Structural Hearing TONAL COHERENCE IN MUSIC VOLUME ONE BY FELIX SALZER WITH A FOREWORD BY LEOPOLD MANNES Charles Boni, New YORK, NINETEEN FIFTY-TWOvu Fo. eword To the gifted and experienced musician, music is a language—to be un- derstood in sentences, paragraphs and chapters. The student who is still struggling with letters and words, so to speak, needs the guidance that will reveal to him the larger meanings of the musical language. Theory, as it is called, has always been upheld as the promised gateway to this broad understanding, but there are thousands upon thousands of eager young musicians as well as disappointed older ones who will testify to the seemingly unbridgeable gap between their theoretical studies and the living experience of music itself. To tell the truth, musical theory as it is generally taught, consists of a more or less elaborate system by which small musical units may be identified (or written) according to their position and function with respect to the temporary tonal context. The larger units are merely labeled according to the recognizable thematic characteristics. The stu- dent who masters such a system has indeed learned something about music; but what he has learned is a nomenclature by which he can con- duct a well-described “tour” through a composition, pointing out each landmark and its more obvious characteristics. If music were only such a “conducted tour” it would never have the profound and moving effect upon us which has made it perhaps the greatest of all the arts. Obviously something far more fundamental and compelling is at work in this great language, something which conven- tional theory touches but has largely failed to reveal in its full extent. This “something” quite evidently consists of more than one element; but there is hardly a doubt that the greatest of these organic elements is that of tonality with the inevitable relationship of tonal direction to the clement of rhythm—for this is the space-time continuum in which music lives. It appears that Heinrich Schenker was the first musical theorist who took the decisive step in defining these organic forces of the musical language, in particular, the tonal functions and relation- ships which form both the generative and cohesive forces in great music.vil rorewora Schenker, however, never fully organized his writings from a pedagogi- cal standpoint; nor are they by any means complete. Some of his ex- planations, moreover, are challenging and call for reexamination. In this extraordinary book Felix Salzer has, I believe, attempted and succeeded in a task of tremendous difficulty. Schenker’s pioneer work has been modified, expanded and completed, in a sense, for the first time, so that its application to tonal music of all styles and periods can be understood. In order to achieve such a result, it has been necessary to write a book of considerable length and, in places, of some complexity. This is inevitably due to the fact that Dr. Salzer has faced fully the problems of his task and has tried to be as complete and exhaustive as possible. In my many years as Associate Director and Director of The Mannes Music School (following a good many years devoted to the teaching of theory and composition), I have been in a position to observe the results of this approach to music upon the students themselves. Much of the material in this book has been used for several years in the regular theory classes of the School; it will undoubtedly become the official textbook for the course, I can say without hesitation that I have never seen such musical awareness on the part of theory students, nor such genuine enthusiasm for a theory course. What seems at first to be an almost unnecessarily diversified terminology, becomes later on an obvi- ously necessary and logical approach, and furnishes a student with a means of analysis which can guide him through a work of any length and complexity. And what is still more important, it can guide him to that sort of listening which embraces the “paragraphs” and “chapters” of music—that instinctive understanding which marks the true musician. I feel that the appearance of this book is a major event in the history of musical theory and understanding, and merits attention from musi- cians of all kinds. Leorotp MANNESContents Foreword by Leopold Mannes vii Introduction xv Part | Chapter One , 3 Chapter Two 10 A. Chord grammar—Chord significance 10 B. Music as directed motion—Structure and prolongation — rr €. Harmony and counterpoint 14 D. Chord prolongation 16 E. Tonality 17 F. The implications of structure and prolongation 28 Part ll The Pedagogic and Systematic Approach to Structural Hearing Chapter One The Scope of Elementary Theory 35 Chapter Two Musical Direction as an Organizing Force 37 A. Problems of musical continuity and synthesis 37 B. Musical direction—Structure and prolongation 39 I, CHORD GRAMMAR—CHORD SIGNIFICANCE 39 2. MELODY—MELODIC DIRECTION AND COHERENCE 41 3. RELATIVE SIGNIFICANCE OF MELODIC STRUCTURE, AND PROLONGATION 44 4. INTERDEPENDENCE OF MELODY AND CHORD SIGNIFICANCE 45 €. The functions of harmony and counterpoint 48A contents Chapter Three The Contrapuntal Concept A. B. c. D. Introduction Two-part counterpoint Three-part counterpoint Summary Chapter Four The Harmonic Concept A. B. c. D. 6. H. Contrast to contrapuntal concept The fundamental harmonic progression and its elabo- rations—The secondary harmonic progression Exercises Harmonic progressions in minor keys and the influ- ence of mixture Intensification of the V by a preceding { chord The use of seventh chords within the harmonic progressions The use of two harmonic progressions in succession Harmonic progressions supporting melodic embellish- ments Summary and outlook Chapter Five Structure and Prolongation I A. Contrapuntal chords or progressions within the har- monic framework I, PASSING CHORDS—VOICE-LEADING CHORDS a. Passing chords b. Passing chords improving voice leading c. Voice-leading chords d. Summary and outlook 2. THE CHORD OF MELODIC EMPHASIS OR COLOR CHORD 3. THE NEIGHBOR-NOTE CHORD Chord prolongation Summary Application of chord prolongation Structure and prolongation Four-part setting of short melodic phrases 52 52 79 86 87 87 88 gr 92 93 94 94 95 95 97 104 104 106 III III 113 116F. Melodic-contrapuntal prolongations I, ELEMENTARY INSTRUMENTAL FIGURATION 2. MOTION INTO AND OUT OF THE INNER VOICE 3- SUPERPOSITION OF INNER VOICE 4. TRANSFER OF REGISTER 5. PROLONGED COUNTERPOINT G. Continued use of pure contrapuntal techniques H. Recognition of voice leading I. Voice-leading graphs as the systematic expression of structure and prolongation J. Exercises in prolongation—Structural ear training K. The technique of interruption Chapter Six Structure and