interest. tailed survey of the contents of the present vol-
And modernism, of course, defined itself by ume.
contrast with music of the previous century.
Rejection of the values of late Romantic music For the purposes of book publication the essays
was part of the new rationale. In its stance to- have been rearranged into two groups. Under
ward the past, turn-of-the-century modernism the part title "Transformations of Musical Lan-
was very different from what may be called the guage and Rhetoric" I have assembled studies
second phase of musical modernism, the phase on the evolution of —or revolutions within —
initiated by Boulez, Stockhausen, and others traditional musical materials and modes of ex-
directly after World War II. It is not that com- pression. Central here is the classic problem of
posers of this second phase cut themselves off dissolving tonality, associated with Schoen-
from tradition. But they selected with some berg's "emancipation of dissonance" and his
care the past that they wanted: Webern, rethinking of structural processes, though our
Debussy, Varese. This luxury of choice was not writers are also concerned with issues of tex-
available to turn-of-the-century modernists, ture, tone, and intertextuality.
who were involved, implicated, and often Several essays in this group can be described
locked in a struggle with all the formidable le- as critical studies, or "close readings," of mod-
gions of nineteenth-century music. ernist classics. If any one work deserves to be
The focus of these studies, then, is upon called the musical standard-bearer of modern-
modernism in relation to its immediate heri- ism, Verklärte Nacht of December 1899 is that
tage. Given that focus, the cross-section will be work. "As he transcended program music in
seen to be reasonably comprehensive after all. Verklärte Nacht, so Schoenberg also trans-
Thus major modernist composers whose reflec- formed many compositional techniques of the
tions upon the past come under consideration immediate past," writes Richard Swift, who
here include Debussy, Mahler, Schoenberg, dwells especially on that knitting together of
Stravinsky, Bartok, and Ives, while older com- the linear and the vertical, the local and the
posers such as Franz Liszt and Hugo Wolf fig- long-range, that he sees as a model for the hier-
ure as precursors of modernist harmony and archical apprehension of art so characteristic of
modernist sensibility. the twentieth century. Verklärte Nacht as a
There is considerable range, too, in ap- whole mirrors the psychological motion of its
proach. Several of the authors work to expli- literary subject matter, by the fugendstil poet

viii Preface
Richard Dehmel, by means of a duplicating, in- Toorn's explication of octatonicism as one of
terlocking transformation of sonata form —the the seminal musical-theoretical ideas of recent
formal principle that in endless earlier meta- years —to music that Schoenberg wrote soon
morphoses had occupied the nineteenth cen- after Verklärte Nacht. In "Liszt's Experimental
tury. Idiom and Twentieth-Century Music," the im-
The other critical studies address works mediate results of Allen Forte's investigation
hardly less famous than Verklarte Nacht. In are perhaps hardly more formidable than the
" 'Quotation' and Paraphrase in Ives's Second author's implicit methodological claims. Iden-
Symphony," J. Peter Burkholder describes a tifying an "experimental idiom" in Liszt's
typically ambivalent modernist struggle with work, Forte traces dissonant chord-forms char-
paradigms of the past: in this case, both the acteristic of the turn-of-the-century modern-
American past of popular music, which Ives ex- ists in a long series of Liszt compositions going
tolled, and the tradition of European art music, back to the 1850s. The underlying premise is
which he did not. Richard Taruskin demon- that modern analysis —in particular, Forte's
strates how the structure of an entire scene well-known pitch-class set theory —can be
from Petrushka can be understood as the pro- used to underpin broad-ranging historical stud-
jection of a non-tonal practice that has been ies.
much discussed recently, derived from the Under the admittedly broad rubric "Engage-
octatonic scale. Descended from the "St. Pe- ments of Modernism: Personality, Politics,
tersburg common practice" of the Rimsky- Perceptions," I have grouped several other es-
Korsakov school, in Stravinsky's hands this says, addressing issues of musical engagement
scale can fairly be said to have founded a coher- with the nonmusical world. In an essay that is
ent modernist musical language. especially alert to intertextual nuance, Law-
David Lewin's essay can also be read for its rence Kramer uses Goethe settings by Schubert
striking critical insights into the work with and Wolf to reveal the response of one late
which his discourse culminates, Debussy's nineteenth-century composer to the new
Prelude Canope of 1912. His study extends fur- image of personality emerging under modern-
ther, however, adumbrating a more general in- ism. Jann Pasler in "Pelleas and Power: The
vestigation of that well-known, even notori- Reception of Debussy's Opera" examines the
ous, practice, "Parallel Voice-Leading in press notices of the opera to uncover the im-
Debussy." Debussy's parallel chords have pact upon them of politics, both musical (aca-
sometimes been seen as a product of fin-de- demicism versus modernism) and nonmusical
siecle antiquarianism, but Lewin shows that (the Dreyfus case). Detailed reception studies
their interpretation as a sort of organum—that are still rare enough in musicology, at least in
is, as essentially sonorous "thickenings" of this country, so that Pasler's piece remains sug-
melodic lines —is only sometimes right. In gestive as a model.
some instances such an interpretation can take Discussing "Wagner and Our Century,"
one down unsuspected paths into the niceties Leon Botstein finds himself revisiting the
of medieval sonority; in others linear analysis theme of Wagner as a cultural, national, and
may be more persuasive —a kind of analysis ideological force —a theme that has occupied
that rests on more familiar nineteenth-century thinkers from Nietzsche to Thomas Mann to
models. the eminent contemporary Israeli historian
Issues of critical methodology, implicitly Jacob Katz. (Has this discussion already been
raised by Lewin, serve as the explicit impetus revisited often enough? It will not be laid to
for Christopher Lewis in "Mirrors and Meta- rest finally, I believe, until the Wagner operas
phors: On Schoenberg and Nineteenth- themselves are.) And in "Le Soleil des morts: A
Century Tonality." Like a number of younger Turn-of-the-Century Portrait Gallery," Susan
musical scholars today, Lewis urges that musi- Youens draws attention to a roman ä clef of the
cal analysis should be conceived of as meta- 1890s —itself an enervated symptom of its
phor rather than model. He extends Robert times —that encodes significant, skeptical per-
Bailey's influential concept of dual tonality in ceptions of major actors in the drama of mod-
Wagner—which ranks with Peter van den ernist music during its early days in Paris.

Preface ix
 Only one of the twelve essays in this book there at the right time, as a catalyst. Being
addresses musical performance, rather than there, it was in a good position to publish a
musical texts by themselves or in extra- number of exceptionally strong and influential
musical engagement. As Laszlo Somfai's con- articles in the years following 1977.
tribution counts as one of the most unusual We can take a little more credit for another
ever to have appeared in 19th-century Music, of the journal's planks, one that was less man-
an editor may be forgiven for not finding a cat- ifest: to further a loosening-up of traditional
egory for it. Somfai examines the details of mu- scholarly discourse about music. This tended
sical notation by which Bartok sought to fix at that time to be positivistic and confined,
nuances of performance such as touch, phras- even rigid. Thus while 19th-Century Music has
ing, and so on. To this problem the author always been mainly historical in orientation,
brings information from Bartok's recordings of as its title attests, and welcomes archival, bib-
his own music, the editions of eighteenth- and liographical, and biographical essays, among
nineteenth-century piano classics that he pre- others, its pages are also open to practically all
pared around 1910, and contemporaneous edi- types of analytical, "structural" studies. Au-
tions of his own works —notably those that ap- thors have been free to try out critical method-
peared in more than one version, differing in ologies that would be less appreciated else-
notational detail. Like Pasler's, this essay is of where. As a result, the journal has never
significant methodological interest. developed a monolithic style; rather, it is
marked by variety, flexibility, and experiment.
As has been said above, these studies were as- These qualities are well demonstrated by the
sembled for an anniversary; and anniversaries essays collected in this volume, as has already
are times to look back. been suggested above.
Founded in the late 1970s, 19th-century To return to the neglect of the nineteenth
Music took as its manifest charge the promo- century that characterized institutional musi-
tion of serious studies of nineteenth-century cology until recently: the scandal lay, of
music. At that time such studies figured hardly course, in what it was that came along after
at all in this country's music-academic agenda, that particular century. Scholarly attention to
fust how invisible nineteenth-century work nineteenth-century music may have been min-
was in the postwar decades, observers of today imal; to twentieth-century music it was mi-
will find hard to believe; but those interested nuscule, and to late twentieth-century virtu-
need only get hold of old volumes of The Musi- ally nil. American musicology in the 1970s
cal Quarterly and the Journal of the American seemed to have cut itself off from current
Musicological Society, and scan the tables of music. Work was proceeding under the tacit
contents. The nineteenth was a missing cen- definition of music history as the study of a cir-
tury in the main musicological periodicals, in cumscribed past rather than as the study of the
seminars at major universities, and in job ad- past running into the present. If, as some say, a
vertisements. The question was put to the edi- major task of musicology is to show how music
tors on more than one occasion: could we hope of the past continues to affect and impress
to fill three issues a year with high-level contri- music and reception in the present, this was
butions on nineteenth-century topics? not a task musicologists were addressing.
Today the situation is nearly reversed. Nine- Nor, admittedly, was this the immediate
teenth-century studies are now among the task that 19th-century Music was founded to
strongest, most fashionable holdings of Ameri- address. If closing the time gap between the
can musicology. The turnaround happened so music of the present and the music of musicol-
fast —our issues were filled so easily and so ogy had been the journal's main impetus, it
excellently —that we have never been able to would have been called (with a nod to a distin-
pretend that our project played a truly func- guished contemporary) Music: Past and.
tional role in the disciplinary development. It Present, or something of the sort. But while
seems clear that the field was already well into such closure was not our primary impetus, it
the process of change, and that the most 19th- was always at the back of the editors' minds. It
Century Music can take credit for is being still is. Operating some way behind the line of

x Preface
battle, we still hope that by publishing serious and Richard Swift, who served as co-editors in
work on the nineteenth century, and by en- 1977-83 and 1983-84 respectively, and to edi-
couraging freer as well as broader kinds of writ- torial assistants Christina Acosta, Michael
ing about music, the journal may be accom- Rogan, and Janna Saslaw.
plishing useful support work. The history of the journal is somewhat com-
And in the special tenth anniversary issues, plicated, but it must be at least outlined here so
by soliciting essays at the very tip of our stated that we can thank the many institutions that
preserve, it was possible to present sustained helped make 19th-century Music a reality.
inquiry into the music of, if not our time, at Founded as an intercampus venture of the Uni-
least our century (as it will be for another ten versity of California, 19th-century Music was
years). Perhaps the present book, growing out edited by a troika from the Berkeley, Davis, and
of those anniversary issues, can be said to make Los Angeles campuses, with support (both fi-
a contribution to closing musicology's notori- nancial and editorial) from Irvine and Santa
ous time gap. Barbara. After the first few years the operation
was run mainly out of Berkeley and Davis, and
While the responsibility for editing this book, in 1984 an East Coast office was added at Co-
in the trivial sense of reordering and introduc- lumbia University in New York. A final, spe-
ing the articles, rests with the undersigned, cial word of thanks is due to the University of
launching the anniversary project and editing California Press, which after reviewing our
[as well as formatting) its outcome was the original prospectus deliberately —even con-
joint work of the three masthead co-editors, servatively—in 1975, has ever since thrown
Walter Frisch, D. Kern Holoman, and Joseph caution to the winds and provided unstinting
Kerman. We should like to acknowledge here support and encouragement.
the invaluable cooperation of Robert Winter

