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Guide to the Study of

Gabriel Fankhauser
William G. Harbinson

Copyright © 2009 Gabriel Fankhauser


Mariam Cannon Hayes School of Music
Appalachian State University
Boone, North Carolina
All Rights Reserved
Table of Contents

Introduction: Why study music theory?..............................................................................................................................iii

Theory III Topics


1. Review of Common-Practice Harmony................................................................................................. 1 
Diatonic Harmony ............................................................................................................................................................ 1 
Chromatic Harmony......................................................................................................................................................... 4 
2. Transposing Instruments........................................................................................................................ 8 
Transposing Key Signatures ................................................................................................................................................ 8 
Common Instrument Names and Transpositions ................................................................................................................. 9 
Orchestral Reduction and Analysis.................................................................................................................................... 11 
Arranging an Instrumental Score ....................................................................................................................................... 12 
3. Motivic Variation and Development ................................................................................................... 13 
Processes of Motivic Development ................................................................................................................................... 15 
4. Variation Forms ................................................................................................................................... 17 
Continuous Variations: Passacaglia and Chaconne ........................................................................................................... 17 
Sectional Variations: Theme and Variations ..................................................................................................................... 17 
Elements of Variation ........................................................................................................................................................ 17 
Other Formal Considerations............................................................................................................................................. 18 
5. Melodic and Voice-Leading Structure................................................................................................. 20 
Accentuation ...................................................................................................................................................................... 20 
Structural Terms................................................................................................................................................................. 20
6. Texture ................................................................................................................................................. 23 
Musical Textures................................................................................................................................................................ 23

Theory IV Topics
7. Harmonic Analysis in Two-Voice Texture.......................................................................................... 25 
Harmonic Progression........................................................................................................................................................ 25 
Harmonic Analysis in Two-Voice Homophony ................................................................................................................ 26 
Harmonic Analysis in Polyphonic Texture........................................................................................................................ 27 
8. Imitative Polyphony............................................................................................................................. 28 
9. Cadences, Phrases, and Hypermeter .................................................................................................... 31 
Cadences ............................................................................................................................................................................ 31 
Phrases ............................................................................................................................................................................... 31 
Hypermeter ........................................................................................................................................................................ 31 
Phrase Contractions and Connections................................................................................................................................ 32 
Phrase Expansions ............................................................................................................................................................. 32 
10. Phrase and Periodic Structure ............................................................................................................ 35 
Harmonic Structure............................................................................................................................................................ 35 
Hypermetric Structure........................................................................................................................................................ 35 
Motivic Structure ............................................................................................................................................................... 35 
11. Binary Form ....................................................................................................................................... 38 
Harmonic Considerations................................................................................................................................................... 38 
Motivic Content ................................................................................................................................................................. 38 
Typical Binary Forms ........................................................................................................................................................ 38 

i
12. Ternary Form..................................................................................................................................... 41 
Comparison of Binary and Ternary Forms.........................................................................................................................41 
Typical Ternary Forms .......................................................................................................................................................41 
Composite Ternary Form ...................................................................................................................................................43 
Formal Expansions .............................................................................................................................................................43 
13. Sequential Patterns ............................................................................................................................ 45 
14. Invertible Counterpoint ..................................................................................................................... 47 
15. Composing Counterpoint................................................................................................................... 49 
Harmonic and Melodic Considerations ..............................................................................................................................49 
Composing a Polyphonic Sequence ...................................................................................................................................51 
16. Fugue ................................................................................................................................................. 52 
Exposition...........................................................................................................................................................................52 
Expanded Expositions and Counter-Expositions ...............................................................................................................54 
Episodes..............................................................................................................................................................................54 
Developmental Section.......................................................................................................................................................54 
Recapitulation.....................................................................................................................................................................54 
Developmental Devices......................................................................................................................................................54 
Related Terms.....................................................................................................................................................................55 
17. Sonata Form....................................................................................................................................... 56 
Exposition (A) ....................................................................................................................................................................56 
Development (B) ................................................................................................................................................................57 
Recapitulation (A') .............................................................................................................................................................57 
Formal Expansions .............................................................................................................................................................57 
18. Rondo Form....................................................................................................................................... 63 
Sonata-Rondo Form ...........................................................................................................................................................63 