Prolongation IT A. Harmonic prolongations I. HARMONIC PROLONGATION OF THE TONIC a. Complete harmonic progression as pro- longation of the tonic b. Incomplete harmonic progression as pro- longation of the tonic c. Dominant prolongation of the tonic (the prolonging V) d. Dominant prolongation and incomplete harmonic progression preceding the structural tonic 2. HARMONIC PROLONGATIONS OF OTHER HAR- MONIC CHORDS a. The applied dominant chord b. An incomplete harmonic progression as prolongation of a harntonic chord c. A complete harmonic progression as prolongation of a barntonic chord 3. HARMONIC PROLONGATION OF A CONTRAPUNTAL CHORD 4. THE CHORD OF HARMONIC EMPHASIS B. Contrapuntal chords assuming structural significance Summa: ©. Double function of chords I. HARMONIC-STRUCTURAL CHORDS WITH ADDED PROLONGING SIGNIFICANCE 118 120 121 125 127 129 135 135 142 144 145 149 152 153 153 155 155 157 158 159 160 160 162 162 163xt Contents 2. HARMONIC-PROLONGING CHORDS WITH ADDED STRUCTURAL SIGNIFICANCE 3- HARMONIC-PROLONGING CHORDS WITH CON- TRAPUNTAL IMPLICATIONS a. The chord of harmonic emphasis as voice-leading chord Descending fifths in sequence Ascending fifths Applied dominants as passing chords (Transition to chromaticism) e. Applied dominants as voice-leading chords f. Elimination of the harmonic element D. Additional versions to four-part settings E. Chromaticism I, THE DIMINISHED SEVENTH CHORD, THE DOMI- NANT SEVENTH CHORD, THE SIXTH AND i CHORD IN THE SERVICE OF CHROMATICISM. 2. CONTRAPUNTAL TEXTURE iN CHROMATIC PAS- SAGES 3. ALTERED CHORDS F. Mixture 1. THE NEAPOLITAN SIXTH OR THE PHRYGIAN IL 2. VARIOUS USES OF MIXTURE G. The role of the submediant H. Expansion of units—The relation of structure and pro- longation in larger units b. 6. = Chapter Seven Structure and Prolongation III A. Problems of structural orientation B. Developments in prolongation of counterpoint and melody I, PROLONGED COUNTERPOINT a. “Independent” voice leading b. Color chords c. “Harmonic” counterpoint d. Octaves and fifths 2. TRANSFER OF REGISTER THROUGH SEQUENTIAL SUPERPOSITION OF INNiR VOICE 3- SETTING A POSTPONED FIRST STRUCTURAL MEL- ODY TONE WITH A NON-TONIC CHORD 164 164 165 166 167 169 169 170 170 172 175 177 177 178 181 182 186 186 191 Igt Igl 194 195 197 199 200Contents 4. POSSIBILITIES WITHIN PASSING MOTIONS 5. THE SIGNIFICANCE OF MELODIC ANALYSIS €. Completely contrapuntal structure D. Procedures of structural hearing E. Preparation for large dimensional hearing and planning I, EXTENDED NEIGHBOR-NOTE AND PASSING MOTIONS 2, THE DEVELOPMENT SECTION OF SONATA FORM 3. EXERCISES IN LARGE DIMENSIONAL PLANNING 4. TWO PROLONGATIONS OF EXCEPTIONAL EX- PANSION Chapter Eight The Concept of Tonality A. The complete composition—Its tonal and formal organization I. INTRODUCTION 2, COMPOSITIONS BASED ON HARMONIC STRUCTURE AND ON COMBINED HARMONIC AND CONTRA- PUNTAL STRUCTURE 3. COMPOSITIONS BASED ON CONTRAPUNTAL STRUCTURE 4. FORM AND STRUCTURE a. Outer fornt, inner form and design b. Relation of outer form to structure. Structure-form—Prolongation-form 5. SIGNIFICANCE AND RANGE OF TONALITY B. Various types of form and their use in composition I. ONE-PART OR THROUGH-COMPOSED FORM . TWO-PART STRUCTURE-FORM a. Repetition of structure b. Division of structure c. Interruption 3. TWO-PART PROLONGATION-FORM a. The main prolongation as a form section b. Segment of main prolongation as a form section THREE-PART FORMS a. Three-part structure-form (originating in interruption) wv + xiii 200 201 204 206 208 208 210 216 216 220 220 220 221 222 223 223 224 226 232 233 236 236 237 239 24t 24t 241 242 243xiv Contents b. Three-part prolongation-form (origi- nating in interruption) c. Genuine three-part prolongation-form d. Three-part prolongation-form (contra- puntal structure) 5. INDIVIDUAL FORMS AND THE FANTASY Epilogue Part Ill Chapter One A. Implications and consequences of structural hearing B. Problematic compositions Chapter Two The Historical Development of Tonal Coherence * Conclusion The Language of Western Music 245 246 248 251 253 257 261 282xv Introduction This book is based on Heinrich Schenker’s revolutionary conceptions of tonality and musical coherence. It has been motivated and guided by my great admiration for Schenker himself, as well as by my grati- tude for those ideas and teachings which have given my musical life its purpose and direction. It is not the aim of this book to apply Schenker’s ideas to specific problems; this has already been done in books in both English and Ger- man. My purpose is to mold his concepts into a workable, systematic approach for use by teachers, students and performers, as well as by anyone seriously interested in the problems of musical continuity, co- herence and structure. Whoever undertakes the task of presenting Schenker’s ideas out- side the German-speaking world is confronted with the formidable question: “Why not translate Schenker’s writings and let them speak for themselves?” There were many reasons for my decision to drop the idea of translation, with or without commentary. One important reason seemed to me to be the very gradual, yet at the same time very complex, manner in which Schenker’s final conceptions took shape. Between the harmony book,' published in 1906, and the final work, Der freie Satz, published after his death in 1935, his books and articles reveal the extraordinary growth of his ideas. However, to the musician still unfamiliar with his work, these publications do not present a sys- tematic development from rudimentary ideas to their final form and definition. For mstance, there seems to be a veritable break between the period in which he wrote his study of Beethoven’s Ninth Symphony (1g12)8 and that in which the first issue of Der Tonwille (1921)* was 1 Neue Musikalische Theorien und Phantasien (Vol. I, Harmonielebre). Uni- versal-Edition, Vienna. 2 Neue Musikalische Theorien und Phantasien (Vol. Il). Universal-Edition, Vienna. 3 Beethovens Neunte Sinfonie. Universal-Edition, Vienna. 