Joseph Kerman
for the Editors of 19th-century Music
Berkeley, October 1988

Preface fa xi
1-XII-99: Tonal Relations in
Schoenberg s Verklärte Nacht

RICHARD SWIFT

December 1899, emotionally if not legally the nineteenth-century compositional practice is

end of the old century, was the month in which confronted, embraced, and resolved: trans-
two compositions were completed that would formed by its twenty-five-year-old autodidact
point the direction for much of the dawning composer with an astonishing power and vir-
century's music: Claude Debussy's Nocturnes, tuosity of compositional thinking. And yet, de-
almost ten years in the process of composition, spite its popularity in the concert hall—a fact
and Arnold Schoenberg's Verklärte Nacht, often regretted by Schoenberg—the composi-
composed during that autumn of 1899. Each of tional ordering of the internal relations of Ver-
these compositions has been said to be indebted klarte Nacht has remained almost uncharted
to Wagner, the headiest musical force of the territory. 1 While clinging to the bounds and
nineteenth century: Nocturnes to Parsifal,
Verklärte Nacht to Tristan und Isolde. Even
as received opinions go, this falls far short of the •Exceptions include Andrew Porter's youthful essay with
mark; it serves here as a reminder of the muffled its comments on relations among motive contours, Arnold
Whittall's discussion of relations among the early chamber
critical attitudes typically applied to much music of Schoenberg, and Philip Friedheim's unpublished
turn-of-the-century music. With its subtle, study of Schoenberg's early music which pioneered in
luminous and subversive evasions of conven- acknowledging the sonata structure of Verklärte Nacht.
Andrew Porter, "Modern German Chamber Music," in
tional late nineteenth-century tonal and struc- Chamber Music, ed. Alec Robertson (Harmondsworth,
tural processes, Nocturnes—especially Nuages 1957); Arnold Whittall, Schoenberg Chamber Music (Lon-
and Sirènes—would seem to be the more drastic don, 1972]; Philip Friedheim, Tonality and Structure in the
Early Works of Schoenberg (Ph.D. dissertation, New York
of the two works. In Verklärte Nacht, however, University, 1963).

¿m.. 3
expectations of triadic tonality and tonal struc- book on Schoenberg,3 tried to make point-to-
ture, it suggests, through its paradoxical combi- point identifications between the poem and the
nation of rigor and ambiguity, the air of other music in the approved nineteenth-century fash-
planets that would await its composer, as well ion, and Schoenberg himself, despite his fixed
as the art and craft of music, in the awakening disavowal of such equivalences, wrote program
twentieth century. notes as late as 1950 that attempt a similar set of
Schoenberg's obeisance to the nineteenth connections. 4 Much earlier, in a 1912 essay in
century's treasured notion of "program music" Die Blaue Reiter, he had stated unequivocally
in Verklarte Nacht, and later in Pelleas und his opposition to program music of the common
Melisande, is far more subtle than that of most variety: "The assumption that a piece of music
of his predecessors or contemporaries. The must summon up images of one sort or another
symphonic poems of Liszt and his epigones are . . . is as widespread as only the false and banal
often makeshift affairs, the texts an effort to can be." 5
plaster over the seams of the music with literary As he transcended program music in Ver-
vinegar-and-brown-paper. Often texts purport- klärte Nacht, so Schoenberg also transformed
ing to have some connection with the music many compositional techniques of the im-
were added later. Naturally enough, composers mediate past. The music of the sextet does not
of such program music offered other, rather no- slavishly imitate models, but it does owe much
bler, reasons for their reliance upon texts or to the music of Brahms and Wagner, "to which a
upon literary and historical references: the flavor of Liszt, Bruckner, and perhaps also Hugo
"new music" of the mid-century had believed Wolf was added." 6 Having confronted and hav-
such programs were enough to guarantee its ing mastered those techniques—including
novelty, its estrangement from the "classical" modes of thematic construction and combina-
past, its adherence to imagined "precepts" of tion, of development and extension ("Brahms's
Berlioz, Schumann, and the Beethoven of the technique of developing variation" 7 )—the
Pastoral Symphony. For many composers, youthful composer achieved an intensely per-
though, programmatic texts remained an easy sonal style. Gone were the times of blind parti-
means of assembling otherwise unrelated mu- sanship for either Brahms or Wagner, for "what
sical materials. Tchaikovsky, at work on Ro- in 1883 seemed an impassable gulf was in 1897
meo and Juliet in 1869, received this advice from no longer a problem." 8 The stylistic and techni-
Balakirev: "Determine your plan. Do not worry cal accomplishments of those masters could
about the actual musical ideas." 2 Such a cold- now be blended without hesitation, for there
blooded dismissal of the musical generation of a was no longer any incongruity in their propin-
composition would have repelled Schoenberg; quity. Later, in "Brahms the Progressive,"
for his sextet, he chose a poem with internal Schoenberg analyzed types of thematic con-
structural relations that could be correlated struction to be found in Brahms's music. Many
with purely musical processes. The music is not
a meandering fantasy or loose improvisation il-
lustrating an anterior verbal plan, but a deter-
mined manifestation of the tonal principles of
sonata structure. If the music does suggest the 3
Egon Wellesz, Arnold Schoenberg (London, 1925).
action of the poem and its psychological mo- ••Arnold Schoenberg, notes for Verklärte Nacht, 26 August
1950, in the booklet for "The Music of Arnold Schoenberg,"
tion, it does so because the structural processes vol. 2, Columbia Records M2S 694. Schoenberg wrote that
of both the poem and the music, considered the music "does not illustrate any action or drama, but is
abstractly, are similar. Egon Wellesz, in his restricted to portray nature and to express human feelings. It
seems that, due to this attitude, my composition has gained
qualities which can also satisfy if one does not know what it
illustrates, or, in other words, it offers the possibility to be
appreciated as 'pure' music."
5
Arnold Schoenberg, Style and Idea, 2nd edn., ed. Leonard
2
M. D. Calvacoressi and Gerald Abraham, Masters of Rus- Stein (London, 1975), p. 141.
6 7
sian Music (New York, 1936). Ibid., p. 80. Ibid. "Ibid., p. 399.

4 è*> Richard Swift

of these—such as model and sequence, incom- relationships of one diatonic scale segment (ut-
plete sequence, the extension and expansion of re-mi-fa) nested in the perfect fourth. The pro-
thematic contours by diminution or augmenta- found effects of this scale segment in shaping
tion of temporal patterns—are similar to the es- the musical structure and its textures can be
sential thematic unfoldings, continuations and traced both in relations among strands of pri-
developments of Verklärte Nacht. mary and subsidiary motivic material and in
To cite a specific case, the melody in exam- large-scale tonal relations, while local tonal
ple 1 unfolds downward-leaping fourths that connections unfold a network of parallel inter-
expand to fifths and sixths in a sequence (mm. vallic relations.
2 5 9 - 6 1 ) whose half measure is a diminution of To have begun by emphasizing the purely
m. 255. The climax of the melody (mm. 262-64) musical aspects of Verklärte Nacht is not to
combines upward fourths and downward fifths minimize the importance to Schoenberg of the
in a rhythmic structure that includes both the poetry of Richard Dehmel. "At the end of the
previous eighth-note pattern and an irregular 19th century, the foremost representatives of
diminution of m. 256. The final descending the 'Zeitgeist' in poetry were Detlev von Lilien-
scale in even eighths smooths out the linear and cron, Hugo von Hofmannsthal, and Richard
rhythmic angularities of the melody (ex. 1): Dehmel." 9 Between 1897 and 1907, according
to Jan Maegaard's brilliant reconstruction of the
chronology of Schoenberg's music, 10 Schoen-
berg completed or sketched fourteen settings of
Dehmel's poems, in addition to sketching two
uncompleted orchestral works and composing
the sextet. Three of these settings were com-
pleted shortly before or during the composition
of Verklärte Nacht: Warnung, op. 3, no. 3 ; Er-
wartung, op. 2, no. 1; and Erhebung, op. 2, no. 3.
In 1912, Schoenberg replied to a letter from
Dehmel, who had expressed the pleasure given
him by a recent performance of the sextet:

Example 1 Your poems had a decisive influence on my develop-

ment as a composer. They were what first made me
try to find a new tone in the lyrical mood. Or rather, I
found it even without looking, simply by reflecting in
music what your poems stirred up in me. People who
know my music can bear witness to the fact that my
Schoenberg was to dub Grundgestalt, or first attempts to compose settings for your poems
basic shape, that rationalization of the mate- contain more of what subsequently developed in my
rials of music made to create relational con- work than there is in many a much later composi-
nections at every level, to make richly con- tion. 1 1
gruent compositional contexts. Hierarchical
reduction as a critical tool was deduced from The estimate of the importance of Schoenberg's
this fundamental and universal aspect of com- Dehmel settings in the development of his style
positional thinking; in the twentieth century,
reduction becomes a primary mode of ap-
prehending works of art (in music, from
Schenker onward) and, in an extended interpre- 'Schoenberg, notes for Verklärte Nacht, Columbia Records,
tation, a mode of comprehending the relations op. cit.
of human nature in the world (from Husserl ,0 Jan Maegaard, Studien zur Entwicklung des dodekapho-
onward). When applied to the music of Ver- nen Satzes bei Arnold Schoenberg (Copenhagen, 1972).
"Arnold Schoenberg, Letters, ed. Erwin Stein (London,
klärte Nacht, reduction reveals the inter- 1964), p. 35.

l-XII-99: Tonal Relations in Verklärte Nacht 5

contained in the last sentence quoted above has III. 1 Z w e i M e n s c h e n gehn durch nebelnassen Hain
not been surpassed by later critics. Richly
Z w e i M e n s c h e n stehn, als sei ein Schwur ge-
worked-out contrapuntal textures and a dense fallen.
allusiveness of pitch and interval relations
make the settings of the Dehmel poems in opera
2, 3 and 6 far superior to the settings of other Similar constructional ingenuities are shared by
texts in the same collections, admirable as these the other poems in the novel; they are typical of
may be on their own terms. Dehmel's poetry.
Despite the present low ebb of his literary The Verklärte Nacht poem, printed in the
reputation, Dehmel's poems enjoyed consider- score of the string orchestra arrangement, has
able vogue in pre-World War I Germany and irregular line groupings—six lines for the open-
Austria. Their mildly erotic tone combined ing description of the physical scene, twelve
with striking post-Baudelairean and post- lines for the woman's confession, four more
Nietzschean sensuousness of imagery and lan- lines of description, eleven lines for the man's
guage to give an impression of sexual candor so avowal, and a final three lines affirming their
typical of Jugendstil. The poem that serves as union—and a rhyme scheme which illuminates
point of departure for Schoenberg's sextet was line structure with pairs of rhymes at the begin-
published with the title Verklärte Nacht in the ning of each division, intricately unfolding
first edition of Dehmel's collection Weib und rhymes for the woman's speech, and tightly en-
Welt (1896), and later was incorporated into his folding rhymes for the man's. The "double" ex-
verse novel Zwei Menschen (1903).12 Although position of the poem, with direct speech of the
the novel postdates the composition of the sex- woman and the man, must have provided an
tet, it exhibits a pre-compositional planning impetus for Schoenberg's novel structure—a
that must have appealed to the composer. It pair of sonatas with contrasting, although
consists of three parts, each containing thirty- closely related, motivic materials and tonal re-
six poems (Vorgänge) of thirty-six lines each. A lationships. It must also have suggested the
twelve-line Eingang precedes each part; there is combining and blending of motives from the
an eight-line Leitlied at the beginning, and a first sonata with those in the second. The great,
four-line Ausgang at the end of the novel. Allu- if simple, shift of mode from predominantly
sions and resonances among words and themes minor in the first sonata to predominantly
abound among the poems in the three parts of major in the second serves to emphasize the rel-
the novel. For example, the first poem in each ative rhythmic and melodic incompleteness of
part has beginning and ending lines that echo the first and the relative rhythmic and melodic
back and forth, like a transformed refrain: completeness of the second. The development
of these contrasts is resolved in the tonal seren-
I.1 Zwei Menschen gehn durch kahlen, kalten ity of the coda.