Theory V Topics
19. Tonality, Modality, and Atonality ..................................................................................................... 65 
What is Tonal Music?.........................................................................................................................................................65 
Criteria................................................................................................................................................................................65 
20. Triadic Alterations and Extensions ................................................................................................... 66 
21. Extended Tonality ............................................................................................................................. 68 
Modes and Symmetrical Pitch Collections ........................................................................................................................68 
Extended Tonal Techniques ...............................................................................................................................................69 
Debussy and Impressionism ...............................................................................................................................................69 
Natural Harmonic Series ....................................................................................................................................................69 
22. Free Atonality.................................................................................................................................... 70 
Pitch-Class Set Operations .................................................................................................................................................70 
PC Set Analysis: Finding the Prime Form .........................................................................................................................71 
23. Serialism ............................................................................................................................................ 75 
24. Other Twentieth-Century Concepts................................................................................................... 78 
Appendix: Prime Forms with Allen Forte’s Set Names and Interval Vectors ...................................................................80 

ii
Introduction: Why study music theory?

Musicians study music theory to understand music better. We all may enjoy hearing
or performing certain music, but if we value music only for its “surface” sounds, our
enjoyment and appreciation of music is highly limited. Think of a favorite piece of
music. How much can you say about its harmony, rhythm, form, or “inner” beauty?

We may enjoy looking at a large oak tree merely for its impressive or pleasing
appearance in the same way that we may enjoy music for its interesting or pleasing
sound. But to appreciate the tree on a more profound level, one must also understand something about how
it “works.” Photosynthesis and reproduction, for example, are scientific processes, but are those underlying
processes any less “beautiful” than the simple, outward appearance of the tree? Just ask a botanist. As in
any academic study, the more we can understand inner workings of something, the more we may
appreciate the outer workings. Good music, therefore, does not only offer nice sounds, though that may be
a value; it contains in it a structure with its own beauty. Music theory in that sense is the study of anatomy
of music.

But music is not a life form, except by analogy. It is perhaps more like a language. Some consider music to
be a universal language, capable of expressing meaning across varied cultures and generations. A linguistic
analogy may clarify why we study music theory at introductory levels—to learn the basic grammar of
music. Before one can read a poem, one must first be able to read the words that comprise the poem. But
before reading those words, one must first be able to read the letters that form those words.

To be able to read music, then, a musician must first know the notes, which by convention we label with
letter names (A, B, C, D, E, F, and G). Those letters combine to form musical words, or chords (C, E, G,
for example). Those chords are then organized in specific ways to create progressions and phrases, which
form larger groups of phrases or sections, which then form a complete movement or composition. A
complete piece of music, like a complete poem, may be valued simultaneously for its artistic expression
and for its unified structure or form.

Many people can speak a language fluently but are unable to read and are unfamiliar with its grammar. The
same is true in music. Being able to speak or “play by ear” is important. But it is not enough just to be able
to sound out the words in a poem, or the notes in music. A good reading of a poem requires the reader to
understand meaning throughout the poem and, if performing out loud, make subtle inflections, changes in
rhythm, loudness, and so on, to convey that subtler meaning to the listener.

Similarly, a good performance of music requires that the performer not only be able to sound out the notes
confidently but also understand how those notes relate to each other, to express deeper, large-scale
connections and meaning of the music. The listener, too, must have some level of understanding of musical
structure in order to receive or appreciate the composer’s or performer’s subtleties and the beauty within
the music. You may notice that more advanced theory courses have fewer “right-or-wrong” answers.
Interpretation may vary, but it continues to rely on familiarity with basic musical structures.

