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Yale University Department of Music

The Path from Tonic to Dominant in the Second Movement of Schubert's String Quintet andin Chopin's Fourth BalladeAuthor(s): Lauri SuurpaaSource: Journal of Music Theory, Vol. 44, No. 2 (Autumn, 2000), pp. 451-485Published by: Duke University Press on behalf of the Yale University Department of MusicStable URL: http://www.jstor.org/stable/3090683

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THE PATH FROM TONIC

TO DOMINANT IN THE

SECOND MOVEMENT OF

SCHUBERT'S STRING QUINTET AND

IN CHOPIN'S FOURTH BALLADE

LauriSuurpaa

Introduction

In Free CompositionSchenkerbegins the discussion of the middle-

groundlevel by describingdifferentways in which the tonic-dominantspace of the Bassbrechung, he space between the firsttwo backgroundStufen,can be filled in (Schenker1979, 29-31 andFigure14).This innersubdivision of the space between I andV greatlyaffects the tonalorga-nization of music and Schenkersuggeststhat it also influences the form.He demonstrates hat thismotionmay encompasseitherall of the noteslocated between I and V or only one or two of them.AlthoughSchenker

speaks only about the first level of the middleground, imilarspace-fill-ing patternsalso occur at more local levels. Thisphenomenon, herefore,organizestheunfoldingof both local andglobal musical spans.

Example 1 shows three common patternsof such tonic-dominantmotions.Ineach of theexamples lal, bl1,and Icl there s only one note

451



b) c)

1)

6I / I II V

2)

I I6/IIV I II6/IV V I II V

Example 1. Three common I-V patterns

between I and V: in lal the bass traverses he spanvia 3, and so the har-monic structure s I-I6/III-V; n Ibl via 4, the harmonicstructurebeingI-II6/IV-V; and in Icl via 2, and the harmony s I-II-V. These funda-

mental harmonicprogressionscan govern even though there might benotes otherthanthose shown in examples lal, lbl, and lc . This can beseen in examples la2, lb2, and lc2, where the I-V motionsareentirelystepwise.2

In the presentstudy I shall discuss motivic associationscreatedbyfilled-in I-V motions in two works: the second movementof Schubert's

C-majorStringQuintet,D. 956, andChopin'sFourthBalladein F minor,op. 52. It would seemthat in bothpieces several nstances of a basicallystepwiseI-V motion,occurringat differentstructuralevels, createmo-tivic connections. Before such associations can be examined,however,

one must define the conditions underwhich these instances can arise. Itwould seem dubious to grantautomaticallymotivic significanceto alltonic-dominantmotions. Since such motions are so universalin tonal

music, several occurrencesof them in a given piece do not necessarilycreatesignificantconnections.That s to say,if certainphenomenaare tobe foundin a largenumberof tonalworks,theiroccurrences n one piecedo not yet create motivic associations characteristicof just that piece.Nevertheless, f thereis somethingthatdrawsattention o several occur-rences of a common phenomenon,these events may create importantconnectionswithin a work. If, for example, similar chromaticelabora-

tionsor innersubdivisions n variousI-V motions can be found,one mayspeak of motivic factors that are characteristicof the given work. I

452

a)



groundconfigurations hroughsuccessivelydeeperlevels, the shapesbecome simplerand more abstract, educingto the finite and almost"automatic"eatures f the tonalsystem(Cadwallader988,4-5).

WhatCadwallader uggests is that the originsof the motivic networkofa specific piece can be tracedat configurationsso fundamental o thetonal system thatthey transcend ndividual works: "Andhere is where

my broaderview of motives departsfrom traditionalperspectives:atsome point,motives-in the sense of compositionalpremises-begin toresemble andcoincide with the generaland intrinsic inear constructsofthe tonalsystem"(ibid.,6).3

Theprincipaldifferencebetween Burkhart's nd Cadwallader's iewsis thatin Burkhart's

pinionmotivic

parallelismsocus

"uponhe 'free'

and theuniquerather han the general"whereasCadwallader rguesthat"atsomepoint,motives ... beginto resembleandcoincidewiththe gen-eral and intrinsiclinearconstructsof the tonal system."Thatis to say,Burkhartsuggests that motivic parallelisms operate within individual

pieces whereas Cadwallader races the origins of motivic associationsfrom the tonalsystemitself.

In the presentstudy my standpointwill resemblequiteclosely that ofBurkhart's. shall examinein the two pieces thatformthe topic of this

essayhow the elaborationsof acommon structuralonfiguration-filled-

in spacebetweentonic anddominant-create inner associations.Behindtheseelaborations hereare,of course,simplemotionstranscendingndi-vidual compositions, first-ordermotives in Cadwallader's erminology.Butmy intentionhere is notmerelyto state that a stepwiseI-V motion is

repeated n the works,but rather o trace how it is elaboratedand howtheseelaborations,n turn,createmotivic associations hat arespecifictothese two works. In otherwords, I shall examine how a very commontonal configurationreceives individualized reatment n the works, andhow this treatment, hen, in partunderliesthe uniquecharacterof each

piece.

I shall concentrateon the mannerin which the I-V motion of theopeningformal section is laterenlargedandmodifiedin the two works,andspecificallyhow it operates n deep middleground.The subdivisionof the filled-inI-V motionoccurringat deep levels oftenplays a crucialrole in a work'sformalorganizationand its division into significantkeyareas.Owing to this fundamental ole, those deep-middleground labo-rations of this motion that create motivic associations naturallyalso

greatly influence the harmonic structureof the music.4In this study Ishall suggest thatin the two worksto be examinedthe manner n whichthe motion from tonic to dominant s elaboratedat the outset of each

piece greatly nfluences heharmonic tructure f the entirework,as wellas its form.I do not imply,however,that the courseof the bass wouldbe

454



alike in the openingsections of the two worksor that these bass motionswould later be elaboratedalong similar ines: indeed,there areprofounddifferences n the manner n which the I-V motion is filled in at the out-

set of these works and even more so later on. But I do arguethat theworks share an importantunderlying compositional idea: in both theoverall structureof the bass enlargesandmodifiesthe bass motions that

governin the openingsections.To clarify my conceptionof how the openingI-V motion is enlarged

andelaboratedateron in thepiece, I shallbrieflydiscussSchubert's ong"GefrorneTranen" rom Winterreise see example2). As the dottedbarlines in example2b indicate,the formof the song divides into introduc-tion (mm. 1-7), the mainbody (mm. 8-49), andthe coda whose begin-

ning overlapswith the end of the main

body (mm. 49-55).In the intro-

ductionthe bass moves from tonic to a dividingdominant.Example2bshows that this motion is subdividedas I-III-V. But before theV arrives,there is anincomplete neighborDL hat elaborates he motion fromAbtoC. Moreover,a BL s interpolatedbetween the Dl andthe C. In the main

body of the song the music modulatesto ALmajor(III)in m. 14, and sothe bass has movedfrom F to Ab.A chord of ALmajor s thenprolongedin mm. 14-34 until thearrivalof a $chordbuilt on DL m. 35). The func-tion of this Dbis not immediatelyclear. It would firstseem to supportacadential6chord, n whichcase a modulation oGL majorwouldbe due.