4Universal-Edition, Vienna, 1921-1924.xvi Introduction published. New ideas suddenly appear, seemingly for the first time, and the gap between these two periods has never been explained. From then on, the development of the new ideas is more consistent; but although the bridge from old to new is understandable to one familiar with Schenker’s approach, it presents a definite obstacle for the beginner. Even in the years between 1920 and 1935 various major changes both in the conception and in the working-out of ideas are evident in the various issues of Der Tonwille as well as in the three volumes of Das Meisterwerk in der Musik; * the reasons for these were never fully re- vealed. Although Schenker’s students and others sufficiently interested in his work were able to follow his provocative and compelling way of thinking and reasoning (and were able in turn to give their students the necessary explanations), the fact remains that Schenker’s last work, Der freie Satz, is a highly advanced and rather complex book for which adequate preparation simply does not exist. These factors made translation, without at least a thorough and lengthy commentary, highly inadvisable. But there were two other decisive reasons that finally caused me to give up any idea of translation and to write a new book presenting his conceptions systematically. During the years following Schenker’s death (January, 1935), partly as a result of discussions with other musicians and teachers but mainly through my own teaching experience, one thought became increas- ingly clear. To teach music theory, analysis and composition according to his ideas, it was necessary to formulate a new pedagogic approach to these ideas.‘ Many points required clarification, and many terms needed more concise definitions; it became apparent, furthermore, that explanations ought to begin on a more elementary level. Understand- ing of tonal organisms is a problem of hearing; the ear has to be sys- tematically trained to hear not only the succession of tones, melodic lines and chord progressions but also their structural significance and coherence. Thus a systematic approach evolved, starting from simple and short examples and leading, in gradual stages, to large and complex organisms. This approach I call “Structural Hearing.” The second reason for not translating is that Schenker, with very few exceptions, used as illustrations music of the eighteenth and nine- teenth centuries only, the music which lay so close to his heart and mind, Within the last fifteen years I have become completely con- vinced, however, that his ideas apply to widely diverse styles of music and that the broad conception underlying his approach is not confined to any limited period of music history. This fact has not been recog- 5 Drei Masken Verlag, Munich, 1925-1930.Introduction xvii nized sufficiently and has led to the belief that Schenker’s writings are valuable only for eighteenth- and nineteenth-century music. Nothing could be more erroneous; it is hoped that the following pages will prove the fallacy of this contention. Hence Schenker’s basic premises are left untouched in this book, but within the new pedagogic approach, several definitions have been re- vised and the range of literature has been considerably widened. I am aware of the fact that these changes will be criticized by those who still cling with the spirit of orthodoxy to every word Schenker has pro- nounced and who oppose any deviation from or any development of his writings. I consider this attitude narrow-minded and short-sighted. It has proven to be detrimental to the dissemination of the approach as a whole, because, by its very dogmatism, it has tended to make hard and fast some misunderstandings to which Schenker’s writings have been subjected. I am convinced that a free and unbiased investigation of his work, while making certain definite modifications necessary, shows its value as even greater and farther reaching than heretofore held possible. It seems to me that Schenker’s concepts provide not only for an intimate understanding of musical architecture of the past cen- turies, but, once thoroughly understood, may contribute towards es- tablishing a truly modern style of composition. In planning the contents of this book it seemed necessary first to ex- plain in outline the essence of his ideas and their vital significance for our times. I have therefore divided the book into three parts which differ somewhat in approach. The first part presents Schenker’s con- ceptions, their purpose and the possibilities which they suggest. It is in no sense intended as a comprehensive survey but simply as an in- troduction to the fundamental ideas upon which the approach is based. The questions raised by the first part and many which it leaves untouched, will be answered in the second part—The pedagogic and systematic approach to structural hearing. Each of these parts, how- ever, will be treated as a unit, each understandable and complete in it- self, without reference to the other. This procedure necessarily entails a certain amount of repetition, especially between Chapter II of Part I and the early chapters of Part II. Such repetition is unavoidable if the second part is to be presented as a complete and detailed exposition of the approach, In addition, it can serve only to enhance the reader’s understanding to find each idea, which served in the general outline, repeated and developed in its exact perspective within the detailed whole. The third part, finally, deals with the implications and conse-xviii Introduction quences of structural hearing as they concern problems of musical un- derstanding, interpretation and musicology. The second volume contains analyses of compositions constituting a large cross-section of musical literature from the Middle Ages to the present day. Within the processes of structural hearing, keyboard ex- ercises have proven to be very helpful. They too will be found in the second volume. New York, January 1952 Fexix SaLzer Acknowledgments It is with deep pleasure that I acknowledge my indebtedness to several musicians, students and friends. Above all, my thanks go to Miss Adele T, Katz and Mr. Leopold Mannes. Miss Katz’s intimate acquaintance with the problems discussed in this book has been of great assistance. Her constant encouragement has been most inspiring, and in all these years of preparation and research she has generously given from the rich fund of her knowledge and experience. The musical affinity which connects me with Leopold Mannes is a source of deep satisfaction to me. I am most grateful to him for constructive criticism and very valuable suggestions. It was upon his initiative that, several years ago, the theory department of The Mannes Music School was reorganized on the basis of the conceptions outlined in this book. This step, combined with the zeal and interest of a most cooperative student body, has been of immeasurable help to me. Iam indebted to Miss Gertrude Bamberger, Miss Eugenia Earle, Mrs. Katharine Foy and Miss Elizabeth Lansing for valuable suggestions. At various stages they have given their time freely to the careful scrutiny of parts of the manuscript. My thanks go, furthermore, to two young composers, Mr. Noel Sokoloff and Mr. Roy Travis, with whom I con- ducted extensive studies in contemporary music and music of the fifteenth and sixteenth centuries. Their enthusiasm has been inspiring, and very valuable advice on their part is here gratefully acknowledged. In