So, musicians at all levels study theory. At the rudimentary level, students learn notation and simple
grammar of music. While such a study is prerequisite to the study of a musical excerpt, the study of notes,
intervals, even chords is often not very “musical.” At higher levels of study, however, theory students are
rewarded with greater appreciation of the relationship among those notes and other processes that take
shape throughout music. Advanced musicians are able to appreciate both the outward beauty of music and
the beauty and coherence formed by deeper structures within.

iii
1. Review of Common-Practice Harmony
Common-Practice tonality is the musical language common to most composers in the Common Practice
era, roughly spanning the lives of Bach through Brahms (ca. 1650–1900). Tenets of the language still
prevail today in various idioms, from classical to popular music and jazz. Clear understanding of basic
grammar of the language is considered crucial for all musicians. What follows is a brief review of
principles employed in such tonal music. For further study, consult a theory fundamentals text.1

Diatonic Harmony
Dissonance or instability in context of consonance or stability creates musical momentum. The pivotal
harmonies in tonal music are the tonic (I or i, stable) and the dominant (V, unstable). Other harmonies
generally support the tonic or dominant in some way. The falling fifth relation, as exemplified by the
dominant-to-tonic relationship, lies at the foundation of strong harmonic progressions, including I–IV–V–I
and I–ii–V–I. A complete circle-of-fifth progression, I–IV–viiº–iii–vi–ii–V–I, is created entirely by falling
fifths. (Identify the fifth-relations in these three progressions). Root movements up by step (e.g., I–ii or IV–
V) or down by third (e.g., vi–IV–ii) are also strong harmonic progressions.

Voice leading is the way in which independent voices move to create harmony and counterpoint. The
following principles are basic to music written in the Common-Practice style:

• Smooth Voice Leading: Each upper voice moves to the closest possible pitch in the next chord. If the
same tone occurs in adjacent chords, it is maintained in the same voice (hold the common tones).
Failure to follow this principle often results in other voice-leading problems (see next page).
• Contrary Motion: If there are no common tones, upper voices tend to move in contrary motion to the bass
to heighten melodic independence and balance.
• Doubling: To reinforce the key, prefer doubling the root in primary triads (I, IV, and V). Often, the third
is doubled in secondary triads (ii, iii, vi, and vii°). That means that in all but vii°, doubled scale degrees
may be 1̂, 4̂, or 5̂. In vii°, doubling the fifth (4̂) would over emphasize the dissonant tritone.

Tonal music is defined in part by the tendency some pitches have to resolve to other pitches when the chord
changes. Unstable, or sensitive, pitches are determined by context and resolve as follows:

• Leading tones resolve up by half step (ˆ7̂→1̂) from V and vii°, due to their half-step proximity to the tonic.
rd
7̂ is the 3 of the dominant triad and the root of the leading tone triad.
Ex: B resolves to C, in context of C major. There is somewhat more flexibility when the leading tone is
in an inner voice.
• Sevenths of chords resolve down by half step or whole step (e.g., 4̂→3̂ in V7). In general, a pitch that
forms a dissonance with the bass (a 4th, 7th, or 9th) resolves down by step.
• The vii° and ii° chords include a dissonant interval (diminished fifth) between the root and the fifth.
Therefore, the fifth in each chord (e.g., 4̂ in vii°7) tends to resolve down (by half or whole step).
• Chromatic pitches generally follow the direction of the alteration. Raised notes tend to resolve up (e.g.,
Gs→A); lowered notes tend to resolve down (e.g., Af→G).