But the 4 chord does not proceed to a dominantbut to a Germanaug-mented sixthchord-a chordthat s enharmonically quivalent o a dom-inant seventh.So theDbturnsout to be anincompleteneighboraboveC,the dominantof the mainkey.But before the DLdescends to C thereis avoice exchange,and so a BL s interpolatedbetweenDl and C.5

Example2c shows that the bass of mm. 1-38 enlargesthebass of theintroduction.6 ut therole of theDbis different n the introduction nd inthemainbody.Intheintroduction his notesupportsanimpliedDb-majorchord,whereas in the mainbody of the work the chord that it supportsoscillates between a dominantof Gbmajorand anaugmented ixthchord

leadingto a dominantof F minor.Finallythe latterof these optionsturnsout to be thecorrectone. Once the mainbody of the workends, the coda

repeats he music of the introductionwithonly smallchanges,and so the

importantbass motionis heardonce more(example2c).7

Schubert: String Quintet, Second Movement

Example 3 shows the form of the second movement of Schubert's

StringQuintetand functions as a preliminary rientation o theorganiza-tion of the work. The movement is in ternary orm: Al-B-A2 and coda.

Both of theA sections are furtherdivided into two subsections-shownby the lower-case letters in example 3-and a codetta. The slurs in

455



5 4 3 2i

| o~.--..-(antic .....)?i

5 6 7 8 13 14 15 21 25 31 35 38

5 5 4 3 2

c) 1

9 j J LJ . P tjI I

enlarged

Example2. Schubert:"GefrorneTranen" Winterreise), oice-leadingan

r



example 3 show that the subsections of the A partsare linked to eachotherby phraseoverlaps: .e., the measures hat end theprevioussubsec-tions atthe sametimebegin the next. Eachof these subsectionsaregov-ernedby a I-V-I progressionand so theA sectionsbasicallyprolongthetonic. In the B section, however,the harmoniccontent is highly unusual.This section begins, with practicallyno preparation,n the very remote

key of F minor,the minorkey of a lowered second degree of the main

key, E major.The music then begins to modulate towardC minor,thedominantof F minor,arrivingat a dominantof thiskey (m. 33). C minoris an apparentkey only, however, since its dominant s never properlyresolvedto the tonic.The retransitionhatcloses the B section leads themusic to the dominantof E major(m. 63), the mainkey, whichpreparesthe returnof the tonic chord at the

beginningof theA2section.

I shall now proceed in a somewhatunusual mannerand begin thedetailed discussionof the movement fromthe middle,by looking at theB section,whose voice-leadingstructure s shownin example4. The ini-tial chord nparenthesesndicates hat he Al sectionprolongsanE-majorchord with a top voice Gt, the background3. The motionfromthe calmandchorale-likeAl section in E major o the almostviolentbeginningoftheB section in theremotekey of F minor s verysuddenandunprepared.The only clue to this dramaticchange is the trill E-Ft (m. 28) whose Ftprovides,retrospectively, he E with a leading-tonequality,thusprepar-

ing in a subtle manner he F minor thatopensthe B section.Oncethe F-minorchordarrives t is prolongedin mm. 29-33 with a cadentialpro-gressionthatestablishesAbas the maintop-voicenote(example4b).Thecourse of the music following this cadentialprogression s highly com-

plex. In the latterpartof m. 33 the music arrivesat a G-majorchordthatwouldlocally seem to function as a dominantof C minor.Butthere s noC-minorchord o resolvethe dominant. nstead, he musicmovesinm. 35firstto anF-minorchord,built on the lowerneighborof G, andthenin m.41 backto the G-majorharmony example4).8

The chordof m. 41 also resumesthedominantqualityof thechordof

m. 33, and now the music would seem to begin a cadentialprogression.As example 4 indicates, no emphaticC-minor chord arrives,however,and the musicregainstheG-majorharmony n m. 45. Afterexcursions oremote harmonies n mm. 46-48, the dominantof C minorreturns irstin m. 49 andthen again in mm. 55-57. In each case it createsexpecta-tions of a cadence in C minor,a cadence that never occurs. Instead of

arrivingat this expected cadence, the music proceeds to an enigmaticretransitionmm. 58-63) that eads back to the mainkey:first n m. 62 toa IV chordandin the next measureto the dominant.

Incidentally, here arethreeC-minorchords in the B sectionbut none

of thesefunctionsas afundamental tufeandtheresolutionof theG-majorchord prolongedin the middleground.The C-minor chord in m. 34 is

457



= phraseoverlap

58 64

retrans. a3

A2

78

Keys: E:I V-V-II V-II f:I c:V E:IV-VII I V-IJ

Example 3. Schubert: String Quintet, second movement, form

15 15

a2

mm.

al

Al

24 24

codetta

29

B

B



Mgd: I

( 1-28)

41 ( I )

29 32 33 34 35 38 39 41 42 45 48/54 49/55

41' N --------------........... ---- ..4

,,>; - }- -- -- J< J -.

Fgd: E:I f: I c:V (IV) V ( 6 IV) V (IV) V4

xq:##A1#~ - o...0

)c

Example 4. Schubert:StringQuintet,second movement,B section, vo



immediately ransformed nto anapplieddominantof theF-minorchord

arrivingn thenextmeasure.The chord n m. 38 is built on theupper ifthof theF

prolongedn thebass (example4). (In

spiteof the

emphasisthat

this chord receives in the foreground,I take it as subordinate o theF-minor chordof m. 35. This readingseems justified,above all, by thefact the C-minorchord s notprecededby a strongdominant.So it shouldnotbe understoodas the resolutionof theG-major hordprolonged n the

middleground:he bass-noteB~ thatprecedesit is a passingnote withinan ascendingfifthF-C-subdivided into two thirds-and is thus not tobe connectedwith the underlyingG-majorharmony.9)And finally, theC-minorchord of m. 42 is a sixthchord,a relatively ocal element.10

We are now in a positionto form a broaderview of the B section,and

specificallyof its bass. As the beamed notes in example4a indicate,inmm. 1-63 the bass consists of a stepwise motion fromE to B, i.e., of afilled-in tonicdominantmotion.(Thisprogression s shownin schematicform in example4c.) This motionis not diatonic,however,for both thesecond and the thirdnotes (Ft and G0)have been lowered. So both theF-minorandG-majorchordsof the B section are builton chromaticallyaltered notes. Example4a also explains the voice-leadingfunction thatthe G-majorchord-the vastly prolonged ocal dominantof C minor-

plays in the largecontext: t is formedof a passingnote in the bass anda

neighbornote in the topvoice, and so it should be ultimatelyunderstood

as a contrapuntal vent rather hanas a deep-middleground tufe.Exam-ple 5 furtherexplainsthe events of the B section, tracinga diatonic ori-

gin for the highly chromaticunfoldingof the music. Example5a showsa fundamentalharmonicI-II-V progressionwhose II is elaboratedwitha chord built on its upperthird; n 5b the thirdbetween the F#and A isfilled in withapassing-noteG#andthe harmonicmotion is interpreted s

1 29 33 61 62 63

AI '

3 2 11 3 2 11 3 2 11 3 DIN (.IN) 211

a) IN b) /IN

IN

i, n### * v4*!1 v5- 6 5

I II V 11 I II (IV)V 11 I II IV V 1 I I II IV V II

Example5. Schubert:StringQuintet,secondmovement,

B section,hypotheticalvoice-leading origin(exx. 5a-5c)anddeep middlegroundex. 5d)

460



I-II_(IV)-V; in 5c both the F# and the G# are lowered and so the har-monies areI-II IV-V; and 5c finallyshows the actualmiddleground fthe Schubert n which the harmonicprogression s I-II_IV-V.