the final stages of writing, Mr. Saul Novack and Mr. Joel Newman have proven to be of greatest assistance. Mr. Novack has made significant contributions, especially to Chapters Seven and Fight and to Part Ill.Acknowledgments xix Mr. Newman has made most valuable suggestions, and both have edited the manuscript with great care. The expert work of autographing the musical illustrations has been done by Mr. Carl A. Rosenthal, 2 rare craftsman and musician. I am most grateful to my publisher, Mr. Charles Boni, for his enterprising spirit and his splendid cooperation. Thanks are also extended to Miss Ethel Matier for her help in various matters. My acknowledgment to several publishers for permission to include copyrighted musical examples will be found in Volume II. I cannot conclude without mentioning my wife’s contribution. With- out her unwavering interest, her understanding and confidence, this book would never have been completed. RS.PARTPart I Chapter One New ideas, whether they support or oppose the cus- tomary trend of thinking, represent the spiritual and mental charac- teristics of the period into which they are born; they will always be symptomatic of that particular period in human history. Thus, before discussing ideas of a revolutionary nature on the structure and coher- ence of music, it seems of utmost importance to understand the char- acteristics of the musical period in which they have evolved. In more specific terms, we must understand the conditions under which music is at present developing, the role it plays in our stage of civilization and its relation to the cultural and spiritual trends of our time. Whether ideas meet receptive or deaf ears, whether they are born to live and bear fruit or to die and be forgotten does not depend on their intrinsic value alone; it also depends on the condition of the soil, so to speak, on which they fall. History knows some instances in which new ideas have been readily absorbed and applied, but many more in which ideas have been allowed to lie fallow and to disseminate very slowly. The reasons for the fate of an idea are as manifold as are the reasons for its birth. In attempting to characterize our times in relation to the development of music, we find that very diversified trends at first give a confusing, rather kaleidoscopic impression. In spite of this apparent confusion and our necessary lack of historical perspective, a picture may be drawn presenting two aspects which at first appear extremely contradictory, but which prove to be interdependent by balancing each other to a remarkable degree. One of the more obvious characteristics of our cultural period is the intensity and extension of its musical activity. This intensity pervades all fields of music, be it composition, performance or teaching. The last decades have been marked by a tremendous increase in music-making in general. In terms of quantity alone, we can say that probably more people than ever before have been brought into contact with good4 Structural Hearing music. The vast number of concerts given, in addition to radio pro- grams and recordings, have done much to bring music to the people (in the literal sense of the word). Consequently more and more people are studying music seriously or taking music courses as part of their general education. This new interest, in turn, has encouraged and made possible the establishment of more music departments in colleges, uni- versities and other institutions of higher education, which provide seri- ous students and music lovers with heretofore unheard-of opportunities for music education. Great progress has been made in the field of pedagogy. The technical standard of instrumental playing has been raised to a very remarkable degree; performances by children and young students give convincing proof of the high average of technical quality. This positive trend can also be observed in the unusually high standard of orchestral perform- ance, The bright side of this picture is also intensified by a growing interest in the theory of music and composition and the strong development of musicological research in universities. This has produced an increasing sense of responsibility concerning performance. The number of good or at least technically clean performances has grown appreciably in the last decades; the technique of rehearsal has become more precise. Prob- lems of style are no longer the concern of a few musicians only; we have become style-conscious. Although stylistically incorrect perform- ances certainly occur, they provoke healthy criticism and opposition due to the improved and deepened historical outlook of many musicians. We also must acknowledge that now, in contrast to the situation prevailing at the beginning of this century, more is being done to help the young composer. Certainly there is still much room for improve- ment, but, on the whole, the lot of the contemporary composer has brightened somewhat. Performing artists are gradually including more contemporary works on their programs, and there is a happy trend on the part of some publishers to accept new works more readily. I be- lieve that this is due to a more enlightened attitude on the part of the public. All this, however, describes only one side of the picture; the other side offers a remarkable and rather ominous contrast. Under the pleas- ant veil of musical prosperity lie deep unrest and uncertainty; in spite of all this hustling musical life, we are living through a time of crisis. No wishful thinking can deny its existence; its symrzums are too obvi- ous and too abundant to be denied. Every thinking and conscientious musician, whether he fights for a new musical idiom or a new theoreti-Part I Chapter One 5 cal approach or clings to tradition, must strive to understand the nature of this great unrest. This is a crisis in fundamental musical concepts which naturally affects the composer. It in no way reflects upon the quantity of his production or upon the undoubted quality of many contemporary works, But to whatever degree the individual composer may be affected, we are undoubtedly passing through a period of strained and self- conscious composition. We are constantly groping and experimenting, searching for a new language, a new idiom, a new direction of musical thought. In this search for the new, however, we somehow do not act as free agents; for instead of letting all creative forces come into play, our generation has entered upon a frantic struggle for originality. From the necessity of finding new means of expression arises a misconception of the new as an end in itself. The elements of composition can be taught, but originality can never be taught or demanded from a student because it is entirely dependent