1
Several theory texts may be found around the “MT50” section of your music library. See, among others, Harmony and Voice
Leading by Edward Aldwell and Carl Schachter, Harmonic Practice in Tonal Music by Robert Gauldin, Music in Theory
and Practice by Bruce Benward and Gary White, Tonal Harmony by Stefan Kostka and Dorothy Payne, Advanced Harmony
by Robert Ottman; and The Elements of Music: Concepts and Applications by Ralph Turek. While texts vary in approach
and emphasis, most are compatible with the summary offered in this chapter.
1
Common-Practice style generally avoids the following:

• Parallelism. Parallel fifths (P5 to P5) and octaves (P8 to P8) diminish P8—P8
individuality of the voices involved. The same is true for hidden (or
direct) fifths and octaves, in which the top voice leaps and the bass moves
in a similar direction to form a perfect fifth or octave. P5—P5
• Awkward melodic leaps are those harsh in sound or difficult to perform. Leaps +2
of augmented intervals (as in minor f6̂ up to s7̂) are avoided. Diminished
intervals (as in f6̂ down to s7̂) are fine when followed by step in the opposite
direction. Avoid large melodic leaps in inner voices.
• Doubling of sensitive pitches. Leading tones and sevenths are not doubled. If
they were doubled and resolved according to their tendency, parallel octaves
would result.
• Voice overlaps (between two chords) and voice crossings (within one chord) VO VC
obscure independence of voices.
• Spacing of more than an octave between the soprano and alto or between the
alto and tenor. A more resonant sound results when chords are voiced in
accordance with the natural overtone series: larger intervals in the lower
voices and smaller intervals in the upper voices. The interval between the >8
bass and the tenor may span more than an octave.
• Diminished triads in root position (ii° or vii°, without the seventh). Placement in
first inversion helps temper the dissonance (tritone) formed with the bass. The
rightmost example (vii°6) shows a M6 and a m3 above the bass. C: vii° vii°6

Figured Bass
Literally, a bass line with numerals (figures) indicating intervals above the bass. In the Baroque, keyboard
accompanists would read figured bass as a kind of short hand while improvising upper voices to complete
the harmony. We now interpret figured bass to indicate chord inversions—Triads: I(53), I6, and I64; Seventh-
chords: V7, V65, V43, and V42. Altered notes may be indicated with accidentals: f7, s6 or 6/, n3 or n, etc.

Embellishing Tones
Any note that is not a member of the current chord is a non-chord tone, often creating dissonance. Identify
œ
&wœ ˙
these tones by where they come from (approach) and where they go (resolution). P

• Passing tone (P) moves stepwise from one tone to another tone in the same
w
œ œ ˙
direction. Musicians often distinguish between accented passing tones (on the
N

&w
beat) and unaccented passing tones.
• Neighbor tone (N) moves stepwise from one tone and then back to the same. w
& œ˙ œ ˙˙
Musicians often distinguish between upper neighbor tones (UN) and lower Ant
neighbor tones (LN).
• Anticipation (Ant) holds or repeats to become part of the next chord. Approach ˙ ˙
œœœœ
by step (e.g., 7̂ to 1̂ or 2̂ or 1̂) is more common than by leap. CT
&w
w
• Changing Tones (CT, also nota cambiata) are a pair of non-chord tones
separated by the interval of a third, approached by step and resolved by step.
The example to the right is also called a double neighbor-note figure. œ œET˙
&˙ ˙
• Escape tone (ET, also échappée) is approached by step and left by leap, normally
unaccented and in the opposite direction.
˙ ˙
œ
& ˙˙˙ ˙˙ œ
App
• Appoggiatura (App) is approached by leap and resolves by step, normally
accented and in the opposite direction.
2
œ
& œœ œœœ ˙˙
• Pedal tone (Ped, also pedal point) repeats or holds, usually in the bass. Unlike the
embellishing tones listed above, a pedal maintains greater harmonic function
(normally I or V) than the entire chord or chords above it, which may or may not œ œ ˙
contain the pedal tone. Since the inversion of a chord depends on what is in the
bass, analysis of chords over a pedal does not include inversions. How could the I V7 I
example to the right be analyzed simply as an embellished tonic? I Ped.