If the bass andthe harmonicorganizationof the Schubertmovementarecomplex,then so is thetopvoice. Examples5a-c showthattheupper-most voice of mm. 1-63 basicallyconsists of an interrupted -2 motionthat s elaboratedwithanincompleteneighborA, a notewhichis, in turn,

prolongedwith a lower neighbor.In example5d the F-minorchordthat

opens the B section supports n the top voice Ab, a note that is enhar-

monically equivalent with the top-voice G# of the opening E-majorchord.Notwithstandinghisequivalence,I readthe Abas a chromaticallyaltered ncompleteupperneighborof G#rather han as a prolongationof

3. If onereadsthe Abas continuing he3,one shouldtaketheopeningbassnote of the B section as Et lest thereadingwould suggesta prolongationof an augmentedninthF-G#. But the trillE-F0 in m. 28, with the lead-

ing-tone qualityit lends to the E, clearly indicates thatthe openinghar-

mony of the B sectionis anF-minor,not anE#-minor hord.'2Let us now move to the openingA' section whose voice leading is

shown in example6. Both subsections(shownin example6a by lower-case letters) consist of a closed tonal progressionI-V-I supportinga32-1 descentin thetopvoice. (Owingto thephraseoverlap n m. 15, the3 thatopens the second subsection s superimposedabovethe 1that ends

the first.) The harmonic structureof the a' section is organized asI-IIt_(IV)-V. TheII#,whichsupportsachromaticallyaltered ncompleteneighborA#, is prolongedwith a IV,a chord built on its upperthird.A

passing-noteG#basically fills in the thirdbetweenthe bass notes of thetwo chords(examples6b and6c).13So thebass of mm. 1-14 consists ofa stepwiseI-V motionshownin schematic formin example6c.

The unfoldingof the a' section shows remarkableparallelswith thatof the Al andB sections together(example7). In both sections the bassconsists of a stepwise motion fromI to V that is basically subdividedas

I-II_(IV)-V. And, in both,the II supportsa chromaticallyaltered ncom-

plete neighbor hat s thenheard n its diatonicformwhentheIV builtonthe upperthird of the II arrives.Moreover,in both sections the spacebetween II andIV is filled in with a passingnote. So theopeningsectionof the workprepares n a subtle manner he highly originalanduncon-ventionaltonal featuresof the B section.This preparations an indirect

one, however.In both sections the fundamental I of the tonic-dominantmotion is a chromaticallyalteredharmonybut,whereas n the a' sectionthe harmony s a II#,in the B section it is a IIP,a chord whose root hasbeen lowered.Nevertheless,in my view the two sections createmotivicassociations. The B sectionassumes,so to speak,from the a' section thebasic way of filling in andsubdividing he I-V space,butthen takes thisunderlyingsubdivision n a verydifferentdirection.This direction, hen,

461



a)IN 2 IN 2 1)

7 8 9 12 13 14 15 19 22 23 24

topvoice

I

?vI (II)... V I

3J . IN 2 , 3 2 I)

I I! v () v i (|iii) iv v i

c)

o/ 0... o

Example6. Schubert:StringQuintet,secondmovement,A1section,voice-leadingsketch

3IA3



1 9 13 14 15

3 # 2nJiN) ;

a)

I II (IV)V I

1 29 62 63

3 t'IN (N) 211

dr 'I r

I 0II6 (IV) V 11

Example7. Schubert:StringQuintet,secondmovement,mm. 1-15(ex. 7a) andmm. 1-63 (ex. 7b) compared

leads to thehighlyunusualkey scheme of themovement,with the B sec-tion'stonicizedF minorandtheapparentC minor hat s represented nly

by its vastlyprolongeddominant.The prolonged G-majorchord of the B section-an element that

greatly affects the unfolding of the music at the local levels-has alsobeenpreparedntheA1section(example6). In the a2sectionthefirstgoalof the music is a G-majorchord thatis tonicizedin m. 19.Thisharmonymay be associatedwith the G-majorchord of the B sectioneven thoughthe two occur in differentvoice-leading contexts: the sharedsonorityintroduces he influentialelementof the B sectionalready n m. 19, therein a simplerand more straightforwardituation.The associationof thetwo chords is given viability by the fact that bothproceed in a similar

manner o anA-majorchord(IV) via a 5-6 5 motion(example8).

463



AftertheA2sectionthatbasicallyrepeatsthe music of theA1sectionin a decoratedmanner, he brief coda(mm. 91-94) returns o the F-minorchordthat n m. 29 acted as the dramaticand

unexpectedstartingpointof

the B section. (Thematicassociation between the two chords is created

by anE-Ft trillwhose E functions as a local leadingtone:in mm.28-29in an implied mannerandin mm. 91-92 explicitly.)The F-minorchordof m. 92 is tied to the governing E-major key in a beautiful manner

(example9). Inthe latterhalf of m. 92 there s aharmony hatfirstsoundslike aC dominant eventhchord,a chordthatwould seem to establishthetonicized F-minorharmony hatopenedthe measure.But as Schubert's

spelling indicates,the chord does not include a seventhBbbut rather ts

19 22

a) r

=5 6 5

III IV

57 62

=5 6 5

llli IV

Example8. Schubert:StringQuintet,secondmovement,mm. 19-22(ex. 8a) andmm. 57-62 (ex. 8b) compared

464



a) b \

91 94

* *

b)

(wI-~M, I

:## Yf^N-_^

Example9. Schubert:StringQuintet,secondmovement,coda,

voice-leadingsketch

enharmonicequivalentA#. So the harmony s an augmentedsixth chordandleads to the dominantof E major n m. 93.

Chopin: Ballade, Op. 52

The formal and structuralorganizationof Chopin'sF-minor Balladeis remarkablycomplex and ambiguous.A strangelyunfulfilledqualityprevails throughmuch of the work-an impressionthat the entirepiececonsists of strivingtoward the massive culminationnearthe end (mm.195-211). Thisimpressionresults,atleast to someextent,fromthe coex-istence of severalconflicting organizationalprinciples.The formal de-

sign includeselementsof at leastsonata ormand variationsof some sort,butthese are somewhatout of phasewith each other.Thereare, then,no

clearly drawnboundaries hatwould be articulatedby all formalprinci-ples underlyingthe work.'4Moreover,the music would first seem togreatly stress some structurally ubordinateelements over the primary

465



23 58 84

Sonata intr.form:

Rotations:

Keysofsignificant icthematic deas: f f f B (d) f

Example 10. Chopin:Ballade,op. 52, formalchart

mm. 100 135 152 169



ones-specifically, therewould seem to be no dominantsemphasized nthe foregroundpriorto the one arrivingat the culminationof the work

(mm. 195-210). The work thereforeconsistsof anunusualaccumulation

of tension toward he greatoutburst ollowing m. 195.Example 10 shows two coexisting formalprinciples operating n the

Ballade-sonata formandrotations-as well as the work'sprincipalkeyareas.(I have taken the word "rotation"romJamesHepokoskianduseit here for designatingthe notion that the Ballade consists of four rota-

tions-cycles, as it were-of which each begins with the mainthematicmaterial n thehomekey andends, the lastexcluded,in a similarmannerwith a weak dominant.15)Whileprinciplesof sonataformclearlyunder-lie theBallade,the workdeparts ignificantly rom the normalproceduresof this form.The

exposition (mm. 8-99)thatfollows the brief introduc-

tion (mm. 1-7) consists of two principalthemes, but the way these aretreated s farfrom the commonproceduresof sonata orm. Beforethesec-ond themearrives, he first is heardthreetimes (in mm. 8 ff., 23 ff., and58 ff.). In example 10 I show that these occurrencesbegin rotations1, 2,and3, respectively.The secondtheme(mm. 84-99) is in anunusualkey,Bb major,the major key on the fourthscale degree. The developmentsection (mm. 100-134) ends with the material of the introduction

(mm. 129-34) that leads to the recapitulationmm. 135-91). Thebegin-ningof therecapitulations tonallyhighlyunstable.The end of thedevel-

opmentwouldseemto prepareD minoras akey areabutthiskey is neverstabilized.A clearhome tonic returns n m. 152 when the fourthand thelast rotationbegins.16 n the recapitulation he second theme is heardin

Dbmajor mm. 169-91). Thearpeggiated hordsbeginning nm. 191leadto apowerfulcadence-designated "structuraladence" nexample10-

occurring n mm. 195-211. The coda begins when the tonic endingthiscadence arrives n m. 211.