upon inspiration. Since he will or will not attain originality according to his own talent, this demand is a tre- mendous handicap to him for it tends to force him to be new for the sake of the new. This artificial incentive too often kills the last vestiges of spontaneous impulse and creative naiveté and has led to creative self-consciousness. It is also significant that more than ever before the composer is taking an active part in discussion; leading composers hold important. teaching positions; they write books and articles on a far greater scale than did composers of former times. All this points up more strongly how conscious the problems of composition have become. Today’s musical crisis centers on the problem of tonality. Tonality, new tonality, atonality, polytonality, twelve-tone music, neo-classicism, impressionism—all these terms may symbolize various and often con- flicting currents, but they all vitally concern the substance of musical language. There is a tendency to explain away the importance of the crisis by comparing it with former conflicts, for instance those of the sixteenth and seventeenth centuries. We are told to beware of exaggeration, that every period tends to overstate its own significance and that a crisis which seems far-reaching in our times may in the light of history prove to be far less important and significant than we judge it to be. In short, we are told that while we may consider the crisis in our time as involy- ing the most fundamental conceptions, this crisis actually represents, historically speaking, just another change of style. Although it is true that history shifts the emphasis of events, I believe that those who see in recent developments only another fight for a new6 Structural Hearing style are overlooking a decisive point: the musical revolutions of the sixteenth and seventeenth centuries were revolutions within a gen- erally accepted basic idiom of musical expression; they represented changes of style during the course of the development of a musical language, or changes within a language already developed. But none of them—neither the struggle over the opera at the end of the sixteenth and the beginning of the seventeenth century, nor the conflict between vocal and instrumental expression in the sixteenth century—affected the basic conception of tonality. These struggles ultimately reduce themselves to changes in styles and settings; this is true not only of the conflicts already mentioned, but of the development of the classical sonata form and of the strife over Gluck and the New German school. While these conflicts essentially represent changes of style, they none- theless gave great impetus to the development of tonality’s expressive possibilities. We must distinguish between changes of style on the basis of a devel- oping or existing language and a crisis of the musical language itself. These earlier conflicts may have created much discussion at the time of their occurrence, but, what is of foremost importance, they left the language (i.e. the fundamental conception of musical utterance and continuity) basically untouched. They affected, so to speak, the appear- ance and dress, but not the body. They served to enrich, elaborate and even to change the dress in spectacular fashion, but they presented no attack on the body, i.e. the conceptions of musical continuity, coher- ence and structure. Our period, however, is completely at odds about basic conceptions of musical utterance and coherence. This is therefore a conflict of ian- guage and not of style. Not one idiom has as yet divulged its possibili- ties convincingly to a majority of composers as a musical language, and what is even more important, none of them has reached that uncon- scious stage of musical expression so vital to the development of an artistic language or conception, Whatever the future of art music may be, whether it lies in the twelve-tone system or any other of our present much-discussed idioms, there is hardly any doubt or disagreement about the fact that, for the present at least, the language of tonality has lost its universal power of musical expression. Some believe that it is disintegrating, having ex- hausted its possibilities. Others, however, believe that this language, after having gone through a period of crisis, is now emerging with major changes and new structural possibilities constituting an enrich- ment of its architectonic potentialities. This is also the view of thisPart 1 Chapter One 7 author who firmly believes in the development of a “new” tonality made possible through the powerful influences of Hindemith, Barték and Stravinsky. Time will provide the answer to this question. We shall probably go on groping and experimenting for some time to come; we must go on because only the constant efforts, conscious or uncon~ scious, of this and the following generation will provide the much- needed answer and will give direction to future generations. A crisis of a musical language or of a basic musical conception (to~ nality may be classified as both) can neither be condemned nor praised. It cannot be fought, but neither can its existence be denied; it is beyond all methodological interference. The course of cultural developments of such strength as the crisis of tonality can be influenced to a limited degree at best. It is the way in which we deal with this crisis, our attitude towards it, which is of vital importance and which may have some direct bearing on future developments, It is certainly not beyond our power to influ- ence this attitude, We are searching; we are trying to understand; we are endeavoring to make conscious the unconscious, This is a general characteristic of our times, and it is true of our relation not only to music, but to the other arts and to science as well, It is our destiny and we must live up to it. We cannot afford to indulge in ostrich policies or to be compla- cent about our accomplishments. More self-criticism, a more honest appraisal of our situation, is imperative if we are at last to gain creative expression, free from the specter of originality d tout prix. It is equally imperative that we be at all times receptive and respon- sive to the new, and I think we are now on the whole more open-minded than other periods have been. However, the tendency which we often observe to discuss modern compositions in vague generalities is not only unjust to contemporary composers, but is very detrimental to our attempts to meet the crisis. In the appraisal of new works, just as in the analysis of older compositions, there is an unfortunate tendency to be satisfied with vague categorizations according to such superficial stylistic criteria as “‘neo-classic,” “neo-romantic,” “linear,” etc., or