Suspensions and Retardations


Suspensions are non-chord tones that involve three necessary stages. A suspended note: (1) is held or
repeated from a previous chord (consonant preparation), (2) creates dissonance as it sustains (suspension),
and then (3) resolves down by step (resolution to consonance). Unlike other non-chord tones, suspensions
are commonly labeled in the figured bass, that is, by the intervals they form with the bass (not the root),
reduced to the octave. When tones are suspended and then resolve upward, a retardation results, such as
the “7–8” retardation involving a delayed resolution of a leading tone. A supertonic (2̂) suspension is
labeled by convention using a “9,” as a “9–8” suspension or “9–10” retardation. Bass suspensions are
labeled “2–3,” indicating intervals formed between the descending dissonant bass and one of the upper
voices. Listen to the tension created by each suspension below and the repose created by its resolution.
Also study the use of figured bass in the harmonic analysis. The tenor’s Fs in the second example may
sound like a suspension, but it is not. (Why not? What is it?) Still, analysts may choose to label it in the
figured bass. In the third example, the soprano has what may be called consonant suspensions.

Prep. Sus–Res.

Prep. Sus.–Res.

d: vii°7 i9—8 V74—s A: I V 6


5
I 96 — 8
— 5 (?)
Bf: ii65 V52 – 4 i 75 –– 66
2—3 4—3

Six-Four Chords
Unlike triads in root position and first inversion, six-four chords are considered dissonant because they
contain a perfect fourth above the bass. Due to this voicing, the bass is doubled. Six-four chords are
unstable linear chords, which serve to prolong or support an adjacent harmony through melodic motion.
Because of their linearity, six-four chords are often analyzed in parentheses. All pitches resolve by step (up
or down) or hold as common tones. There are three types of dissonant six-four chords, each labeled by its
characteristic voice leading (which is more appropriate than labeling it with a roman numeral):
• Passing six-four chords have passing motion, normally in the bass. They often serve to revoice a single
harmony, as in the motion I (V64) I6, and often involve a voice-exchange (see m. 1 below). Passing
chords normally occur on weak beats, as do most passing tones. A chromatic passing six-four is shown
in m. 2. Why is it more appropriately analyzed linearly (as passing) than harmonically?
• Neighboring (Auxiliary) six-four chords are created most often when the third and fifth of a triad move up
by step and back down (see m. 3 below), hence the neighboring motion. Neighboring chords normally
occur on weak beats and embellish a single underlying harmony, as in the motion I (IV64) I.
• Cadential six-fours prepare cadences and resolve to the dominant (V) or dominant-seventh (V7). Upper
voices may take on characteristics of suspensions (see m. 4 below), thus the metrically accented
placement of the chord in relation to its resolution. The cadential six-four may be approached by leap.
It contains tones from the tonic triad (what some call “I64”), but its function is dominant, not tonic.2

2
While the cadential six-four chord contains tonic pitches, the chord’s harmonic function is more dominant than tonic, which
supports the analysis “V64 –– 53” instead of “I64 – V.” Note that the figured bass numerals show the same intervals; only the
3
In the example below, how could all of m. 4 be analyzed as dominant harmony?
b
&bb c œ
œ œ ˙
œ ˙ n œœ # œœ ˙˙ œ˙ œ œœ œœ ˙˙ œœ œ w
œ w
œ n œ VE˙˙ œœ œ VE˙ ˙ œ œ ˙˙ n ˙˙ w œ˙
? bb c œ œ #œ n˙ œ œ ˙ œ œ
b
P P N C
c: i – (64) – 6 V7– (64) – 42 i6 – 53 – (64) – 53 i64 V6—75 i (PAC)
• A fourth type of six-four chord is consonant, unlike other six-four chords. In the arpeggiated six-four,
the bass simply arpeggiates to the fifth of the triad. Since such arpeggiation does not affect harmonic
progression, however, this momentary fifth in the bass may be ignored in harmonic analysis. In the
last measure above, the bass prolongs C throughout the measure.