Hain. Although usually described as being in five

sections, Verklärte Nacht consists of the two
Zwei Menschen gehn durch hohe, helle N a c h t . intimately related sonata movements, the first
of which has a truncated—if not to say im-
II. 1 Z w e i M e n s c h e n reiten durch maihellen Hain
pacted—recapitulation of first group materials
Z w e i Menschen reiten in die Welt.
only. The two sonata structures are preceded by
an Introduction, and they are linked by a Transi-
tion in which the materials of the Introduction
12Verklärte Nacht appeared on p. 61 of the 1896 edition of return in a tonal area made important in the
Weib und Welt; it was removed from later editions after
Zwei Menschen was published serially in Die Insel,
Introduction ([>vi) and are provided with a new
1 9 0 0 - 0 1 and in book form, 1903.1 am indebted to Barbara cadence. Sonata II has a normal recapitulation.
and Roland Hoermann (who are not responsible for opinions (References are to the sextet; measure numbers
expressed here] for discussions of Dehmel's poetry and the are the same in the string orchestra arrange-
fin de siècle German literary world; also to Dorothy Swift
for her usual invaluable help and advice. ment.)

6 Richard Swift
Introduction (1-28) i (D minor) successors—Schoenberg was to transcend by
such means the tonal principles of sonata
Sonata I exemplified by the neo-classicism of Brahms,
Exposition
First Group,Part I (29-49) i
Bruckner, and Strauss.
Part II (50-62) In its simplest form, the global tonal scaf-
Bridge (63-104) bvi
folding of Verklärte Nacht can be reduced to:
Second Group (105-132) i—II—(i)—III—iv—I, or ut-re-mi-fa. This scale
Development II segment permeates the fundamental linear and
Part 1(132-168)
Part II (169-180) vertical progressions of the entire sextet. It is
"Recapitulation" (shortened) the primary element of the Introduction, whose
First Group (181-187) falling scale motive ranges over the "tonic
hexachord" (the sixth to first scale degrees), ini-
Transition (188-228) bvi tiating a contour that is at once incomplete—its
many repetitions arouse anticipation for com-
Sonata II pletion of the scale pattern—and static. At m.
Exposition 13, completion seems near, for the motive
First Group (229-244) I moves to the "dominant hexachord" (third
Bridge (244-48)
Second Group (249-277) V of iii downward to fifth scale degrees); but the shift
Codetta (278-294) III involves a conflict over the raised and lowered
Development III of V—bill of V forms of the sixth and seventh scale degrees, a
Part I (294-319) bin—v conflict that serves to extend the sense of scalar,
Part II (320-340) III of v—v as well as motivic, incompleteness. Rhythmic
Recapitulation fragmentation, arising from the amassing of
First Group (341-363) i
Bridge (363-369) one-measure units, creates a temporal breath-
Second Group (370-390) I—(blll-i-iv)—I lessness that will not be dispelled fully until the
Coda (391-end) I broader and rhythmically more stable expanses
of Sonata II are reached.
Reduction of Tonal Plan:
First Sonata Second Sonata
While it is in the nature of introductions to
i - II - (i-bvi) - I - III - (iv) - I expose weakly shaped contours and im-
mediately unresolved harmonic contexts, the
motives and progressions that occur in Sonata I
"The very essence of romance is uncer- itself are scarcely more complete, giving rise to
tainty," Algernon remarks in The Importance the uncertainty that is so prominent a part of
of Being Earnest—a principle those composers the character of this music. The first group sen-
commonly called Romantic were quick to dis- tence begins with a continuation of the one-
cover. Algernon would have been the first to measure unit inherited from the Introduction,
recognize the pleasures of uncertainty in the and the sentence motive is repeated rather than
tonal ambiguity of the first movement of transposed. The bass line is formed from an in-
Schumann's Fantasy, or in the tensions of the version of the chief Introduction motive; its as-
open structure of the first song of Dichterliebe; cending diatonic scale pattern in—at first—
he might have been slower to perceive the one-measure units serves to emphasize the am-
clouded whole-step progression from the begin- biguous nature of the sentence itself. The ca-
ning to the end of Tristan. For Schoenberg in the dence of the first group (end of m. 57-m. 62)
sextet, the shaping of rhythms, motive con- presents the whole step in the melody with
tours, and local tonal relationships are contin- thirds in the opposing bass,- the whole step is
gent upon uncertainty and its capacity for am- then used as the basis for the sequence of aug-
biguity. In Verklärte Nacht, the first of his mented chords and chromatic motives that
one-movement sonata compositions—Pelleas concludes the exposition, a sequence proceed-
und Melisande, the First Quartet, and the First ing by whole steps in each of the voices (mm.
Chamber Symphony are prominent among its 128-31).

l-XII-99: Tonal Relations in Verklärte Nacht 7

 The most remote tonal relations, the most mote as this section must have seemed at its
complicated chromatic inflections, the first performance, it fits smoothly into the
lengthiest of delays in resolving non-chord compositional processes of the music; the dis-
tones in the sextet are rooted firmly in the sonance treatment employed is far more rigor-
plainness of diatonic reduction. Certainly the ously and exactingly controlled than in many
passage that begins the development of Sonata I another less tonally vagrant section of the
(mm. 135-52) is the furthest removed from an music.
encompassing triadic tonal area of any in Ver- At the center of Verklärte Nacht (m. 188ff),
klarte Nacht. In "How One Becomes Lonely," there occurs the section—the Transition—that
Schoenberg compared this passage with a simi- rounds off Sonata I and at the same time links
lar passage in the Fourth Quartet as an instance the two sonatas together. Again, the whole step
of "more violent expression."13 In the sextet, its and diatonic scale segment provide the essential
expressive role is clear because its structural tonal scheme. The music returns to the down-
function as the commencement of the ward scale motive from the Introduction, a re-
development—the area of a sonata in which turn prepared for by a long, almost unaccom-
wide-ranging tonal movement is expected—is panied, passage. This thirteen-measure passage
clear. The section consists of a complex seg- (mm. 188-200) conveys in petto the subtlety,
ment of music that is repeated a whole step strength, and originality of Schoenberg's man-
higher. Each of the elements of the segment ner of evolving melodic contours and contra-
functions within the framework of a diatonic puntal voices, demonstrating anew the essen-
scale segment. First, there occurs a linear con- tially diatonic nature of the musical elements,
tour that creates the effect of appoggiatura- however transmuted by chromatic inflection
resolution by half step—a Neapolitan-derived (ex. 2):
scale-degree relation—to the members of the
Cjf-minor triad. When the last member (E in
this spelling) is reached, the other voices have ig« is« sol
changed so that the meaning of the final resolu-
tion (mm. 135-36) becomes ambiguous. This
process is followed immediately by a descend-

m
ing contour incorporating an augmented triad
within its pattern and harmonized by minor and Dl
diminished triads. The second element consists
of an expanded version of the motive of the sec- Example 2
ond part of the first group, here heard in con-
junction with an expanded version of the
appoggiatura-resolution pattern (mm. 137-40).
The final element consists of a shortened ver- The downward motion of the recitative-like
sion of the motive from the beginning of the melodic line and its bass contains the ur-motive
first group with a chromatic scale anticipation, of a diatonic scale segment forming a perfect
its model and sequence moving by whole step in fourth (two whole steps and a half step). The
all voices (mm. 141-43). The normalizing passage may be considered a paradigm of those
characteristics of the diatonic scale segments, fundamental elements, a compositional reduc-
voice-leading expectations, whole-step rela- tion that reveals a capacious potential for trans-
tions, and patterns of motive expansion and formation and connection. The upper and lower
reduction contrive to nest this section into the neighbor tones and passing tones that are intro-
music that precedes and follows. Tonally re- duced into the downward melodic motion focus
upon its diatonic basis. The bass, too, projects
the same image as it moves by whole step and by
leap through the fourth. As the whole motive
13Style and Idea, pp. 3 0 - 3 3 . emerges in its usual contour (m. 201ff), it

8 Richard Swift
shocks by commencing its descent on the nant of the dominant appears over the domi-
"wrong" scale degree: not on the sixth, as in the nant pedal; the pitches of that chord establish a
Introduction, but on the fourth scale degree, de- connection with the second group material by
scending to the seventh. This is as disruptive of becoming the main pitches of its first melodic
the sense of tonal location as are the chromatic contour, this time over a tonic pedal (mm.
chords within which the melody is placed, a 105—07). The tension produced by these large-
diminished chord moving to an augmented scale suspensions, for so they are treated con-
triad. This shuddering and constantly iterated textually, is tightened by irregular temporal
music is eventually heard in a sequence that resolutions; often, when a resolution takes
finally reaches the tranquillity of the subdomi- place, the note of resolution has become part of
nant of t>vi. That pitch, Efc>, reaches back to the a new and uncertain harmonic context, to as-
beginning of the motive in m. 201, rounding off sume a meaning different from the one antici-
the passage with a return to that contextually pated. It is through such means that restless
important fourth scale degree. motion and melodic incompleteness are
The whole step continues to play a major achieved in Sonata I.
role in Sonata II, combining with the fourth and In structural positions where powerful
the thirds implicit in both foreground and dominant areas might be expected—such as the
background of the thematic material to produce end of an exposition, the beginning or end of a
the consoling—because intervallically explicit development section—Sonata I again evades
—climactic melody that concludes the devel- the issue. The sequence of augmented triads
opment section, a melody that will be heard that ends the exposition has nothing directly to
briefly at the onset of the coda (ex. 3): do with the dominant, although the need for
resolution may suggest a typical function of the
dominant. It leads to a cadence on a chord which
serves as a substitute for the dominant of [?III,
and the lowest note (E) of that dominant-
substitute chord becomes the initiator of the
development section. This unsupported, fero-
ciously sustained pitch refers in several direc-
tions: back to the II area of the second group, to
the dominant, and to the extremely ambiguous
Example 3 bill that follows. The preparation for the re-
capitulation of Sonata I takes place on the
dominant-substitute of the dominant. While
As the outline of major tonal areas of Ver- this is scarcely an unusual procedure in itself,
klärte Nacht (page 7) demonstrates, there is an its significance here lies in its oblique evasion of
astonishing absence of emphasis upon the dom- the dominant.
inant as a large-scale tonal area. This evasion of In Sonata II, relations among large-scale
the dominant is reflected in local harmonic progressions, melodic contours, local harmony,
progressions as well, especially in Sonata I, al- and rhythmic movement are manifestly more
though there are many dominant-substitute complete and more strongly shaped than in
progressions, both in tonic and other chord Sonata I, a set of circumstances that is
areas, whose function is to modify their respec- confirmed by the more normative use of domi-
tive tonal areas indirectly, deceptively and am- nant area relations. The brpad, succinctly pre-
biguously. Even when a dominant function is sented first-group sentence, with its cloud of
implied by a pedal—as in mm. 100-04, where motives from Sonata I, cadences on iii. In the
the dominant of II is in the bass—the harmonic bridge, the dominant of iii is prolonged and,
meaning of the pedal is blurred by non- with a shift to the major mode, the second group
dominant pitches. In this instance, the domi- begins its long, firmly structured melody. The