Example 11 is a voice-leading sketchof mm. 1-22, the introductionand the first rotation.The entire introductionprolongsa C-majorchordthathas, locally, the air of a tonic. Thechord turnsout to be a dominant,

however,andit is resolved into the tonic of the mainkey in m. 8 whenthe first rotationbegins. The work opens, therefore,with an auxiliarycadence V-I.17After the F-minorchordthatopens the firstrotation n m.

8, the music tonicizes anAb-majorharmony III) n m. 12 (example1 a).Inm. 16 thisharmonygives way to atonicizedBb-minor hord(IV) thatthen leads, in m. 22, to the dominantthatends the first rotation.So thebass of mm. 8-22 basicallyconsists of a stepwise I-V motion(examplel ic). The emphasisreceivedby the elements withinthis motion is veryunusual.The III is a relatively fleetingelement but the IV is prolongedfor six measures,so it is clearly underlined n the foreground example1 b). The dominantof m. 22, on theotherhand,receives no emphasisonthe surface. Consequentlythe structureand foregroundstress are not

467



this g2 functionsas anupperneighborof f2 (example 11). Moreover, hee[2 of m. 11 stresses,retrospectively,he f2. F is thenprolonged nthetopvoice until the

beginningof m. 22. (In the foregrounda reaching-over

Ab-Gb-FbringsF in m. 16 backto the actualtopvoice. TheGbwill laterturn out to be an importantmotivic element establishingthe structural

importanceof the top-voiceF,hence the asterisk n example 1b.) Whenthe dominantof m. 22 arrives, he top voice moves from F to G. But inthe sameway that theV is undermined n the foreground, o to speak,sothe G is also not stressed: t appears n the one-line octave, insteadof inthe two-line octavein which the precedingF was heard.18

The exact structural ole of the G is not quite clear. The V of m. 22would seem to be a divider,or a back-relatingdominant,and so there

should be an interruptionn this measure. (The V of m. 22 so clearlycloses one structural nit while thenextmeasurebeginsthe new one thatI cannotread n mm.22-23 a cadentialV-I progression hatwould makemm. 8-23 a closed harmonicentity.)But the G (2) wouldnot seem to be

coming from anAb(3)above,as would be the case in a typical interrup-tion, since there s noAbin theprecedinggreatlyemphasizedIV.Instead,the G appears o be associatedwith the F below rather han with an Ab

above, and so the interrupted rogressionwould seem to be an ascend-

ing thirdF-G-Ab, not a descending progression.(It will laterturnoutthatG will eventually, n the lastrotation, unctionas a partof an ascend-

ing third-progression.) ut since theinterrupted rogressions anascend-ing one, the situation does not meet the requirementsSchenkerputs in

placefor aninterruption,o I haveputthe interruptionmark II)of exam-

ple 11 in quotes.19The second rotation mm. 23-57) repeatsthe first with only minimal

embellishingvariantsall theway to the end of m. 36, whichcorrespondsto thefirsthalf of m. 22 in the firstrotation.20 hus,in m. 36 only the finaldominantof the first rotationremainsto be repeated,but this V does not

immediately arrive.Instead, there follows new material that basicallyprolongsthe IV chordarrivedat in m. 31 (example 12). The Bb-minor

harmonyreturns n m. 57, and it is reached via a figurationpracticallyidenticalto the one that ed to the IV of m. 36. This chordthencontinuesto a V that corresponds o the final dominant of the first rotation.The

music, therefore,very stronglycreatesthe impression hatthe new mate-rial of this rotation s interpolatedbetween the IV of m. 36 and the V ofm. 57, the dominantfunctioningas the ultimatestructuralgoal of therotation.

This interpolatedmaterial (mm. 37-56) expands, in a remarkablemanner, he tendencyof the firstrotation o gravitate owardsa Bb-minorchord. If the stress on IV created a somewhatunusual nnersubdivisionwithin the stepwiseI-V motion of the firstrotation,as discussedin con-nection withexample 11,this is even moreevident in thesecond rotation.

469



"II"

- - L_ .... ~--.

P: : . , fC

lyAt----" * F

(23-36) 38 46 53 57 ",,

I IV V II

Example12. Chopin:Ballade,op. 52, mm. 23-57, voice-leadingsketch

Inotherwords, n theopeningformalsection,the firstrotation, he musicwould seem to introducea quiteunusualemphasison IV.This emphasisthen is furtherunderlined n the second rotation,thus creatinga clearmotivic connectionbetween the I-V motionsin the first two rotations.21

Mm. 37-56 also help to explain the course of the top voice. As wehaveseen, in the firstrotation he dominanceof the top-voiceF,which is

suggestedby example 11, was somewhatequivocal.But in the secondrotation he new materialprolongingthe IV emphasizesthe high F, thus

clarifyingtheorganization f thetopvoice. Inm. 38 theuppermostvoiceascends to Gb,anupper ncompleteneighbor hatretrospectively mpha-sizes theprecedingF (example12:asterisksagainshow theGL).Andjustbefore the returnof the IV in m. 57, there is a greatlystressedtop-voiceGb hatunderlines he functionof F as thestructuralop-voicenoteof theBl-minor chord.

The thirdrotationbegins in m. 58, now with quiteextensive melodicembellishments.As we saw in example10, this rotation s farlongerthan

thefirst wo: the secondtheme,thedevelopment,andthebeginningof therecapitulation ll occurwithin it.Also, the emphasison the subdominant

470

a),

- -...i , . _

* =G[



now becomes greater.The IV arrives n m. 66, correspondingo mm. 16and31 in thepreviousrotations example13).Thisharmony henproceedsto its dominant,prolonged n mm. 68-83.22Inthetop voice, theF is pro-longed, in mm. 68-74, with a neighbor-noteGb,and so this pitch classstresses,again,thetop-voiceF (see the asterisk n example 13b).TheBb-

majorchordthatopens the second theme arrives n m. 84 (example13).The role thattheBl-majorchordof the second themeplaysin the third

rotation s remarkable.Even thoughm. 84 begins a distinct new formalsection (the secondtheme)andkey area(Bbmajor),the Bb-major hordof m. 84 prolongsthe situationreachedearlier.As example13shows,this

harmony s connectedto the chord attained n m. 66, and the basic har-monic content is IV-4. So the third rotationbringsthe expansionof IV

much furtherthan the first two: this harmonynow underlies the sec-ondarykey area of the exposition. Owing to this prolongationof IV,thesecond theme forms an integralpartof the thirdrotation: t belongs to an

interpolationwithin a prolonged IV, and so its structural unction issomewhatsimilar to that of mm. 38-56 in the secondrotation,althoughthe scale on which the interpolationoccurs is now muchgreater.

a)

B 6 7 1

1 5-7 6)6 5

(58-67) 68 71 74 80 84 (86-87)

* =Gb

I IVo - -i

Example 13. Chopin:Ballade,op. 52, mm. 58-84, voice-leadingsketch

471



The second theme consists of two large overlappingphrases (mm.84-92 andmm. 92-99). In the firstphrasethe top voice descends fromtheF prolonged n thedeep middlegroundnto aD~,andin thesecondthe

line continuesto a Bb(example 14). Thus,the secondthemeconsists ofa local 5-1 descentin Bbmajor.23n thedevelopmentsection that followsthe second theme (mm. 100-134), the firstsignificantharmonicgoal istheAb-major hord that is tonicized in m. 113. As example 14 indicates,this harmony s a neighbor-notechord whose top-voice Eb(reachedviaan extendedreachingover) is a lower neighborof F, with the bass-noteAba neighborbelow Bb.24