Chromatic Harmony
Any chord that contains a pitch not in the key (i.e., not diatonic) is chromatic. Chromatic harmonies
described below heighten musical tension and are used to lead to and strengthen a particular diatonic
harmony, most commonly the dominant (V). Arrows in the following examples highlight proper resolution
of sensitive pitches.

Secondary Dominants (V7/V, V/ii, etc.)


Any major or minor triad may be preceded by its own dominant (a major triad) or
dominant-seventh (a major-minor seventh chord), whose root lies a P5 above (P4
below). Chromaticism in the secondary dominant strengthens the diatonic falling
fifth progression. The secondary leading tone (the raised 3rd of the secondary
dominant chord) resolves up and the seventh resolves down by step. C: I V43/V V

Secondary Diminished Triads and Seventh Chords (vii°/V, viiø7/IV, etc.)


Any major or minor triad may be preceded by its own leading-tone triad
(diminished) or leading-tone seventh chord (usually a fully diminished seventh
chord, although the half-diminished quality may be used), whose root lies a half
step below. Chromaticism in the secondary diminished triad or seventh chord
strengthens the progression, as the secondary leading tone (the root of the chord)
resolves up by half-step and the seventh resolves down. In addition, the fifth, which
forms the dissonant °5 interval with the root, resolves down by step. C: I vii°65/V V

Borrowed Chords (i, iiø7, f III, iv, v, f VI, and f VII)


In context of a major key, chords that are “borrowed” from the parallel minor
create modal mixture. Borrowed chords contain lowered pitches of the minor mode
and as a result have a “darkening” effect. Since their function is more coloristic
than harmonic, they have no specific requirements for resolution. Still, since
lowered pitches tend to descend by step (e.g., f3̂→2̂ or f6̂→5̂), favor doubling
diatonic pitches over chromatically altered pitches. Take care to avoid parallelism,
especially in root movements by step (e.g., V–fVI). C: I iiø 43 V

interpretation of harmonic function varies. The former analysis is preferred, in which the 6th and 4th above the bass behave as
suspensions or other non-chord tones, but the second analysis is acceptable, provided the chord is also labeled by type as a
cadential six-four.
4
Neapolitan-Sixth Chord (N6 or f II6)
A major triad in first inversion with f2̂ as the root is called the Neapolitan º3 (OK)
Sixth. As the least sensitive pitch, the third of the triad (the bass) is doubled.
The bass (4̂) ascends to 5̂, while the other three voices descend to form either
the dominant or the cadential six-four chord. The chromatically altered f2̂
increases the tendency of the line to descend. If the N6 chord leads directly to
the dominant, the melodic interval of a diminished third (f2̂ – 7̂) occurs; this is
acceptable and gives the progression its distinctive quality. The triad rarely
occurs in root position (fII) before the Romantic period. C: I N6 V

Augmented-Sixth Chords (It+6, Fr+6, Gr+6)


Augmented-sixth chords combine the voice-leading strength of a secondary
dominant (s4̂→5̂) with a borrowed chord (f6̂→5̂). The augmented-sixth
interval, formed between f6̂ in the bass and s4̂ in any upper voice, resolves
outward to an octave to form the dominant (5̂ in each voice). These linear
chords, which have no traditional roots, are rarely found in inversion before
the Romantic period. They are spelled: C: I Fr 64 V
3
• It+6 = f6̂, s4̂, 1̂, 1̂ If any pitch is doubled, it is the tonic (the only non-sensitive pitch).
• Fr+6 = f6̂, s4̂, 1̂, 2̂ Its unique sonority is created by two tritones separated by a major second.
• Gr+6 = f6̂, s4̂, 1̂, f3̂ In minor, 6̂ and 3̂ are already lowered; when preceding a major cadential six-four,
the Gr+6 is often spelled f6̂, s4̂, 1̂, s2̂ˆ . Can you determine why?

Modulation (ii = iv, I = f III, V7 = Gr+6, etc.)