l-XH-99: Tonal Relations in Verklärte Nacht 9

codetta, on the dominant of III (written enhar- inordinantly proud of this progression, referring
monically as D(j), presents a new melodic con- to the passage several times in his writings, no-
tour that moves downward over the triad and tably in Haimonielehie where he was intent
whose second phrase begins with a form of the upon explaining the theoretical status of the
downward scale motive in diminution. Al- famous ninth chord with the ninth (marked
though the codetta concludes with a toniciza- "X") in the bass (ex. 4):
tion of bill—through the dominant of the
dominant—the development section pivots
about two powerful dominant statements. The
first part of the development section cadences
emphatically on the dominant (mm. 316-19),
with a deceptive movement from that cadence
into a new tonal area (V of III). At the end of the
second part of the development (mm. 332-40),
the harmony is violently wrenched from the
dominant of the III area to the dominant itself in
order to prepare for the recapitulation in a nor-
mal tonal manner.
The dominant, then, plays a secondary part
in the unfolding of major tonal areas of the sex-
tet. There are several other tonal areas whose In "Criteria for the Evaluation of Music," he
importance is greater in shaping the large-scale explained that because of this "one single un-
tonal functions. The Introduction first hints at catalogued dissonance," Veiklarte Nacht was
and later emphasizes strongly two chords des- rejected for performance by a Viennese concert
tined to assume crucial roles in subsequent and group.14 But this progression has a grander func-
subsidiary events in the two sonatas: |jvi/|jVI tion in the sextet than as a source for a particular
and bill. The latter sometimes appears in its chord-construction and usage, or even as a local
function as the dominant of the former; it some- linking passage, for it returns at two crucial
times exists as a tonal area by itself. The pro- structural points. First, it is the harmonic scaf-
gression that links the two parts of the first folding for the recapitulation of the first group
group (mm. 41-49) moves through the domi- sentence (mm. 181-87), and is in part responsi-
nant of bill, which quickly turns toward the ble for the ambiguity and uncertainty of that
dominant of bvi in mm. 46-49. Schoenberg was return (ex. 5):

»Ibid., pp. 131-32.

10 Richard Swift
Second, this "uncatalogued dissonance" re- minished triads are systematically exhibited
turns in the first part of the coda as part of a suc- both as melodic contours and as chords in the
cession of important motives from the compo- preparation for the dominant of the dominant.
sition, this time beginning on the raised third In Sonata II, bill continues in its strong mod-
scale degree to reflect the modal shift of Sonata ifying support of the primary tonal areas. The
II (ex. 6). development section begins (mm. 294ff) in the
The t)Vi chord, touched upon in the Intro- area of bill- In its function of the dominant of
duction, emerges as the tonal area of the second bvi, it is the point of arrival of the sequence aris-
part of the first group of Sonata I; it is prepared ing from the end of the melody of example 3 at
for linearly by the F# (=Gfc>) of mm. 46-49, a the beginning of m. 322, as well as the moment
lowered sixth scale degree in bvi, which func- in which the first of the tonal abruptions occurs
tions here as the Neapolitan of the dominant of as the development is pulled toward the domin-
bvi, a common Brucknerian relationship. The ant. It functions in the second group of the re-
other extensive bvi area of Sonata I occurs capitulation as part of a larger progression to-
in the Transition, discussed above. Its role in ward the minor subdominant (mm. 376-78),
Sonata II is limited to minor appearances. where it is heard for a final time in the sextet as a
These third relations among tonal areas, member of the global scale degree motion
such as i—bvi or i—I^III or I—III, are extended D-E-F-G.
to other compositional levels, particularly as The half-step relationship that has the most
intervals of transposition for sequence seg- far-reaching consequences in Veiklaite Nacht
ments. In Sonata I, the minor third is often the is that of the Neapolitan. It is encountered fre-
basis for sequences—for example, the large- quently as a modification of local linear and ver-
scale repetition of mm. 75-82 rising a minor tical contexts, as in the linkage between two
third higher in mm. 83-90, or the series of tonal areas in mm. 46-49. In this passage, dis-
sequences in the development section from cussed above, the F#( = G(j) assumes the function
m. 153 with each segment rising a minor third. of the Neapolitan of V of bvi; and it later takes
The ambiguity of tonal direction that results on the function of bvi °f byi- This resultant
from the linear diminished triads is especially complex of meanings is an essential charac-
potent in its intensification of the weak and un- teristic of the oblique and ambiguous tonal
certain motivic contours and harmonic pro- movement of Sonata I, encouraged by linear and
gressions in Sonata I. The major third appears vertical Neapolitan relations. By analogy, the
somewhat less prominently in such cir- chromatic inflection of linear elements reflects
cumstances; but when it occurs, the resulting and prolongs the action of the Neapolitan rela-
linearly and vertically stated augmented triads tion. The Neapolitan serves as an intensifica-
have a powerful effect on harmonic and melodic tion of the ii-V-iv progression in m. 34ff. Yet
stability. A compelling summary of linear and another instance of Neapolitan linkage, whose
vertical third relations occurs at the conclusion dramatic intensity is in part owed to those pre-
of the development section, Sonata I, m. 169ff, viously encountered Neapolitan relations, oc-
where augmented, major, minor and di- curs between the Transition and Sonata II. The

1 -XII-99: Tonal Relations in Verklarte Nacht 11

Transition cadences upon the minor subdomi- nant, it becomes an element in that progression
nant of t>vi with only the Bfc> remaining from the toward bill discussed above, as well as the im-
subdominant triad. The Bb, in a manner analo- mediate goal of the progression of which |jIII is
gous to that of mm. 4 6 - 4 9 , leads to the major itself an element (mm. 3 7 5 - 8 0 ) . The articula-
tonic as the Neapolitan of the fifth scale degree, tion of the subdominant area at this, the penul-
asfc>viof I, and as a foreshadowing of the A# of timate stage of the composition, is an affirma-
the III region, the tonal area of the second group. tion of those stable and stabilizing properties of
The Neapolitan also has a major function in diatonic tonality. It is generally in such a posi-
the tonal wrenching toward the dominant that tion, near the end of a tonal composition, that
takes place near the end of the development sec- the subdominant (or its substitute, II) is given
tion of Sonata II (mm. 332-36). The sequences strong functional emphasis; Schenker's analyt-
of the preceding section halt abruptly, leaving ical reduction of tonal function on the model of
the melody and its subsidiary contrapuntal a complete cadence pattern—I-IV- (or II-)
lines stuck for some time in the same place, bii, V-I—is rooted in the observation of this
before they plunge with equal abruptness to the phenomenon in tonal music. Schoenberg was
dominant in preparation for the recapitulation. not blindly obeying some unwritten canon, for
II has functioned, more or less convention- in Verklärte Nacht the structural emphasis
ally, as a substitute for IV in earlier phases of the upon the subdominant links back to the II area
music, but from the beginning of this recapitu- of Sonata I, and forward, in combination with
lation, it comes to the fore as an independent bll, to the coda's concluding cadence, incorpo-
entity to isolate the subdominant area in prep- rating in its references those Neapolitan rela-
aration for the iv-fc,II-I cadence which con- tions that function so compellingly throughout
cludes the sextet. The brief detail of the the sextet. The sustained emphasis upon the
major-minor subdominant triads in the first tonic from the beginning of the recapitulation of
group exposition (ex. 7): Sonata II to the end at once rights the intensely
dramatic tonic imbalance of much of the pre-
ceding music, and at the same time provides a
232 stable context in which the combined
subdominant-Neapolitan cadence may make
its full effect.
In this discussion of tonal functions in Ver-
klärte Nacht, much has been said about the cor-
relation between motive generation and the
explicit global tonal relations of the music, par-
Example 7
ticularly as an aspect of the unfolding of the
diatonic intervals from the perfect fourth. The
is expanded in the recapitulation both through ingenuity and fluency with which linear con-
repetition (mm. 342, 349, 351, and 355) and tours represent compositional prolongations of
through the cadence on the subdominant (mm. those intervals is nowhere more clearly discern-
3 5 8 - 6 1 ) that is an element in a large-scale pro- ible than at the beginning of the coda (m. 391ff),
gression: I - i i - V - I V - V (mm. 353-63). This ex- where the succession of motives from earlier
panded statement of subdominant function stages of the sextet succinctly displays that
continues with equal force in the return of the framework for motive and tonal generation
second group, where, as the minor subdomi- (ex. 8):

12 Richard Swift
Schoenberg was justly proud of the speed and instance of contrapuntal ingenuity that cost
facility with which he composed the sextet, him some effort to accomplish.16 It is precisely
even permitting his memory to compress the such a passage — and there are many others that
actual composition time to a dramatic three are comparable, including the recapitulation,
weeks. 15 The sense of compression and rigor of Sonata I (ex. 5), and the return of the second
composition conveyed by Schoenberg's exag- group, Sonata II—where textures display func-
gerated statement is matched in its intensity by tional connections in layer upon layer of voices,
the music, with its controlled contrapuntal that further confirms the sense of compression
density of motive combinations flourishing as in the sextet. Similarly, compression is con-
prolongations of the basic tonal materials. veyed by the spatial placement of melodic lines
Schoenberg, in the same essay, cites the passage conceived as a mingling of several voices in sev-
that occurs at the beginning of the development eral registers. One such melodic contour, exist-
of Sonata I (mm. 161-68), where a motive is ing within a network of timbres and registers,
presented in its original and inverted forms both occurs at the beginning of the second part of the
in succession and, finally, in combination, as an first group, Sonata I (ex. 9).

The upper voice, presented in octaves, is both a are many added or expanded indications of
counterpoint to and an answering variation and nuances, clarifications of tempo markings (all
amplification of the cello line. Such modes of instructions are given in Italian instead of the
extending and proliferating melodic contours German of the original), metronome markings
from a single line into wider zones of instru- (absent from the sextet), and occasional revi-
mental space mark off other structural areas of sions of notation. Among the latter, there is a
the music—as in the second group of Sonata written-out late instance of the triplet interpre-
II—and share in non-imitative contrapuntal tation of duple notation that occurs in the sextet
textures—as in the bridge of Sonata I, m. 69ff. (ex. 10):
Through such melodic configurations, Schoen-
berg was able to widen the forms motives may
take and to deepen the connections among Sextet String Orchestra
12 6
them with their engendering elements.
In Schoenberg's later version for string or- ^Tu f r 1 r
chestra (1917, revised 1943), there are no sub- (Vn. 2 & Va. 2)
stantive changes from the music of the original
sextet. This version, with its bold and luxurious ËÉ:
sonorities, is more familiar to the concert-goer
than is the leaner, more intimate sextet version, Example 10
for concerts by string sextets are rarities. There

16Style and Idea, pp. 55-56. The example given by Schoen-

berg is incorrect, presenting only those measures in which

""Heart and Brain in Music," ibid., pp. 55-56. See Mae- the two motive forms appear in succession (mm. 161-62),
gaard, op. cit., for details of the chronology of Verklärte not in combination—an error future editors may wish to
Nacht. correct.

l-XII-99: Tonal Relations in Verklärte Nacht 13

Among the many subtle shifts of string tinued to compose in this style," to which he
sonorities and masses with which Schoenberg replied: "I have not discontinued composing in
contrived to articulate the musical structure in the same style and in the same way as at the
this new medium, the passage from m. 161— very beginning. The difference is only that I do it
with the motive in both its original and inverted better now than before; it is more concentrated,
forms—is notable for its clarity and delicacy, more mature." 17 That vocation for composi-
made possible by the use of eleven solo strings tion, to which the sextet is a burning witness,
and divided second violins to articulate primary radically transformed musical thinking in the
and secondary contrapuntal voices. The tex- new century by creating a music whose every
tural clarity is aided by octave doubling and by layer and corner is permeated by concentrated
the contrasts in sonority provided by muted relations and connections—enmeshing all, as
solo instruments while the second violins re- Henry James wrote, in "the wonder of the con-
main unmuted. sciousness of everything."
Schoenberg often heard the plaintive remark
17
about Verklaite Nacht, "If only he had con- Ibid., p. 30ff.