to describe their outer, visible appearance, so to speak, in terms of exter- nal aesthetic values. These terms, while having a definite place in the field of music criticism, hardly ever touch upon the actual musical utter- ance. Often terms such as “original,” “bold” or “interesting” are pro- fusely used but do not succeed in covering up what is lacking either in the music itself or in the listener’s understanding. Furthermore, it seems as though some musicians are so deadly afraid of8 Structural Hearing “missing” a talent that they think it safer to praise most new composi- tions, thus demonstrating an appalling lack of judgment and discrimina- tion. This curious attitude has indeed become a veritable obsession with all too many musicians, critics and teachers. Whether we are preju- diced and condemn or neglect works simply because they are new and sound unusual or for other narrow-minded reasons, or whether we go to the other extreme and lose our sense of judgment merely be- cause the work is new and we are afraid to be blamed for not having rec- ognized a talent—both attitudes seem to me equally detrimental to the development of music. Either will delay more than promote the process of finding a definite language of musical expression. The roots of the tendency to be vague and to generalize lie in a wide- spread and marked uncertainty in regard to basic musical conceptions. This uncertainty leads naturally to vagueness in our musical ter- minology and only too often to outright superficiality of musical analysis and criticism. A great gap exists between the demands made upon the critic and teacher for understanding and guidance, on the one hand, and our ability to cope with these demands, on the other. An ever-increasing number of musicians feel that they have been sub- jected to methods of musical theory and analysis which they now con- sider to be inadequate. As a result, some of them tend to reject every possible type of analysis and, as a consequence, resort to purely descrip- tive methods in which musical generalities play an unduly prominent part. They have given up hope of expecting any light from intrinsically musical explanations of musical contents. It is this situation which pro- duces our ambiguous terminology. There are far too many who are spell- bound by terms and who juggle slogans which do not gain significance from constant repetition, but only add to the confusion. In spite of all at- tempts to categorize, and in spite of the great increase in style-criticism, we can hardly think of a time when there were so many terms in use, while at the same time there was so much real confusion over basic musi- cal conceptions. One basic musical concept already mentioned, tonality, is to many a vague and only partly understood phenomenon whose potentialities are as yet unknown. Tonality, along with other fundamentals such as har- mony, counterpoint and modulation, are defined in a great number of varied and often contradictory ways. Even the function and origin of form in music seems today to be a bewildering subject. We can hardly decide now whether the crisis in musical language is the consequence of the confusion in basic musical conceptions or wheth- er these ideas are bound to become confused when the instinct for thePart 1 Chapter One 9 use of the language declines. Developments in the history of art move gradually, and it is certain that there is neither one cause nor one solu- tion to all the conflicts which confront us. It is in our hands, however, to change the mental attitudes and the methods which tend to a vague, purely descriptive terminology of analysis and criticism, and to revise the whole field of theory and appreciation. I am convinced that nothing short of such a fundamental revision can give our musical thinking a new direction. It is my belief that it was Heinrich Schenker who gave the powerful initiative to this much-needed revision. He has provided us with new ideas which clarify and revise conventional conceptions and which give new impulse and stimulus to our musical thinking. Above all he has brought the wide field of musical theory again into contact with the living motion of musical composition from which it had separated itself so very thoroughly. No one can predict in what way his ideas will in- fluence the development of a new musical language, or to what extent they will affect problems of analysis, interpretation and composition. It seems certain, however, that understanding and assimilating them repre~ sents a necessary condition to sound musical development, out of which a solution of the crisis may later evolve.10 Part I Chapter Two A. Chord grammar—Chord significance Schenker’s conceptions are based on a fundamental ob- servation, the recognition of which formed the starting point of his en- tire work—the distinction between what will be called chord grammar and chord significance. While this distinction may have been instinctive- ly felt by other musicians, they do not seem to have recognized its vast implications nor to have drawn from it any tangible conclusions for the theory of music and composition. Schenker examined this distinction, and, following up its implications, arrived at new and far-reaching con- clusions. Chord grammar denotes the usual type of analysis in which separate designations and labels are assigned to triads, seventh chords, ete. It is a purely descriptive means of registering and labeling each chord and re- lating it to different key centers. Chord grammar is the backbone of our present-day harmonic analysis, which is primarily concerned with recog- nition of the grammatical status of each chord ina musical work. It breaks up a phrase into a group of isolated chord entities. The study of chord significance, on the other hand, reveals the meaning of a chord and the specific role it plays in a phrase or section of a work, or in the work in its entirety. Chord significance, since it discloses the function of a chord, goes far beyond grammatical description by pointing out the special, architectonic purpose of a chord within a phrase. As a first result of this distinction, Schenker found that the roles which chords play in a musical phrase or section are very diverse; even two grammatically identical chords appearing in the same phrase can fulfill totally different func- tions. Thus it follows that labeling chords according to their grammati- cal status never explains their functions or how they combine to create aunified whole. As an illustration of the difference between chord grammar and chord significance, let us consider the opening measures of Bach’s Prelude in Bb Major from Book I of the Well-Tempered Clavier. In addition to illustrating this distinction, this brief example also