The firmlytonicizedAb-majorharmony s followed by highly com-

plex music that is of great importance or both the structuralunfolding

and the formalorganizationof the Ballade.In m. 129 the materialof theintroduction eturns,nowprolonginganA-majorchord.Thecadenza-like

figuration f m. 134 includesneighboringD-minorharmonies, o thatthe

underlyingA-majorchordhas conferredupon it clearly the status of a

dominant, he function thatthe correspondingC-majorchord had at the

beginningof the work.In m. 135 therecapitulationwould seem to beginin the local key of D minor,but this key turnsout to be an apparentkeyonly since it has no tonic. So the thematicbeginningof therecapitulationis not underlinedby a stableharmonic ituation,whichcreatesanimpres-sion that the formalboundarybetween the developmentand the recapit-

ulation occurs within a largerstructural rch. Insteadof establishingDminor as a significantkey,thebeginningof the recapitulation epeats ts

openingthematic dea three imes,first onicizingF major mm. 137-38),thenAbmajor(mm. 141-42), andfinallyBl minor(mm. 144-45). Withthe last of these tonicizations(m. 145) the music returns o materialcor-

responding o m. 16 in the firstrotation.Thefollowing mm. 146-51 then

84 88 92 96 99 103 107 113- 121

N(rg.-ov.)

=B: I IV V I IV V I )

IvT N

Example14. Chopin:Ballade,op. 52, mm. 84-121,voice-leadingsketch

472



113 125 128 129 133 138-

(rg.-ov.) (rg.-ov.)

I (III)IV-- V 11

(129-134)135 138 142 145

* -

=G - ------ - --------

#3 #3 #3\ 3h \==

Example 15. Chopin:Ballade,op. 52, thirdrotation,

voice-leadingsketch

repeatmm. 17-22 of the firstrotation, husbringing n m. 151 the musicto the dominant hatcloses the vastlyextended thirdrotation.

Example 15agives an overview of the voice leadingof the thirdrota-tion.As alreadymentioned, he Bbchord,arrivedatinm. 66, is prolongedwith a neighboringAb-majorharmony m. 113).WiththeA-majorchordof m. 129 boththe top voice and thebass of theprecedingAb-majorhar-

mony areraised,and the resultingE4andAM ave a built-intendencytomove forward o F andBb.This is indeed whathappensatdeep levels inm. 145 when a Bl-minor chord arrives.So the music fromm. 135 to the

beginning of m. 145-i.e., the opening of the recapitulation-consistsultimatelyof contrapuntal ventswithin a prolongedA-majorchord.

As example 15a indicates,at the remotest evels mm. 66-150 all pro-long a Bb-minorharmony. n this manner he thirdrotationbringsmuchfurtheran idea alreadyexpressedin the two previousones. In each rota-tion the bass basically consists of a stepwise motion from I to V. This

goal, however,is undermined n the foreground,whereas the IV chord

thatprecedes t is greatlyemphasized: o suchanextent,in the thirdrota-tion, that it swallows the secondtheme,development,and the beginning

473

58 66 84 113 129 145 151 142 145-



of the recapitulationwithinits prolongation.This emphasison IV, then,draws a motivic connectionbetween the stepwise I-V motions of theindividualrotations.Moreover, n the second and thirdrotations he

pro-longationof the subdominantorms an interpolationbetween the attain-ment of the IV and theV functioningas the structural oal.

Examples 15b and 15c give more details of the motion from theAb-

majorchord of m. 113 to the BL-minor armonyarriving n m. 145. Thechromaticmotionin parallelfifths,shownin example 15a, is elaboratedwith interpolatedsixths: the underlying contrapuntal tructure s thus5-6 5-6 5 (example15b).This structure hows subtle enharmonic ea-tures.The first5-6 progression mm. 113-28) takesplaceabove anAbinthe bass: the top-voice Eb ascends to Fb.When the A-majorchord of

m. 129 arrives, he Fbis enharmonically einterpreted s Et (this enhar-monic relationis shown in example 15b by the E-majorsixth chord in

parentheses).The second 5-6 progression eads to the brieflytonicized

F-majorharmonyof m. 138. Example15b also clarifiesthecontrapuntalfunctionof the tonicizedAL-major armonyof m. 142: it gives consonant

preparation5^?5) for the Ebthat in m. 145 functions as the seventh ofthe V of Bbminor.

The thirdrotationcontinues to underlinethe importanceof the top-voice F. We haveseen that n the firstrotation he courseof the top voicewas quite ambiguous and that in the second rotation two prominent

neighboringGbsemphasizedF,hence somewhatclarifyingthe course ofthe top voice (see asterisksin example 12b). In the third rotation the

prominenceof F is also suggestedat deeperlevels. After the foregroundemphasisgiven to it by a neighboringGb n mm. 71-74 (see the asteriskin example 13b),F is prolonged n the second themeby a fifth-progres-sion descendingfromit (example14).At a still deeper evel, F receives alower neighborEL hatproceeds,via a chromaticpassing-noteE~,backto F (example15a).RightbeforeF returnsn m. 145 as thetop-voicenoteof the IV prolongedat deep levels, the uppermostvoice has a prominentGb,apitchthatdrawsattention o motivic associationswithearlieroccur-

rencesof IV with a top-voiceF (see the asterisk n example 15c).The fourthand final rotationbegins in m. 152 with heavily embell-

ished thematicmaterial.This rotation ncludesboth therecapitulation fthe secondary hemein Dbmajor(mm. 169-91) andthe following greatculminationof the entire work(mm. 195-211). Example 16ais a voice-

leadingsketchof mm. 152-211. The overall structure f the fourthrota-tiondiffersfrom the earlier hree n one crucialrespect:whereas hedom-inantformingthe goal of the firstthree s underminedn theforeground,the fourtharrivesat a powerfuldominant n m. 195. Moreover, his V isnot a dividingdominantbutratherpartof an extensivecadencethat eads

to the tonic in m. 211.25The finalrotationresolvesmuch of the tension thathasheretoforepre-

474



a) o t e r un f

minor chord (m. 160). Soh s rotation roceedslike the earlierthree up

interpolations n the second and thirdotations. The Bb-minorchord is

D6 -------.- .---- ----------

I (III)IV (VI) V4 B3

Example 16. Chopin:Ballade,op. 52, mm. 152-211,

voice-leadingsketch

vailed in the Ballade. The course of the music beginningin m. 152 fol-lows thatof the earlierrotationsuntil the arrivalof IV,the importantB-minor chord(m. 160). So this rotationproceedslike the earlierthreeupto the attainmentof the harmonywhose prolongationconstituted the

interpolations n the second and third rotations.The Bb-minorchord isfirstprolongedwith its dominant mm. 162-68), a harmony hat contin-ues directlyto a DL-major hord thatopens the second theme in m. 169

(example 16b).Since the

p-majorchordhas no

preparation,t shouldbe

understoodas subordinatto the preced ing -minorharmony:struc-

turally it is built on the upper third of B6 (example 16a). The course of

the top voice in the second theme differs from thatencountered n the

exposition.As we sawin example 14, in theexpositionthe second themeconsistedof a local 5-1 descent which the two phrasessubdividedas 5-3and 3-1. Now the second theme does not show a fifth-progression. As

example 16 indicates, it rather consists of two neighboring motionsabove F Both phrasesof the second theme (mm. 169-77 and 177-91),therefore,exhibit the prominentpitch-class G that hasthroughout the

work gravitated toward the top-voice F, hence securing the function of Fas the primary op-voicenote.26The culminationof the workbegins with the arrivalof the Dl-major

chord n m. 191, whenthe texturechangesto arpeggiated hordsextend-

ing throughseveral octaves.Example 16b indicates thatabove the bass-note Dl there is an ascending chromatic line A -At-Ba-B.s With thearrival of the B^ (m. 194) the harmony changes into an augmented sixth

chord, which is resolved in the next measure into a cadential 4 chord.