14 Richard Swift
Mirrors and Metaphors:
On Schoenberg and
Nineteenth-Century Tonality

CHRISTOPHER LEWIS

To invoke an analogy is almost inevitably to in- newer. Indeed, study of later nineteenth-cen-
vite criticism, for such a comparison never im- tury music is still hampered by the assumption
plies identity, but merely a selective similarity; that the principles of the earlier common prac-
and the potential critic is always free to draw tice underlie post-Wagnerian tonality, in spite
upon a dissimilar selection. of a growing body of evidence to the contrary.
Perhaps it is that very imprecision of mean- The later music differs from the earlier not only
ing that has made the metaphor so essential to in its affects and its vocabulary, but in the very
both poetry and poetics. From at least the time essence of its conception. A brief consideration
of Plato, the definition of poetry and its sister of certain aspects of poetic theory and of the nat-
arts by the metaphor of art as the mirror of life ure of metaphor helps clarify the relevance of
has been so consistently recurrent as to tran- certain untraditional analytical assumptions.
scend mere tautology. When that metaphor at Plato's metaphor of the world as an imperfect
last failed, it did so because of a change in the reflection of an ideal archetype1 stimulated art-
conception of the creative act itself—a change ists as diverse as Aristotle, Cicero, da Vinci, and
which caused a radical new poetic posture and Johnson—to name only a few—to define their
language. As similar ideas began to change the own art as a metaphoric mirror of life, and to
language of music, the lack of a long-standing
technical metaphor—or of any developed ana-
lytic apparatus—to describe the older style pre-
'Plato, Republic X.597, trans. Francis MacDonald Cornford
cluded the immediate comprehension of the (New York, 1945).

i* 15
judge its quality by the accuracy of the reflec- pressing analysis in musical rather than in nu-
tion.2 But toward the end of the eighteenth cen- merical or verbal notation.
tury, in place of the mimetic poet as a rational- We are by now well accustomed to the term
ist agent, there grew steadily a conception of the "model" as a label for certain kinds of analytical
pragmatic poet who "moves into the center of statements. It is not without some hesitation
the scheme and himself becomes the prime gen- that I suggest it may be profitable to think of
erator of the subject matter, attributes and val- such schemes as "metaphors": musical scholar-
ues of a poem."3 The single most important ve- ship suffers from enough necessary catachresis
hicle in English for the new, Romantic ideas is to make one wary of increasing the burden.
Wordsworth's "Preface to Lyrical Ballads," However, a "model" has distinct connotations
which invokes a radical new metaphor. "All of precision—of a one-to-one correspondence—
good poetry," writes Wordsworth, "is the spon- that is lacking from almost all reductive analy-
taneous overflow of powerful feelings."4 Byron, sis. Voice-leading graphs involve at the very ear-
Shelley, Hazlitt, and Hunt all adopt similar liest stages a rhythmic adjustment that
metaphors that imply not a static reflection of amounts to a distortion of the musical surface;
what is, but a process of becoming and an ex- since the rhythm is related to "specific contra-
pression of the internal made external, with the puntal situations, it changes from level to
artist himself as a crucial new element in the level."6 Indeed, the concept of prolongation it-
creative process.5 Both literally and metaphori- self suggests that "events or states . . . extend
cally this involves an added dimension in artis- metaphorically through those segments of the
tic thought that is reflected not only in criti- piece which prolong them." 7
cism but also in poetic language. This level of abstraction allows a more pre-
The coincidence of a new metaphor in po- cise parallel. A metaphor is a figure with two
etics with a new poetry suggests two lines of in- subjects, of which the secondary one (the meta-
quiry into the apparently new musical language phoric subject) is to be regarded as a system of
that evolved around the middle of the nine- related ideas rather than a single object. The
teenth century. We will begin by considering to metaphor (in our case, the analysis) projects
what extent the idea of metaphor as description upon the primary subject (the piece) a set of as-
may be applied to musical analysis; and we may sociated implications that are predictable of the
then ask whether there does not appear, in mu- secondary subject. The more deeply in the back-
sic as in poetry, a new dimension that requires a ground an analysis is based, the more numerous
new analytic metaphor. Our sources will neces- are the possible pieces (and the possible more-
sarily be less precise than those for poetry; poets to-the-foreground sketches) onto which the
and novelists are peculiarly well-equipped to analysis might be projected. Unlike a model,
write literature about writing literature, while then, which represents something that is, an
composers generally do not use the language of analysis as metaphor can illuminate not only
their own art to describe technical matters. In what a piece does, but also what it might have
fact, it was not until Schenker's time that music done, but does not for its own internal reasons.
theory developed a sophisticated way of ex- To think of an analysis as a model can lead us to
think of it as the only model, and perhaps even
to substitute it for the piece itself as an artifact.
While it may be gratifying to view analysis as a
2Aristotle, Poeücs 1.1447a and XXIV. 1460a, trans. S. H.
Campbell (London, 1929); Samuel Johnson, The Rambler, creative act, to do so is equivalent to confusing
vol. 3 in The Yale Edition of the Complete Works (New Ha- critical prose and literature,8 and means that we
ven, 1969), p. 22; and citations in M. H. Abrains, The Mirror
and the Lamp: Romantic Theory and the Critical Tradition
(New York, 1953), p. 32. 'Heinrich Schenker, Free Composition, trans, and ed. Emst
3M. H. Abrams, "Theories of Poetry," in Encyclopedia of Oster, (New York, 1979), 1, 122.
Poetry and Poetics (Princeton, 1965), p. 643. 'William Benjamin, "Models of Underlying Tonal Struc-
4 William Wordsworth, "Preface to Lyrical Ballads," in ture: How Can They Be Abstract, and How Should They Be
Wordsworth's Literary Criticism, ed. Nowell C. Smith Abstract," Music Theory Spectrum 4 (1982), 33-34.
(London, 1905), p. 15. '"Art, like nature, is the subject of a systematic study, and
5Abrams, The Mirror and the Lamp, p. 49; Alba H. Warren, has to be distinguished from the study itself, which is criti-
Jr., English Poetic Theory: 1825-1865 (Princeton, 1950; cism." Northrup Frye, Fables of Identity (New York, 1963),
New York, 1966), p. 97. p. 7.

16 Christopher Lewis
will come to believe that internal coherence passage may show rhythmic and pitch relation-
and a certain elegance of expression give the ships that seem perversely contrary to the ac-
analysis a degree of authority apart from its rela- tual music, but that in fact arise from grammat-
tionship to the subject work of art. ical requirements. A case in point is shown in
Max Black has observed that it is a violation ex. 1. The graph shows a 2 that is not in the piece
of philosophical grammar to assign either truth and is apparently implied only by a Schenkerian
or falsity to strong metaphors.9 It is equally a vi- desire for a melodic step-descent. But the F on
olation of "critical grammar" to apply standards the first beat of m. 15, at first implying a \ deco-
of scientific proof to questions of artistic theory, ration of the dominant, becomes an explicit dis-
or to assign absolute truth or absolute falsity to sonance on the second and third beats. Our
analytical systems. If we can think of analyses knowledge of tonal grammar tells us that each
as being metaphorically based on selective sim- of these circumstances requires the F to resolve
ilarities among pieces, we may usefully broaden to Et—and our internal ears supply that resolu-
our understanding of the ways in which analy- tion. 13 Therefore the analysis is an accurate rep-
ses may be correct, and may discover that two resentation of the abstraction underlying the
contradictory analyses, two different ways of music itself, however perversely it may appear
hearing the same piece, may both be valid.10 Of to assert what is not.
course, just as truth or falsehood can be imputed The laws of common-practice grammar re-
to non-metaphorical statements, so may a par- quire that a given event have only one meaning
ticular analytic statement—if sufficiently pre- at any given level. That meaning may arise from
cise—be considered true or false in terms of the the literal "truth" of the music, or it may arise
specific musical grammar to which it refers, and from our understanding of an ideal event which
a knowledge of that grammar is a prerequisite to the actual music obscures. The "consonant
the creation and comprehension of a useful passing tone" is fully conformable to the laws of
analysis.11 the style, since it is consonant at one level and
As a final parallel between analysis and meta- passing at another.14 Change of function as an
phor, we find that a metaphorical statement of- event is transferred from one analytic level to
ten appears to be "perversely asserting a thing to another, or the disappearance of an event as it is
be what it is not, " 1 2 and only real understanding subsumed by those more structurally signi-
of the complex of ideas around the secondary ficant, is not only possible, but essential to the
subject allows comprehension of the analogy. development of our view of the ultimate back-
Thus the analysis of even a relatively simple ground of a common-practice piece. This is so
because such music is "monotonal"—that is,
apparent changes of key are merely prolonged
'Max Black, "More About Metaphor," in Metaphor and chromatic elaborations of the fundamental
Thought, ed. Andrew Ortony (Cambridge, 1979), p. 41.
l0 See John Rahn's discussion of two different interpreta- diatonic progression that is itself prolonging the
tions of a movement from Bach's Third Sonata for solo vio- tonic triad.15
lin, in "Aspects of Musical Explanation," Perspectives of
New Music 17 (1979), 216-17; and William Benjamin's con-
tradictory and thus provocative views of the Sarabande from
Bach's B!> Partita, in "Models of Underlying Structure," pp. "See Schenker, Free Composition I, 51. Jonas, paraphrasing
43-45. Schenker, speaks of the "ideal presence" of the implied reso-
"See Steven Haflich's review of Eugene Narmour's Beyond lution, "although in strict counterpoint the [explicit] tone of
Schenkerism in The Journal of Music Theory 23 (1979), resolution remains a necessity" (Oswald Jonas, Introduc-
287-304. Haflich's discussion (pp. 296-99) of Narmour's tion to the Theory of Heinrich Schenker, trans, and ed. John
ex. 18 makes it clear that his analysis and Narmour's cannot Rothgeb [New York, 1982], p. 98).
both be correct; one of them has gravely misunderstood the 14Allen Forte, "Schenker's Conception of Musical Struc-

grammar of the piece. There is something of a paradox in the ture," in Readings in Schenker Analysis and Other Ap-
relationship between analysis and a priori knowledge of proaches, ed. Maury Yeston (New Haven, 1977), p. 15; and
grammar, since it is apparently only through analysis that Schenker, Free Composition 1,61.
we can obtain the knowledge on which to base our analyses. 15See Schenker, Free Composition I, 8 and 112. Schoenberg

Perhaps there are two stages of analysis—the "learning" uses the term in a similar, though less technically precise,
and the "demonstration"—which may be likened to prac- way: monotonality is a principle by which "every digression
tice and performance. In any case, the paradox is diminished from the tonic is considered to be still within the tonality,"
if we remember that analysis may teach us grammar, but and "subordinate to the central power of a tonic" (Arnold
does not create it. Schoenberg, Structural Functions of Harmony, rev. edn.
12Black, "More About Metaphor," p. 21. [New York, 1969], p. 19).