provides the oppor-Part1 Chapter Two IL tunity to demonstrate some of its broader consequences. »[Ex. I]< The Roman numerals appearing directly below the music represent the usual type of harmonic analysis, indicating the status of the chord in the key and its position (root position or inversion). The customary melodic analysis would point to a sequence embracing four tones (D-C- D-F) as a motive. The last group of four chords together with the tonic chord in the final measure would be indicated as a cadence. Because of this cadence as well as for the sake of variety, the melodic se- quence would be considered changed in the third and fourth quarters of measure 2. Or, the presence of the sequence might lead to an alterna- tive reading of the chords on the last eighth-note of meas. 1 and the fourth eighth-note of meas. 2 as secondary dominants of the preceding chords, despite the fact that the D chord is minor. This reading would result in the following harmonic analysis: I-V°-I-V-VI-III°-VI-Vof VI-IV-I*-IV-VofIV-II, etc. Although this reading of the chords appears to be somewhat more discriminating than the first, the approach is essentially the same; it is purely descriptive and vertical. It completely dissects the phrase, turning an organic musical idea into a group of iso- lated chords and motives, each of which is represented as an independent entity through the application of grammatical symbols. Many musicians feel that this type of analysis, though indispensable as groundwork, is incomplete, and that the most vital problems of the music have not been explained or even touched upon. What has this analysis revealed of the phrase’s motion, and of the function of the chords and sequences within that motion? Has it been explained whether or not these tones, chords and motives are integral parts of an organic whole? B. Music as directed motion—Structure and prolongation We often hear and read about the motion of music and about a piece of music as an organic whole. But these facts are seldom subjected to analyt- ical investigation. If, however, a musical phrase is an expression of mo- tion, questions as to the musical meaning of this motion are in order and will have to be answered. To put these questions in more specific form: Where does the motion begin? What is its goal? And how does the com- poser reach that goal? Like a logical argument or a literary composition, a musical work is directed; its direction is determined by the very goal towards which it moves. Thus the significance of tones and chords and the functions they fulfill depend upon this goal and the direction the motion takes to attaina2 Structural Hearing it. It was this observation which led Schenker to the conclusion that grammatically identical chords may play diverse roles. Obviously a bare description of grammatical facts fails to take into account the problems of musical direction. To return to the fragment of the Bach Prelude, let us first discuss melodic direction in terms of the sequence. We hear the sequence begin on the Bb-Major tonic and come to an end upon the incomplete C-minor chord (meas. 2), at which point the motive changes. The sequential motion and the point of change have a twofold meaning: First, they unify the motion up to the point of change; second, this very unification serves in turn to stress the C-minor chord as a temporary goal, thus giv- ing it more weight than the preceding submediant and subdominant chords. In the following chords, the emphasis falls upon the dominant seventh chord on F, the top voice circling around Ep, and this leads to the conclusion of the whole phrase on the Bp tonic. Thus the motion outlined in the whole phrase progresses from the initial Bp chord to the Bb chord in the third measure. The supertonic triad and the dominant seventh chord, as temporary goals, give specific shape to the outline; together with the two Bb-Major tonics, they form the progression I-II- V-I. This progression, supporting a motion in the top voice of D-Eb- Eb-D, governs the entire phrase and constitutes its structural framework or fundamental structure. Its members will be called structural chords (Graph a). We come now to those chords in the phrase which do not serve as members of the L-II-V-I progression. What is their function in the motion and what purpose do they serve in maintaining the organic unity of the phrase?! Graph a has shown that instead of moving a tone upward from the Bp-Major to the C-minor chord, the possibility represented in Graph c, Bach inverted this obvious movement and de- scended a seventh in the outer voices. The filling in of this descending seventh engenders those intervening chords between the I and the II that contribute individuality and richness to the progression. These chords that fill the space of a seventh have a different origin and function from the chords that outline that space, the I and II. They constitute the means of passing from I to II, a motion emphasized and held together by the melodic character of the sequence (Graph b). In this instance, the motion from I to II is achieved by means of the VI 1 The use of half-notes for chords of the structural progression in the graphs is not intended to indicate time-values. tut to differentiate structural points from chords having a different function. Roman numerals are applied only to chords defining the structural framework,Part 1 Chapter Two 13 and the IV. Had Bach descended from the Bb-Major to the C-minor chord in a stepwise progression, the intermediate chords would be clearly defined as passing chords. Instead, however, he devised a musical pattern which moves in thirds through the G-minor and Eb-Major chords. Al- though the progression is not stepwise, these chords do in fact serve as passing chords. They are the connecting links between the I and the II, since they provide the motion between these structural chords. Both the structural and the passing chords are further strengthened through neigh- bor-note chords on the second and sixth eighth-notes, meas. 1, and the second eighth-note, meas, 2. The incomplete F-Major, D-minor and Bb-Major chords that follow the Bb-Major, G-minor and Eb-Major passing chords may be termed embellishing chords since they support embellishing tones of the melody. The primary function of these chords, as well as of the passing G-minor and Ep-Major chords, is to prolong the motion from the Bp-Major to the C-minor chord. Hence in distinction to the structural I and II, these passing, neighbor-note and embellishing chords are called prolonging chords. The G-minor and F-Major chords in first inversion appearing between the structural II and V have a similar origin; since they support G and F in the top voice, tones embellishing the structural tone Eb, they are embellishing chords that prolong the motion from II to V. It is now clear how the questions posed on page 11 regarding musical motion are to be answered with reference to the opening of the Bach Prelude. The reader, for final confirmation, should play or listen care- fully first to Graphs a and b, and then to the quotation itself. Schenker developed the distinction between chords of structure and chords of prolongation directly out of his differentiation between chord grammar and chord significance, and from his insistence upon taking the music’s direction into consideration. This distinction between struc; tare and prolongation became the backbone of his whole approach.’ By means of this distinction we hear a work, not as a series of frag- mentary and isolated phrases and sections, but as a single organic struc- ture through whose prolongation the principle of artistic unity and variety is maintained. This way of understanding musical motion rep- resents, I believe, the instinctive perception of the truly musical ear and can be rermed “structural hearing.” ? The analogous and equally important distinction between melody tones of struc- ture and melody tones of prolongation will be discussed in more detail in Part Il. The graphs in the present chapter necessarily show the melody’s significance, and for the present the reader must be content to follow their indications as well as he can, and to concentrate more on the bass if necessary.14 Structural Hearing It is wrong to assume, however, that finding the structural framework constitutes the sole purpose of this approach. On the contrary, struc- tural hearing implies much more. It enables us to listen to a work musi- cally, because by grasping the structural outline of a piece we feel the full impact of its prolongations which are the flesh and blood of a compo- sition. Thus the structural outline or framework represents the funda- mental motion to the goal; it shows the direct, the shortest way to this goal. The whole interest and tension of a piece consists in the expan- sions, modifications, detours and elaborations of this basic direction, and these we call the prolongations. Their broad, complex and bold unfoldings and their artistic coherence can only be grasped and fully appreciated, however, if their basic direction (comprising the struc- tural framework) has been understood. In the reciprocity between structure and prolongation lies the organic coherence of a musical work, C. Harmony and Counterpoint The distinction between structure and prolongation led Schenker to a new conception of the functions of harmony and counterpoint in creat- ing organic unity. He came to the realization that, as has been suggested, not every chord is of harmonic origin. Although he surely was not the first to arrive at this conclusion, he was the first to prove that this concept has a revolutionary effect upon our understanding of music. To regard every chord as a harmonic individuality leads us back to chord grammar and all of its limitations. Similarly, to believe that counterpoint is con- fined only to so-called independent voice leading and to such techniques as imitation, stretto, canon and fugue, etc., overlooks the vital role it plays in every composition irrespective of its style, be it a fugue by Bach, a sonata by Haydn, a passage from a Wagner music-drama or a waltz by Johann Strauss. Once we have realized the different functions chords can exercise we find that in addition to their structural or prolonging roles, they may have harmonic and contrapuntal functions as well. A detailed explana- tion of the harmonic concept will be given in Part II, Chapter IV. For the moment it will suffice to point out that this concept is based on the relationship of the fifth as expressed in the overtone series. Out of this relationship evolves the fundamental harmonic progres- sion I-V-I. In addition to the fifth there is the weaker relation of the major third—weaker because it is farther removed from the funda-Part 1 Chapter Two 15 mental. A chord thus demonstrates a harmonic function if it is a member either of the fundamental progression I-V-I or of one of the following progressions: I-II-V-I, I-III-V-I, I-IV-V-I. In these elabo- rated progressions, as we shall call them, the II, III and IV, respectively, bear a harmonic association either to the tonic or the dominant. The II demonstrates a fifth association with V, the III a third association with I, the IV a fifth (below) association with I. However, and this is most important, a II, III or IV exercises its harmonic function only if it appears in connection with I and V, elaborating the fundamental har- monic progression. In other words II, III and TV are not automatically harmonic chords; only if one of them is a member of a progression coming from I and proceeding to V, serving as an intermediary station in the fundamental harmonic movement from tonic to dominant, has it a harmonic function. Members of a harmonic progression need not appear in direct succession, as can be seen in the example from the Bach Prelude (Graph b of Ex. I), where the members of the progression LII-V are separated by several intervening chords. In spite of their separation, the ear grasps their structural connection because they are equal in structural function and none of the other chords are on a par with them. The term “harmony,” therefore, should only be used for members of a harmonic progression; they are the “harmonies” in the truest sense of the word because they are connected on the basis of a harmonic association. On the other hand, all chords not based on harmonic asso- ciation are products of motion, direction and embellishment and, para- doxical as it may sound, have a horizontal tendency. They result from the motion of voices since they are generated by voice leading and voice direction and will be called contrapuntal chords, in contrast to chords of harmonic origin. Thus in the phrase from the Prelude, all chords other than the L-II-V-I, the harmonic chords, are contrapun- tal chords of various types.* To conclude, in our example the harmonic chords are also struc- tural chords, constituting the structural framework; the contrapuntal chords, on the other hand, are simultaneously chords of prolongation, because they prolong and elaborate the space between members of the harmonic progression.* * These will be dealt with at length in Part II. : +The reader should not be led to believe that these chord functions are the only ones to be found. This is by no means the case; we shall have the opportunity later on to demonstrate the prolonging function of harmonic progressions within a larger framework, as well as the possible structural significance of contrapun- tal chords.