Here the music reaches for the first time in the entire work-or at leastsince the introduction-a strong and powerful dominant.27

Example 16 indicates that the augmented sixth chord-the elementthat finally leads the music to the underlined dominant that has so far been

475

152 160 169 177 191 194 195 202211 160 169 177 182 190 191 194 195



* =Gb

195 202 211 195 197 199 202 205 211

a) b)1(

X 6 5 6 5

6-5 6- -5

V4-3 I V4- -- I

(=V2 16 II6 V)

Example17. Chopin:Ballade,op. 52, structural adence,voice-leadingsketch

avoided-is intimatelyconnected o theextendedprolongations f IV andto the somewhatambiguoustop-voice F, featuresthat have both been

prominentn the work.Thediagonal ines in example 16 indicatethatthe

augmentedsixth chordprolongsthe IV of m. 160 with a chromaticizedvoice exchange.28 o this fourthrotation, oo, includes an extendedpro-

longationof IV.Thisprolongation,however,differs n one crucialrespectfrom those of the second and thirdrotations(cf. examples 12, 15a, and

16a).Wheretheprolongationof IV ends in the two earlierrotationswitha Bb-minor hord eadingto a weakdominant,here theprolongation ndswith apowerfulaugmented ixth chord.Now themusicmust,so to speak,proceedto a strongdominant: he long crescendo, the brillianttexture,and theexpectationof a resolutioncreatedby the augmented ixthchordall suggest that the goal of the music must be a structurallymportantV.In short, in the fourthrotation the prolongationof IV necessitates theattainmentof a significantdominant.

The augmentedsixth chordand its resolution are also important orthe top voice. As example 16 indicates,the top voice of the augmentedsixth chord is a G that leads to an ALwhen the cadential 4 chord isreached.I readthisAbas thebackground ,a notewhose arrivalhas been

postponedup to thispoint.Thus the top voice consists of a veryunusualextended nitial ascent that reaches the Kopftononly in m. 195.

Since the Ballade hasupto m. 195 attempted o arriveat both a strongdominantand the Kopfton, he eventual attainmentof these cannot leadto a fast andstraightforwardadence: this would not balance the some-what unfulfilledquality thathas prevailed throughout he Ballade as a

consequenceof the structurally ignificantbut rhetoricallyweak domi-nants at the end of the first threerotations,and the interrupted scending

476



top-voice motions from F.29As example 17 indicates,the structural a-dence that the dominant of m. 195 initiates spans mm. 195-211. Mm.195-202

basicallyconsist of a harmonic

progressionV4, with the back-

ground3 descendingto 2. Example 17b shows thatpriorto the definitivearrivalof theVI in m. 202, there aretwo attempts o reach this harmony(mm. 196 and 198). Both times the V3continuesto a local I6 thatturnsout to be directlyconnectedto the underlyingdominant.Althoughthese

attemptsto make a cadence do not yet definitivelyarriveat a VI thatwould lead to the tonic, they are important or the dramaticunfolding:they make it clear thatthe music is about to make a structurally ignifi-cant cadence-a feature so far avoided-and so anticipate, n an asso-ciative sense, the final arrivalof the tonic in m. 211.

The two attemptedcadences also draw an importantmotivic associa-tion to theprecedingmusicin the Ballade.Example17bindicates hatthemotionto the local 16chords nmm. 197and199consists,inthetopvoice,of an AL-G-F progression.The G is not, however,approacheddirectlyfromthe Ab abovebutrather roman innervoice via anF-Gb-G0motion.So the motivicallyimportantpitchclass Gbappears wice (see the aster-isks in example 17b). But now thatwe have finally arrivedat the struc-

I (=3 IN 2

a)

(195-210) 211 217 221 223 227

3 2 1

_,I (=23IN 2

p 1216

1 l 16 V I

6-5V4-3 I

Example 18. Chopin:Ballade,op. 52, mm. 195-227,voice-leadingsketch

477



8 16 22 23 31 57 58 66 84 113 145 151 152 160 169 194 195 202 211 218 223

(V) I (IV)V"1" I IVV "I" IV -- V "" I IV V4 3 I (V I)

Rotations: Ri R2 R3 R4

Example19. Chopin:Ballade,op. 52, an overview

turaldominant,Gbno longer gravitates owardsF but,rather,ascends toG4.Thus the musicrecallsthe factorthathas earlierplayedan importantrole in establishing heprominenceof thetop-voiceF,but now thispitchclass is tied to thegoverningdominantand the top-voiceGO.

As the parentheses n example 17 indicate,m. 211 does not yet bring

thebackground1 to the actualtopvoice. Rather,a subordinate -2-1 pro-gression is heard n mm. 211-23, and the definitive is reachedonly inm. 223 (example 18).30These measuresthatpostponethe arrivalof thestructural play animportant ole in the work.Thebass-noteBb,thefac-tor that earlier had supported he vastly prolongedIV that was empha-sized much more than the structurally rimaryV, is heardthreetimes inthese measures,each time clearlysubordinate o the dominant example18). In m. 218 Bb leads to the dominant,andin m. 219 and mm. 221-22it occursas a lower neighborof C. The arrivalof the tonic with the top-voice 1 in m. 223 leads to the harmonicprogressionI-IV-V-I, heard

twice in mm. 223-27, that further ndicates the secondaryrole of thebass-noteBband the IV.This subordinate unction thatthe Bbnow has

retrospectively orrects,so to speak,the great emphasisgiven in the firstthree rotationson IV, the element that was basically partof a stepwisefilling in of the I-V motion but that was stressedbeyond this structuralfunction.

The strangelyunfulfilledqualityof theBallade,to which I referredatthebeginningof the discussion of the work,can be seen as resultingto a

greatextent from the relationbetween IV and V in the first three rota-tions. (See example 19, which shows an overview of the voice-leadingstructureas well as the division of the work into four rotations.Thisexample shouldbe studiedtogetherwith example 10, which shows the

478



formaldesignin moredetail.)Since the structurally rimary lement(V)is highly fleetingon the surface,whereasthe subordinateprecedingIV is

increasingly emphasized,the music creates an impressionof not beingable to reach the goal of the I-V bass motion in a satisfactorymannerbefore the fourth rotation.This innersubdivision of the stepwise tonic-dominantmotion,togetherwith the emphasisreceivedby the individualelements within this motion, greatly affects the dramatic and formalarticulationof the work. The course of the top voice follows in a subtlemanner his idea of firstnot arrivingatthegoal. F is initially emphasizedas the governing op-voicenote in thework,and its attempts o ascend toAbareinterrupted t the end of the firstthreerotations.TheAb,the back-

ground3, finallyarrives ogetherwith the emphaticdominant n m. 195:the work thus reaches at the same time both the melodic and the

har-monic goals towardwhich it has so far been aiming.The impression hatthe music is at first not able to arrivewhere it is aimingis underlinedbythe fact thateachof the rotationsbeginswiththe same thematicmaterial:it is as if the musicbeginseach time anew theprocessit had earlier ailedto complete.There is thereforean accumulationof tension that is finallyresolvedin the culminationof the work,the structural adence.

479



NOTES

1. Later n FreeComposition chenker oes, however,ndirectly xamine -V mo-tions at more ocallevels;see Schenker 979,87-88 andFigure109.2. For further iscussionon the filled-inI-V motion,see Schachter 981, 130-31.