Minors and Metaphors: Schoenbeig and Tonality 17

 allow ourselves another view of Tristan, it be-
6 [
comes at once evident that there are essential
issues in the piece that a strictly orthodox
crise. _ • - -
voice-leading graph must necessarily ignore, for
the piece presents instances of all the rule viola-
tions enumerated above. The "other view," the
new analytic metaphor I adopt here, is the con-
ta. cept of the "double-tonic complex" formulated
by Robert Bailey.17
Tristan is not the first piece to show "pro-
gressive tonality," that is, the device of begin-
ning in one key and ending in another. 1 8
Schenker mentions several such works that
have "deceptive beginnings," including the
finale of Beethoven's Fourth Concerto and
Chopin's Scherzo in Dl> Major (not B!> Minor); 19
Example 1 : and Harald Krebs has recently discussed a num-
Chopin, Mazurka, op. 24, no. 4, mm. 14-16. ber of examples from the early nineteenth cen-
tury. 20 The Tristan prelude differs from the ear-
lier e x a m p l e s in t h a t t h e background
progression is reflected in the musical texture
Let us suppose, however, that certain laws of right from the opening measures, which imply
common practice may be repealed. Can we the two tonics both successively and simulta-
imagine tonal music in which the principle of neously. 21 An analysis that reduces one of the
monotonality is abandoned; a given event may implied tonics to the role of a decorative ele-
be simultaneously structural and elaborative at ment will misrepresent the background dual-
the same level; a dissonance is generated by ity. 22 That there are paired tonics is more impor-
structural harmony rather than by line; and in tant than that there is progression from one to
which conflicting foreground events may both the other, for Schoenberg says that the tonic
be crucial aspects of the background? "admits the rivalry of other tonics alongside it, "
Music exploiting these rule violations—and and either may emerge as the final tonic. 23 It is
the many other points of detail that would nec- this pairing of tonics established so that "either
essarily follow—would differ from common- one can serve as representative of the tonic"
practice music just as Romantic poetry differed
from its forerunners: in terms of its metaphori- ''Robert Bailey, "Das Lied von der Erde: Tonal Language
cal dimensions. And just as Romantic critics and Formal Design" (paper read before the American Musi-
had to postulate new metaphors of poetry, so cological Society, October 1978); and Richard Wagner: Prel-
would we have to reassess our analytic presup- ude and Transfiguration from "Tristan and Isolde," a Nor-
ton Critical Score, ed. Robert Bailey (New York, 1985), pp.
positions. This is precisely the situation into 113-46.
which music was thrust by Wagner's Tristan. "Dika Newlin, Bruckner, Mahler, Schoenberg, 2nd edn.
(New York, 1978), p. 129. Both the prelude and all of act I are
The Schenkerian approach is so miracu- progressive.
lously apt for monotonal music that it is easy to "Schenker, Free Composition I, 129.
20
assume that it is equally apt for all music. To do Harald Krebs, "Alternatives to Monotonality in Early
Nineteenth-Century Music," Journal of Music Theory 25
so, however, is to become what Colin Turbayne (1981), 1-16.
calls a "victim of metaphor [who] accepts one 21
Bailey, Tristan, pp. 125-30.
way of sorting, bundling or allocating facts as "William Mitchell's brilliant voice-leading analysis (in The
the only way to sort, bundle or allocate them. Music Forum 1 [1967], 162-203), for example, for all it re-
veals about the prelude, is a sketch not of Wagner's sym-
The victim not only has a special view of the phonic Vorspiel to Tristan, but of an occasional piece de-
world, but regards it as the only view." 16 If we rived therefrom. The concert ending is not calculated to
realize the implications of the first ninety-odd measures of
the piece, but merely to allow performance of the excerpt.
"Colin Murray Turbayne, The Myth of Metaphor (New Ha- "Arnold Schoenberg, Theory of Harmony, trans. Roy E.
ven, 1962), p. 27. Carter (Berkeley and Los Angeles, 1978), p. 153.

18 Christopher Lewis
that Bailey refers to as a double-tonic com- a. Tristan, prelude, mm. 1-17.
plex. 24 In common-practice music one can
never simply boil down the foreground through
successive reductions and arrive at the back-
ground; a sense of the background is needed to
establish the context of the other levels. If the
rule of monotonality fails, then the Schenker-
ian Uisatz, which represents the piece as the
prolongation of a single tonic triad, also fails.
"Background" therefore loses its precise mean-
ing as an abstraction related to higher levels by
voice-leading, and I adopt Patrick McCreless's b. after Schoenberg, Structural Functions, p. 77.
convention that the term shall refer to those
harmonic relationships that govern important
structural entities. 25 Thus we understand the
background of the Tristan prelude to be its es-
sential tonal issue—the pairing of the tonics A
andC. iij v?
For such a pairing, which generates the over-
all tonal structure of a piece (whether progres- Example 2
sive or not), and prescribes certain elements of
foreground harmonic language, I avoid the term
"bitonal," which has conventional and useful chord has double meaning, since it is both the
applications to music literally in two keys for "Tristan" chord of C and a foreshadowing of the
more or less extended periods. The pairing of V9 of A in m. 16. A fully accurate analysis must
tonics as a structural device is essentially dif- somehow contrive to show all these implica-
ferent from the overlay of keys as a textural de- tions.
vice, although as we shall see the latter may Both Also sprach Zarathustra and Das Lied
well be one of the techniques used to elaborate von dei Erde close with a dissonant sonority
and reinforce the former. (the first implicit and the second explicit), and
The concept of a double tonic allows for each in both cases the source of the dissonance is an
of our other three rule violations. The "Tristan" expression of two background tonics. Such a
chord is treated by Wagner consistently as a lo- final cadence was not possible for Wagner at the
cal dissonance. At the chord's first appearance, time of Tristan, but Bailey shows it was possible
the Gtt is an appoggiatura resolving to A, thus at an interior cadence to resolve to a chord con-
foreshadowing the eventual melodic resolution taining both elements of the tonic complex (see
at mm. 16-17 and initiating a fundamentally ex. 3).28 Of course, such a chord is "dissonant"—
diatonic step progression (see ex. 2b).26 On the that is, requires resolution—only in common-
other hand, the Gjt is a crucial structural tone practice terms; here it is precisely because the
starting the arpeggiation of the "Tristan" chord sonority derives from structural harmony that
of C in the upper voice (ex. 2a).27 But even this no resolution is required.
Finally, we note that the two foreground ar-
"Bailey, "Das Lied von der Eide." peggiations of mm. 1-11 are in tonal conflict
"Patrick McCreless, Wagner's "Siegfried": Its Drama, His- (ex. 2a); the lower implies the tonic A, and the
tory and Music (Ann Arbor, 1982), p. 89. upper states the "Tristan" chord of C. It is true
26
Example 2a is derived from Robert Bailey, Tristan, pp.
127-29; Benjamin Boretz, "Meta-Variations, part IV: Ana- that locally the C implication is subordinate to
lytic Fallout (I)," Perspectives of New Music 11 (1972), 169; that of A, just as at the end of the prelude the
and Edward T. Cone, "Sound and Syntax: An Introduction "Tristan" chord of A is subsumed by the domi-
to Schoenberg's Harmony," Perspectives of New Music 13
(1974), 24.
27
Bailey, Tristan, p. 124; see also Schoenberg, Structural î8
Functions, p. 77; and Edward T. Cone, "Yet Once More, O The cadence in question occurs on p. 193 of the Dover full
Ye Laurels," Perspectives of New Music 14/15 (1976), 299- score (Richard Wagner, Tristan und Isolde, rpt. edn. [New
301. York, 1973]); see Bailey, Tristan, p. 122.

Mirrors and Metaphors: Schoenberg and Tonality ¿a- 19

 bes- lust!

dimin.

bes- lust!

C/A

Example 3: Tristan, act I, sc. 5.

nant of C (see ex. 4),29 but they are equally cru- with different interpretations; sometimes it
cial members of the background complex, and will require showing more than two ultimate
neither can be deleted from any level of the structural voices. William Benjamin considers
analysis. it a mistake "to embody the harmonic meaning
In concrete terms, then, each of our rule vio- of a passage in a two-part counterpoint of regis-
lations demands an added dimension in our ana- tral voices, however plausibly derived from the
lytic representations. Sometimes that will re- passage." 30 If common-practice harmony may
quire sketching a given line or texture twice, be too full to be so embodied, then what of the
examples discussed above? No two-voice reduc-
tion can do justice to Wagner's cadence, not
29
Example 4 is derived from Bailey, Tristan, p. 137; and
Philip Friedheim, Tonality and Structure in the Early
Works of Schoenberg (Ph.D. diss., New York University,
1963), pp. 41-42. '"Benjamin, "Models of Underlying Structure," p. 40.

20 ¿fc- Christopher Lewis

merely because the third voice may affect the and the principles of construction are more
voice-leading, but because there are more than readily observed than in music whose surface
two harmony-defining voices, and we must characteristics are more conventionally com-
show at least three of them in our sketch or else mon practice.
indulge in two complementary two-voice
sketches—one for each tonic in the complex.
Most of the music written in the half-century Edward T. Cone has remarked that Schoen-
after Tristan may be fruitfully examined in the berg's Tiaumleben (op. 6, no. 1) "might be heard
light of the double tonic. The remainder of this as a regretful, nostalgic farewell to the nine-
paper will be devoted to analytic observations teenth century, [which develops a] serene un-
about two of the songs from Schoenberg's op. 6, contested E major," while the syntax of the
and brief remarks about op. 8, no. 5. Although piece is generated by cadential associations of
written after the turn of the century (between the note C with the tonic chord of E.31 E cer-
1903 and 1905), the songs of op. 6 derive their tainly prevails at all important cadences in the
syntax from the post-Wagnerian tonal tradition. piece, including the last, but I believe that prev-
Schoenberg's idiosyncratic treatment of the tra-
ditional dissonances allows him to create par-
ticularly striking exploitations of paired tonics, 31 Cone, "Sound and Syntax," p. 3 0 - 3 1 .

Mirrors and Metaphors: Schoenberg and Tonality è+> 21

 Langsam, zart

Example 5: Tiaumleben, mm. 1-4.