See also Schenker1996,8.3. Cadwallader ndPastille1992 further evelops he notionspresentedn Cadwal-

lader1988.4. This is not absolutelynecessary,however.Carl Schachter as suggested hat n

mm. 23-30 of Schubert's ong "Aufdem Flusse" rom Winterreisehe motivicfeaturesdo notaffecttheharmonic tructure.n these measures he motivic ac-torssubdivide hestepwise -V spaceof thebass1--5 whereas hevoice-leadingstructures subdivided -A-5.Hencethe motivicassociations reatedby the bass

motionarehere so strong hat heyeven contradicthe harmonic rganizationfthepassage. SeeSchachter 990,176-79.)Butthe measures chachter iscussesformonlyaquiteshort xcerptof thesong,andso their -V motiondoes not havea form-definingunctionsimilar o bass motionsoccurringn the deepmiddle-

ground.5. WalterEverettnterpretshevoiceleadingdifferently;ee Everett1990, 162-63.

The maindifference s in thefactthathe does not takemm.39-48 as aparenthet-ical eventpostponinghe resolution f the structural ominant rrived t inm. 38,butrather eads hesemeasures sprolongingheAb-majorhordof m. 15. More-

over,hisinterpretationf thetopvoice differs rommine.He readsaprolongationof 5 all thewayto mm.45-48, wherehe locates he structural-3 descent. find

thisreading f thetopvoice-as well as one thatwould ake he4-3 descentof thecorresponding m.35-38 aspartof theUrlinie-problematic, ince both4 and3wouldbesupported ya dissonantonority: bya 4 chordand3byanaugmentedsixthchord.

6. In the autograph f Winterreisehis enlargements even clearer. n it therearethreemeasuresnterpolatedetweenmm.5 and6 of the finished ong.Thesemea-suresprolonganAb-major hordand their thematicmaterial esembles hatofmm.30-33. So the thematicmaterialwould associate heAb-majorhordof the

introduction, hosebasscontinueso theDb,with he music hat n the mainbodyof the workprecedes hearrival f theDbof the bass.Intheautograph chubert

has, however, rossedout these measures.ee Schubert

989,10.

7. Ibelieve hat herepetitions f thebassmotion,as well as thechanging ole of the

Db,arerelated o thetextof thesong.In thepoemthe real worldand heprotago-nist's inner eelingsare n strongopposition:he tears reeze n thecoldair even

though he narratoreels that hey spring romhishotbreastandshould hereforemelt all the ice of winter.Thisopposition an be seen as beingmirroredn the

ambiguousunction f theDb n the mainbodyof thesong: nthe samewayas the

protagonists confusedbythe factthathis hot tears urnnto ce, the music s con-

fused,so to speak,bytheambiguity f theDb'sstructuralole.Thisinterpretationis supported y the eventsof mm.39-48. The dominant eachedn m. 38 is not

immediately esolved o a tonic; he music of mm.30-38-the measuresduring

which the ambiguousDb appears-is firstrepeated. t is as if the protagonistrefused o believe that he tearsreallyturn ntoice, and so he returns o the con-

480



tradiction etweenhis feelingsandthe realworld,a contradictionymbolizedbythe ambiguousDb.Thebass motionsof the introduction ndcoda,on the other

hand,can be seen as symbolizing herealworld.Thesinger s silent-and so his

inner eelingsarenotpresent-and the functionof theimportant bas an incom-plete neighbor boveC is clear.

8. At thebeginning f m. 35 there s actuallyno F-minor hordbuta D,-major ixthchord. nmyview thisharmonyesults roma 5-6 motionaboveFwhosefifth C)has been elided.Owingto thiselision,the chord hatopensm. 35 is not a stable

pointof arrival.This is significantor theinterpretationf thestructuraltatusofthe chord.Hadtherebeen a clearand underlined -minorharmonyn m. 35, oneshouldprobably onnect his chordwiththeharmonyhatopens he B section.SotheG-major hordof m. 33 wouldbe a localII1, n thekeyof Fminor,eading othe dominantof this key (m. 34). In such an interpretationhe chordof m. 33wouldnot, therefore,beginan extendedprolongation f a G-majorharmony s

shown nexample4. But the unstableharmonic ituation n m. 35 andthe suddenpianodynamicead me to interprethe chordof m.35 rather s subordinateo the

G-major hordof m. 33 thanas the return f the local tonic.DavidBeachdoesnotshare hisinterpretation.e connects hechordof m. 35 with theF-minor hordthatopensthe B section.He concedes,however, he harmonic mbiguity f the

passage:"[T]heres a suggestion lready t thispoint[m.35] that heFminorhar-

monyfunctionsas the subdominantn thekey of thedominantn addition o itsroleas local tonic.That s, thestability f F minoras the ocalcontrollingonic ..is undermined lmost mmediately"Beach1995,31).

9. DavidBeachreads heC-minor hordof m. 38 as a deepmiddlegroundtufe,aVin F

minor;ee Beach

1995,34.

10. CarlSchachter asa valuablediscussiononapparent eyareas, ikeC minorhere,thatarenot established y a structuralonicchord; ee Schachter 987,295-98.

11. Thefirstmovement f Mendelssohn'sE-minorStringQuartet, p.44/2, shows asomewhat imilar ituation.Herealso aharmonyhatwould nitially eemto func-tionas a dominant stablishing strongly onicizedkeyturnsout to be a passingchord.Theexpositionmoves fromI to III(G major,mm. 53 ff.) butthe III s not

precededby its own dominant.nstead,t is approachedia anFt dominant ev-enthchord mm.39-52) thatwouldseem toprepare B-minorharmony, chordthatwouldmostlikelyfunction, f it arrived, s the tonic of theexposition's ec-

ondarykey.Instead f moving o a B-minor hord,however,heFt dominantev-

enth chordcontinues o a G-majorchord-a chord that is subsequentlyoni-cized-and so the Ft of the bass acts as a passingnote.Locallythis harmonic

progressions firstunderstood s a deceptive adence n B minor.12. DavidBeach nterpretsheAt of thetopvoice asprolongingheGtof theexposi-

tion, statingthat"[o]verall,of course,it is Gt/Ab(3) that is being prolonged"(Beach1995,34).IreneMontefiorLevenson ffersa differentnterpretationf the

voice-leading tructure f the entiremovement;ee Levenson1981,104-8.13.Inexample6b the bass note of theE-major hordof m. 12 is E, andtheGt above

it is in parentheses. hecontrapuntalriginof the bassin mm.9-13 is, however,apassing-motion $-G1-A.TheE of m. 13is a noteaddedbelowtheprimaryG$,andit provides he chordof m. 13 with thequalityof an applieddominant.For

Schenker's iscussion n "addition f aroot," eeSchenker 979,90. Foranactualanalysisby Schenkerhataddsa rootbelow a passingnote,see his interpretation

481



of the firstmovementexpositionof Mozart'sG-minorSymphony,K. 550, inSchenker 996,60 (especiallyFigs. la andlb).

14.This coexistenceof several ormalprincipleshas been noted n Rothstein1994,

23-27; andSamson1992,62-68. CharlesRosen,on theotherhand, s skeptical ftheapplicabilityf theconceptsof sonata orm nconnectionwith heBallade; eeRosen1997,394-95.

15.Myuse of the termrotation ifferssomewhat romHepokoski's.He definesrota-tion in the contextof the music of Sibelius:see Hepokoski1993,23-26. Most

importantly,basemydivisionof theBallade nto fourrotations rimarily n thereturn f themain hematicmaterialwhereasHepokoski iscussesmoreextensivethematic epetitions: Second andany subsequent)otations ormally ework llor mostof the referentialtatement's=the irstrotation]material... Eachsubse-

quent otationmaybe heardas an ntensified,meditative eflection n thematerialof thereferential tatement"Hepokoski1993,25). In spiteof thisdifference,feel that he wordrotationdescribesn the Ballade heimpression f newbegin-ningsandreturn o thepointof departure,uggestedbythe return f the main he-maticmaterial,better han more neutral erms ike "cycle"or "section"would.

Recentlythe termrotationhas been appliedalso to relativelystraightforwardsonata-formmovements;ee Darcy1997,264-67.

16. WilliamRothsteinuses the terms hemeandthreevariationso describe hesec-tionsI call the fourrotations;ee Rothstein 994,23-26. Ipreferhetermrotationsinceit does not createallusions o theclassicalprocedures f themeand varia-tions.Also,Jim SamsonandDavidWittennote that he return f themain hemeis animportant rganizingactor, he former eferringo themeandvariations nd

the atterusing heletterA for thesereturnsSamson1992,67;Witten1997,180).Theirreadingsdiverge,however,rommine,as well as from hatof Rothstein,nthat heyread he thematic eturn t thebeginningof therecapitulations a sig-nificant ewpresentationf the main heme-hence suggesting itherabeginningof a newA section Witten) r a newpresentationf thetheme n the set of varia-tions(Samson)-whereasI interprethisthematic eturn s occurringwithin hethird otation.

17. Thegoverning eyarea s notaltogether lear n theintroduction-i.e.,theques-tion of whether heC-major hord oundsas a dominant r as a tonic-and there-fore I haveput quotesaround heC in example10andgiventwo harmonicnter-

pretations elow example1 b. But the prolongation f a C-major hordseems

unequivocal, omatterwhat he initial mpression f itsrole s. (Fordiscussion fthe ambiguityof key area in the introduction,ee Cone 1994, 140-42; Rosen

1995, 338-39; andWitten1997,162.)18. In themiddlegroundheF-G motionof thetopvoice(m.22)createsparallel ifths

withthe BK-Cmotionof thebass(example1 a). These ifthsareeliminatednthe

foreground,owever: t thebeginning f m. 22 thetop-voiceF is only mpliedandthetop-voiceG of the dominant hord s heard n a lowerregister hanthepre-cedingF.

19.Inprinciple heG of m. 22 couldbe interpreteds a neighbornote,too. But this

readingwould,in my view,disregardhe impression f an interruptionhatthedominant f m. 22 creates. f one wanted o show a standardnterruptionn mm.

8-22, itwould heoreticallyepossible oreada 3-2 IImotionandsuggest hatAb,supportedirstby I andthenby III,wouldproceed o anincompleteneighborBe

482



when the IV arrives, ndthatB, wouldthenmovedirectly o G. But thisreadingwouldnot,in myview,reflectwell the courseof theforeground,with theF hang-ing muchof the time abovethe othernotes. WilliamRothsteinovercomes hese

problemsby suggesting hat heV of m. 22 is nota dividingdominant utpartofa V-I cadence.So he readsa 5--3 progressionn mm.8-23, anda renewalof 5in m.23.Accordingo thisinterpretationhe4 functions s thetopvoice commonto bothIV andV,thecontrapuntalrogression eing8 7. (See Rothstein1994,25.) I find thisreadingproblematicince it overlooks heimpression f an inter-

ruption reatedby the dominant f m. 22.20. Inthe secondrotationhe music of the first s shiftedby half a measure.For dis-

cussionof thisfeature, ee Rothstein1994,29-31.21. Several ommentators avesuggested hat heincreasing mphasis nIVis asig-

nificantstructuraleature n the work. See Rothstein1994, 26; Samson1992,64-67; andWitten1997,164and 170.

22. Inexample13bthe secondnoteof thesixth-progressionl-F shown n mm.68-74, Bbb,s a loweredBb,so it shouldbe understoods a passingnote ratherhanasprolongationf theenharmonicallyquivalent recedingAt.

23. WilliamRothstein ffersa differentnterpretationf the second heme seeRoth-stein1994,44-49). Mostimportantly,e readsa local3-1descent nsteadof the5-1descent hown nmyexample14.Moreover, e takes heV of m.91 as a divid-

ingdominant f aninterruption.24. On the musicalsurface heemphasison the top-voiceEb s impliedrather han

explicitlyexpressed.As example14demonstrates,his note is heard n the fore-

groundonly as ananticipation,ince thetopvoicehasdescended o C when the

Ab-majorhord

arrives.Onthe surface he

pitchclass

Ebs

keptvibrant, lthoughnotstructurallyrolonged, y threeV-I cadences mm.115, 116,and117-21) inwhichtheEb s emphasizedn mm.115, 116,and117.

25.By saying hat he dominantsnding he first hreerotations reunderminedn the

foreground do not wish to suggestthat a briefharmony ould not in principlefunctionas a backgroundlement. ammerelyreferringo themeager hetorical

emphasishesedominants eceiveon themusical urfacenspiteof thesignificantstructuralolethey playin themiddleground. or a valuablediscussionon brief

backgroundlements, ee Schachter 976,290-98.26. The reason ortaking heF (the ocal 3 inDbmajor)as the main op-voicenote n

the second heme,rather han heAb(thelocal5) as in thecorrespondingection

of theexposition, ies in the larger ontext n which theDb-majorhordoccurs.TheBb-minor armony nd ts dominant hatprecede hesecond hemeestablishF asthe main op-voicenote,and he cadence hatcloses thesecond heme n mm.190-91 also underlines his pitch(see example16b).In the exposition,on theotherhand, he local5 (F) is connected o the precedingF as well as to the fol-

lowingneighboringEb(seeexamples13 and14).27. The avoidance f a structural ominanto far nthe Balladehas beennotedbyJim

SamsonandDavidWittenwho bothargue,moreover,hatsuchapostponementsa feature haracteristicf allChopin'sballades.See Samson1992,67 and78-81;andWitten1997, 119-20, 170,and 181-82.

28. This voice exchangehas also been mentionedby CarlSchachter;ee Schachter

1988,231.29. CarlSchachter asexplained he somewhat imilardramatic ituation t theend

483



of Chopin'sFantasy p.49:"Inapiecewhose main onicarrives nlyaftera longstruggleand whose largeformalcomponents, lmostwithoutexception, ail toachieveclosure,a quickand facile final cadence would be disastrously ut of

place" Schachter 988,251).30. JimSamsonandDavidWitten-and apparentlylsoWilliamRothstein-disagree

with thisreadingof thetopvoice, suggesting hat hesubordinate-2-1 progres-sion thatI read n mm. 211-23 wouldactuallybelongto the Urlinie: ee Samson

1992, 80-81; Witten1997, 180-82; and Rothstein1994,23. Moreover,Wittenand Rothstein uggestthatthe1arrives nly in m. 227, not in m. 223 as I show.

(Wittengives,perhaps y mistake,both m. 227 and m. 229 as the ones in whichtheUrline s completed; f. hisexamples5.98and5.99.Samson,nturn,givesnomeasure umbers.)nmyviewthe3-2 motion n mm. 195-202is sopowerfulhatI wouldrather ake nm.211 animpliedbackground,whose arrivals thenpost-poned n theforegroundntilm. 223, thanreada 5-4-3 descent n mm. 195-211.

Moreover, read he arrival f 1 n m. 223 rather han n m.227, in spiteof the factthat he chordof m. 223 is a major hordwitha seventh. takethe seventhof thischordas coming roman elidedoctave-i.e., (8-)7-and the AM s coming roman elidedAb-i.e., I(). Fora remarkablenstancewhere, n a minor-modework,a similarmajor-modeonic with a seventhconcludesa structurally ignificantcadencenear he end of themovement, ee mm. 173-74 inthe slow movement fBeethoven'sBb-major ianoSonata,op. 106.

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The Path From Tonic to Dominant in the Second Movement of Schubert s String Quintet and in Chopin s...

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