Used by permission of Belmont Music Publishers, Los Angeles, CA 90049.

alence is not uncontested, and in many ways it viewed, a number of apparent illogicalities in
is helpful to think of the syntax as deriving from the harmonic design of the song become both
background and foreground exploitation of a logical and consistent.
double-tonic complex of E and F. Christopher The only direct V - I progression in E in the
Wintle, in the course of an extended discussion song is that of mm. 1 - 4 ; the piano part, at least,
drawing parallels between this song and the har- is perfectly straightforward: three measures of
monic techniques described in Schoenberg's V 7 followed by tonic (see ex. 5). The vocal line,
Harmonielehre, refers to the "extended color- on the other hand, is a beautiful illustration of
ing of the tonic E major by the secondary tonal- "dissonance" arising from harmony rather than
ity of F major, with no formal close in the sec- linear elaboration, for its function is clearly to
ondary tonality." 3 2 1 suggest that F functions as announce the other member of the complex by
more than a coloration, and as more than an ex- arpeggiating the F-major triad. Even this first
tended neighbor,- it is rather the other half of a relatively conventional cadence therefore over-
perhaps rudimentary tonic complex. When so lays elements of a complex tonal pairing.
The cadences of the second and third phrases
32 (see ex. 6a) reflect an increasingly intense inter-
Christopher Wintle, "Schoenberg's Harmony: Theory and
Practice," Journal of the Arnold Schoenbeig Institute 4 action between elements of the two tonics.
(1980),57. Measures 8 - 9 must be understood as a kind of

22 è*- Christopher Lewis

a.

(N)

Example 6: Traumleben, mm. 8-16.

Used by permission of Belmont Music Publishers, Los Angeles, CA 90049.

Minois and Metaphors: Schoenbeig and Tonality 23

plagal progression in E. The subdominant phrase 1 returns in mm. 21-25, it is now harmo-
chord, however, is colored by its minor seventh, nized with perfect felicity with the other tonic,
and we must ask not only why Schoenberg F (although the melody is untransposed); but at
avoids the authentic cadence, but also why, the cadence (m. 31), V of F resolves indirectly to
having done so, he invokes IV117. The answer to the "wrong" tonic (see ex. 8). Of course, such a
both questions is given by mm. 13-15, where resolution is entirely idiomatic here, for, as we
we find that IV 9 in E and V 9 in F are so similar noted earlier, either member of the complex can
that their successive use allows an especially at any time (technically, at least) function as
subtle shift from one tonic to the other (see ex. tonic, superseding the other.
6b); and singly, each has at least an ambiguous The final vocal phrase and the piano postlude
meaning. turn exclusively upon the pairing of E and F.
However specious this may seem to our Measures 25—28 effect a contrapuntal prolonga-
present harmonic understanding, we must re- tion of E, and in doing so complete a melodic
member that in Harm onielehie, published only motion begun in phrases 1 and 2, but diverted
six years after the completion of op. 6, Schoen- when phrase 3 turned toward F (see ex. 8). This
berg adopts a strongly root-oriented view of har- chromatic stepwise ascent at last reaches its
mony.33 He considers that the ninth chord is a goal (1 of E) in m. 28; but this pitch is simultane-
legitimate chord,34 even though, like the sev- ously the last and the penultimate degrees, for 1
enth, the ninth may have first come into use as a of E immediately assumes its other function as
melodic tone; and he says that altered ninth f of F, and it resolves as such at the climax of the
chords are particularly useful as "vagrant song in m. 29. The piano postlude then rein-
chords" (by which he means chords of ambigu- forces the symbiotic relationship between E and
ous tonal implication that are therefore useful F by oscillating between the two in such a way
in modulation).35 Indeed, precisely the tech- as to recall for the last time the relationship be-
nique exploited in mm. 13-15 of Traumleben— tween the "pre-tonic" chords in E and F which
the substitution of roots under a common di- have made the whole design possible (see ex. 9).
minished-seventh sonority—is discussed at Edward Cone has defined the "tonal normal"
some length.36 In the light of phrases 2 and 3 of of a piece (or of a style) as the characteristic so-
the song, it would seem that C 7 is elaborating nority in a piece, with which all other sonorities
the presumably cadential A 7 ; in the context of are implicitly compared, and which is normally
mm. 13-16, we hear A 7 elaborating C 7 . Each used as a cadential chord—a chord which re-
chord is therefore both elaborational and struc- quires no further resolution.38 He remarks that
tural, because two tonics are being implied (see the characteristic surface sonority of Traumle-
ex. 6c). In m. 15, five of the tones of the two ben is B - A - F - C (the first four notes of the vo-
chords are sounded together (only the A is omit- cal line), and that this sonority is in conflict
ted); the resolution is first to V/V in E, and then with the tonal normal of the piece, the E-major
to V of F (m. 16; see ex. 6d). In m. 18, Schoenberg triad.39 The conflict disappears, or perhaps more
reverts to the plagal formula for the cadence accurately, becomes a syntactic event, if we
proper (see ex. 7).37 take as the tonal normal of the piece the double-
Significantly, when the melodic line of tonic of E and F, even though the normal is no-
where explicitly sounded;40 virtually every-
thing in the piece, including the characteristic
^Schoenberg, Theory of Harmony, p. 357: "One will be in- surface sonorities, derives logically from that
clined to consider the alterations as chromatic passing
tones. But one should not, for reference to roots is always a
normal.
more appropriate aid to harmonic analysis than is melodic Of course, just as it is often extremely dif-
justification."
«Ibid., p. 345.
35Ibid., p. 348.
36Ibid.( pp. 366-67 and 380-82, especially exs. 314b and 38Cone, "Sound and Syntax," p. 22.
314d. 39Ibid., p. 31.
37Schoenberg would undoubtedly consider the £ 7 of m. 19 as w Cone asks (ibid., p. 37) if the normal need always be stated.

an altered tonic; see Structural Functions, p. 99, ex. 106, My own answer (and, I think, Schoenberg's as well as
m. 6. Cone's) is that it need not.

24 Christopher Lewis
 Du hast mit dei- ner

Example 7: Tiaumleben, mm. 15-19.

Used by permission of Belmont Music Publishers, Los Angeles, CA 90049.

Example 8: Tiaumleben, reduction of mm. 21-31.

ficult to assert with authority whether a given work is common-practice or not. The dividing
seventeenth-century piece is tonal, modal, or line between styles, between grammars, is sel-
somewhere between the two (if that is possible), dom precisely drawn. It is, however, clear from
so it is often not a matter capable of scientific passages in both Structural Functions and Hai-
proof to assert whether a given post-Romantic monielehre that Schoenberg was well aware of

Mirrors and Metaphors: Schoenberg and Tonality 25

dual tonics in his own music and in that of his tonics, to the equal status and interchangeabil-
contemporaries, even though he had no devel- ity of the two tonics; and he alludes more indi-
oped analytic technique for dealing with them. rectly to the abandonment of the contrapuntal
In Haimonielehie he writes about fluctuating laws which are essential in linking the various
(schwebend) and suspended [aufgehoben] tonal- higher levels in common-practice music to one
ity; in Structural Functions, the term schwe- another and to the central source of the Ursatz.
bende Tonalitat is rendered as "suspended to- It matters not at all to the present issue that
nality." many of us find Schoenberg's analysis of earlier
composers' m u s i c s o m e t i m e s perversely
In the works of Strauss, Mahler, and, even more, De- wrong. It would be even more perverse to ignore
bussy . . . it is already doubtful. . . whether there is a what Schoenberg tells us about Schoenberg
tonic in power which has control over all these cen- simply because we do not always agree with
trifugal tendencies of the harmonies.41 [This proce- what he tells us about, say, Mozart.
dure] is not readily illustrated by little phrases be-
cause it most surely involves the articulation
(Gliedeiung) of distinct parts of composition. Who-
ever wants to take a look.. . will find many examples Schoenberg was sufficiently interested in "fluc-
in the music of Mahler and others. tuating tonality" to amplify his discussion of it
in Structural Functions with what is by far the
I do not have to be ashamed of producing something longest citation of his own music in the whole
of this sort myself. Two pregnant examples of fluc- book, from Lockung, op. 6, no. 7.44 The explana-
tuating tonality from my own compositions are: Or- tory text tells us almost nothing except that the
chesterlied, op. 8, no. 5, "Voll jener Siisse," which song has to do with C and E!>, and the analysis on
wavers principally between D!> and B major; and op.
6, no. 7, "Lockung," which expresses an EI>-major to- the score is merely a double set of Roman nu-
nality without once in the course of the piece giving merals in those two keys. Of course this cannot
an El> -major triad in such a way that one could regard account for many significant details of the
it as pure tonic. figuration which arise from, and make coher-
ent, the E!>/C fluctuation. Schoenberg says only
If the key is to fluctuate, it will have to be established that the piece is characterized by many altered
somewhere. But not too firmly; it should be loose chords of multiple meanings. 45 On the other
enough to yield. Therefore it is advantageous to se- hand, while a Schenkerian graph of the piece in
lect two keys that have some chords in common.
El> shows many interesting features, it, too,
must necessarily ignore those aspects which de-
Further documentation is to be found in Wagner. For rive from non-linear events and from the treat-
example, the Prelude to Tristan.42
ment of two tonics. If we can now begin to deal
with those other aspects, it is only because, like
From the outset the tonic does not appear unequivo-
cally, it is not definitive; rather it admits the rivalry Coleridge's dwarf who could see farther than
of other tonics alongside it. The tonality is kept, so to the giant because he had the giant's shoulders
speak, suspended, and the victory can then go to [ei- on which to sit, we have other viewpoints and
ther] one of the rivals. the experience of the last half-century of ana-
lytic work with which to sharpen our vision.
The harmony is nowhere disposed to allow a tonic to The monotonal view of the opening of Lock-
assert its authority. Structures are created whose
laws do not seem to issue from a central source (Zen- ung interprets mm. 1—6 as a prolongation of C
trurn)) at least this central source is not a single fun- minor (VI of Et), and mm. 9 - 1 5 as a prolonga-
damental tone.43 tion of V of E!,.46 This requires that in m. 1 E!> be

Schoenberg thus speaks directly to the aban- "Schoenberg, Structural Functions, p. 112.
45
donment of monotonality, to the use of paired Ibid., p. 111.
•"See Allen Forte, "Schoenberg's Creative Evolution: The
Path to Atonality," Musical Quarterly 64 (1978), 133-76.
•"Arnold Schoenberg, "Composition With Twelve Tones Note that the graph of mm. 1-16 (Forte, p. 155) shows an in-
[2]" in Style and Idea, rev. edn., ed. Leonard B. Stein (Lon- terruption following the sixteenth-note D in m. 16; I find it
don, 1975), p. 245. hard to reconcile this with the design of the piece. Another
42
Schoenberg, Theory of Harmony, pp. 383-84. analysis might show an interruption following the F (2 in
"Ibid., p. 153. E!>)inm. 15.

26 Christopher Lewis
 (5) (3)

Ï? t^ W -J ftT v* trf>»»
(IN) OR:
-m- ft. 1 k* k*
TTT— "ff M

I6 El>: ( Vj|75/IV] 6 • [5] V7/C(t5) V'/AWSS)

Example 10: Lockung, mm. 1-4.

interpreted as an appoggiatura to D ; and that the The multiple meanings of many harmonic
Cjj/Dt in mm. 1 and 2 be heard as a curious in- and melodic events—one of our metaphorical
complete neighbor (see ex. 10). On the other extra dimensions—suggest that in this music
hand, melodically the first four measures can be apparent surface details become so important in
understood in El> as well as in C ; an interpreta- foreshadowing and creating certain aspects of
tion such as that of ex. 10b includes the Dl>—a the tonal relationships upon which the piece is
crucial note (not just an elaborative neighbor), built that they become, in effect, another di-
since it foreshadows two important later tonal mension of the background itself. The struc-
events. The only El» triad in the piece functions tural dissonance which provides the tonal po-
locally as V of Al? (see mm. 50-51); thus the as- larization of the common-practice style47 here
sociation of El. and Dl> [not Dl]) is the most im- operates not only between successive events,
portant melodic event of m. 1 (see ex. 10c). Sec- but also with alternating or even simultaneous
ondly, the registral connection of D, C#, and B events: the background has not only "length,"
(see x in ex. 10b) foreshadows the same line in but also "depth."
the same register in mm. 11 and 12, where the There remain three problematic passages
meaning is threefold. that resist analysis of the linear sense, but that
Lockung is structured around a primary com- can be tonally understood on other terms: mm.
plex of El. and C, with an extended diversion to B 24-25 (and the repetition an octave lower in
(CI»). The alterations and metric displacements mm. 29-30); the extended variant of this pas-
of mm. 11-15 are designed to expose all three sage in mm. 57-63; and in mm. 52-56. 48
tonal references. Above the altered V of El. (see Schoenberg implies E!> throughout the song
ex. 11a), the voice arpeggiates the dominant of by several differently altered forms of its domi-
C (see ex. lib). Note that both D and Dl? are nant (see ex. 12a).49 Now it is of course obvious
avoided—as they were in the left hand of the pi- that mm. 24-25 and their later counterparts
ano part in mm. 1 and 2—so we have here a re- serve simply to decorate the dominant of El»:
versal of the implications of the opening mea- there is no question here of an obscuring of the
sures: the E\> melodic line harmonized in C now tonal sense. If we understand the dominant as
becomes a C melodic line harmonized in E!>. Schoenberg tells us he understands it, then the
Measures 11-12 can be understood purely as an process of decoration is also clear, since it in-
altered dominant ninth of Et>, but the Cf passing volves merely the arpeggiation of the various al-
tone in the tenor register (see y in ex. 11c) also tered forms of the dominant (see ex. 12b). If the
refers back to the motive x of ex. 10b and for-
ward to mm. 31-32, where the elision of the be-
ginning of the vocal phrase in B with the ex-
47
tended V7 of El. produces the sonority implied Chailes Rosen, Sonata Forms (New York, 1980), p. 222.
^Forte considers these to be passages in which the tonality
by mm. 11 and 12. A single sketch, no matter is momentarily suspended ("Schoenberg's Creative Evolu-
how complex, cannot show these three tonal tion," p. 157).
49
strands; yet all three are crucial to the funda- The first three chords are explained by Schoenberg in
Structural Functions, p. 111. Note that different alterations
mental tonal idea of the piece. of the same chord factor sound together in m. 21.

Minois and Metaphors: Schoenberg and Tonality 21

 - \y 1 P f f> =
Sra. . ^ mein bist du,

0.1. «'ft . 1 ^

* ff
t - , jflltff -.

V I ET V 7 /EI> OR VIC V/EB

Example 13: Lockung, mm. 57-59.

Used by permission of Belmont Music Publishers,
Los Angeles, CA 90049.

Example 11: Lockung, mm. 11-15. Dt> seems a worrisome note here—it is, after all,
the subtonic—we need only remember how im-
portant D!> has been in association with El right
from the opening measures of the song, and to
note that each time it occurs in this passage, Dl>
is immediately followed by either the upper or
the lower leading tone to Et. Rather elegantly,
in the last three measures of the piece, the final
achievement of El> is through a retrograde of the
melodic cell which opened the piece by weak-
v vjl ening El> (see ex. 12c).
The final occurrence of the chromatic domi-
nant flourish is preceded by three chords (mm.
57—59) that may be analyzed by Schoenberg's
theories as shown in ex. 13. It will be noted that
these three chords actually prolong V of Et, and
may all be analyzed as variants of that harmony
(cf. ex. 12). At the same time, they make another
reference to the Et/C duality, as the second
chord may also be analyzed as V of C.50 This in
turn prepares for mm. 60-62, where, over the
V7 of Et in the piano, the voice sustains G—not
only 3 of El> but also 5 of C.
Our last problematic passage is shown in ex.
14, and the solution to its difficulties should by

Example 12: Dominant variants in Lockung. M

See Schoenberg, Theory ofHazmony, p. 252.

28 Christopher Lewis
 Example 14: Lockung, mm. 52-57.
Used by permission of Belmont Music Publishers, Los Angeles, CA 90049.

now be obvious: we have an overlay of implica- among others. These techniques are the follow-
tions of E!>, C, and B. To understand the passage ing:
in this way requires only that we think as
Schoenberg has told us we must. We must aban- Exploitation of common and ambiguous har-
don straight-line harmonic progressions and the monic functions.
linear connections of monotonality, and we
must think very quickly!51 It is precisely this Implication of the two tonics in alternation or
succession.
complex interweaving of the apparently con-
flicting implications of melody and harmony to Use of one tonic to resolve the dominant of the
which Schoenberg referred when he wrote that other.
in the Chamber Symphony, op, 9, "there is es-
tablished a very intimate reciprocation between Direct superposition of lines and textures imply-
melody and harmony, in that both connect re- ing one tonic upon those implying the other.
mote relations of the tonality into a perfect
unity." 52 He meant not the unity of a single Each of these procedures, with the possible
tonic chord extended through time, but the uni- exception of the first, depends on a musical sur-
fied realization of a more complex tonal idea— face in which at least the remnants of diatonic
in fact, of a tonic complex. monotonal practice can be discerned. But even
in so pervasively chromatic and so reluctantly
In our two songs from op. 6, we have seen the
triadic a work as Schoenberg's op. 8, no. 5 (Voll
elements of the tonic complex—perhaps
jener Susse),53 which, in the composer's words,
merely suggested in Traumleben, and then
"wavers principally between B and D\>," invoca-
clearly delineated in Lockung—manifested in
tion of diatonic imbeddings in the chromatic
several ways which are also the common tech-
nical resources of Wagner, Mahler, and Strauss,

53As is so often the case with Schoenberg, the opus number

51Schoenberg makes numerous references to the necessity is not an indication of the chronology. Voll jener Süsse (No-
for increased speed of harmonic processing with post-Wag- vember 1904) falls midway between Traumleben (Decem-
nerian music; see, for example, Theory of Harmony, pp. ber 1903) and Lockung (October 1905). Dates are from Jan
366-67. Maegaard, Studien zur Entwicklung des dodekaphonen
"Arnold Schoenberg, "My Evolution," in Style and Idea, Satzes bei Arnold Schönberg, (Copenhagen, 1972), 1 , 3 8 , 4 0 -
p. 84. 41,44.

Mirrors and Metaphors: Schoenberg and Tonality è*- 29

 Cft(Db)

Example 15: Voll jenei Siisse, mm. 26-36.

Used by permission of Belmont Music Publishers, Los Angeles, CA 90049.

scale and of functional harmonic implications not obscure the implication of a progression in
allows exploitation of the paired tonics. I give D!> (Ctt ), but the very strong B-major line in the
one brief example from this long, complex song, highest register does. Conversely, while the
showing the close of the first stanza (see ex. 15). outer registers announce V 7 of B in m. 28, the
The chromatic passing tones of mm. 26-27 do doubled vocal line arpeggiates a Ctt triad. As in

30 ¿A- Christopher Lewis

Lockung, the overlay of tonic implications is an ity of the principles of the common practice
intensification of the "structural" oscillation: B fails in much of the music of the latter half of
(m. 25), C» (26-27), B (28), CK (29-30), and B the nineteenth century. And what appears illog-
(36); I give only the strongest implications. The ical—or even atonal—to common-practice
postlude of the song, which even more directly analysis often represents a set of procedures
juxtaposes the two tonic representatives, is which, although perhaps not yet so rigidly
equally instructive, if only because it demon- defined, are on their own tonal terms fully co-
strates how late in such a piece the choice of herent and consistent.
final tonic may be delayed. The best way to avoid being victimized by a
An analytic representation like that of ex. 14 metaphor is to realize when it is expendable,
very much resembles the segmentation of sur- and then to choose a new metaphor. In particu-
face sets in Fortean set analysis. Of course, in lar, we must be careful not to assume that be-
our example, the significance of a "set" is its cause a piece exhibits some of the surface char-
implied function rather than its relation to an acteristics of the common practice, and be-
abstract prime; but like set relations, such func- cause some parts of its structure yield to the
tions are not heard in a "straight-line" process- techniques of voice-leading analysis, it ulti-
ing. This leads me to suggest that a similar mately must express the prolongation of a sin-
change in the way we think about art was being gle tonic triad to which all events of the piece
effected by Schoenberg's generation. We have can be made relevant. The question is not
only to think of the French symbolist drama; of whether a given piece can be sketched—for al-
Joyce's last two novels; of German expression- most any piece can be —or even whether one
ist poetry; or of Picasso's originalities in per- can learn something about the piece from the
spective and topology. If indeed there is at this sketch, but rather whether the analysis comes
time a general trend in the arts away from a lin- to grips with the essential tonal nature of the
ear perception toward the idea of a multi-di- music.
mensional network of implications and cross- Of course, any type of analysis, like any type
relations in all directions, then that is both of metaphor, is necessarily selective in its refer-
prerequisite to, and vastly more important ences. No analytical method, and certainly no
than, any specific musical set-consciousness. analysis, can fully come to grips with all the
There has been enough work done with the complexities of a work of art. To borrow Samuel
application of sketching techniques derived Johnson's epigram about dictionaries, we can
from Schenker's work to pre-tonal and post- say that analytical systems are like watches:
tonal music that it is unnecessary for me to even the worst is better than none, and not even
point out how valuable such procedures can be. the best will always rim true. But that knowl-
Very few analysts can today approach any re- edge is itself invaluable as a guard against com-
motely "tonal" work without relying heavily placency, for it encourages us constantly to re-
upon those techniques. But the universal valid- assess and revise our analytical premises.

Mirrors and Metaphors: Schoenberg and Tonality 31

"Quotation" and Paraphrase
in Ives's Second Symphony

J. PETER BURKHOLDER

Charles Ives's Second Symphony, written as the troductions to II and V, and an unusual key
nineteenth century turned into the twentieth, structure. In the middle is a slow ternary move-
is crowded with "quotations." There is bor- ment in F major. The finale is a modified sonata
rowed material or music derived from borrowed or sonata-rondo in F, with a second theme in Al>,
material on almost every page, some immedi- recapitulated in the tonic. Movement II is in so-
ately recognizable, some disguised. Some of it is nata form, with the first theme in At, the sec-
taken from American hymns, fiddle tunes, and ond theme (m. 72) in F, and a transitional theme
popular songs, some from European art music. that mediates between the two keys, appearing
The extent, variety, and differing shades of rec- first in A!> minor/major and repeating immedi-
ognizability of these borrowings reveal Ives's ately in F minor/major. In the recapitulation,
purpose: to create a symphony in the European both main themes are in F, while the transi-
Romantic tradition that is suffused with the tional theme is at the same pitch level as before.
character of American melody, wedding the The tonic is restored only in the coda, with the
two traditions in a single work. appearance in A!> of the second theme and then
The symphony was written and scored be- of both principal themes in contrapuntal com-
tween 1900 and 1902, based in part on overtures bination. The tonal polarity in both II and V is
and organ works written previously, and was clearly between F and A!> rather than between
not publicly performed until 1951. It has five tonic and dominant.
movements, of which I and IV serve as slow in- Thematic links between movements con-

** 33
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