A modulation occurs when a different tonic is established. Movement from one tonal center to another may
be achieved using any of the following three methods, each demonstrated in the example below.
• Common-chord modulations pivot on a chord that is diatonic in both keys. Normally, the pivot chord is
found immediately or shortly before dominant function in the new key.
• Chromatic modulations pivot on a chord that is chromatic (secondary dominant, secondary diminished-
seventh, borrowed, or N6 chord) in one or both keys.
• Enharmonic modulations pivot on a chord that requires a respelling of a pitch in order to be analyzed in
both keys. A V7 chord, for example, may resolve as a Gr+6 in a new key. In the third measure below,
what sounds like C-E-G-Bf functions, or resolves, as C-E-G-As (the chord may be spelled either
way). The symmetry of the vii°7 chord, constructed entirely of minor thirds, allows potential for any
of the four pitches in the chord to function as the root (leading tone). So, pitches in vii°7 may be
respelled to form a vii°7 in a different inversion and of a different tonal center. For example, B-D-F-
Af (vii°7/C) may function, or resolve, as B-D-F-Gs (vii°65/A), or as B-D-Es-Gs (vii°43/Fs), or finally as
Cf-D-F-Af (vii°42/Ef), though all four of these chords share the same sound. Try resolving each of
these chords at a piano. Then, play through and study the excerpt below.

7–6 9—8
C: I ii65 i64 V7 i i6 V65/iv N6 V 4 I iiø43 V7 i64 V7 i7—8
3 4—3
a: iv65 F: IV6 e: Gr+6
Common-Chord Chromatic Enharmonic
Modulation Modulation Modulation
*Bf becomes As in a new context.

5
Part-Writing Exercises
Complete the following for SATB. Draw arrows to show proper resolutions of leading tones and sevenths.

## 6
Identify by type any modulations. For the first one (a), provide a harmonic analysis.

& 8 œœ ..
œ.
? # # 68 œ . œ. œ
a)

œ. œ œ. #œ. œ. bœ.
7 J f6 n7

###
s 4 3 6 f n n6 5 n5

& c
b)
? ### c
fs : i V65 i–42 VI7 iiø43 Fr+6 V4 — 3 i6 VI6 I64 V74—3 I

b
& b 43
Cs: ___

c)
? b b 43
g: i vii°43/iv IV6 vii°65/V Fr+6 Gr+6 vi IV V74—3 I 4—3
___: V7
###
& c
d)
? ### c
9—8
A: I fVII Fr+6 V— 42 vii°43 I64 V4—73 I7—8
4—3
___: vii°65 /V

&c

?c
e)

7 9—8
C: I — s5 ii42 V42/V V2—63 vii°65 /vi i6 V65/iv N6 Gr+6 V 64 — 5 I 7—8
— s 4—s
fs: ____
(Also labeled as: I64 V7 )

6
Harmonic Analysis
Complete the harmonic analysis of the following excerpt. Circle and label all non-chord tones, giving
appropriate figured bass for suspensions. One chord is considered an unusual “passing chord,” because it
functions more linearly than it does harmonically (why?). Place its Roman-numeral analysis in parentheses,
and place a “P” below the chord. How may the delayed resolution from N6 to V be considered normal?
Offer two analyses for the second half of m. 1.

Vivaldi, Concerto Grosso in D minor, III, Op. 3, No. 11, RV. 565 (mm. 1–3, piano reduction)
j œœ œ j œ œj b œœ . œœ œ j j j
. œ œ œœ . œ œœ œœ . œœ
N

& b 12
8 œœ . œ œœ œœ œœ . œ œœ # œœ œœ
Largo

œ . œœ œ œ œ œ . œœ œ . œœ
J J J J j Jj
p N j j j j j j j j
œ œ œ œœ œœ œ œ œ œœ œœ œ œœ # œœ œ œ œ œœ œœ
? b 12 œ œœ n œœ œœ œ. œ
8 œ Jœ œ J
œ
J #œ œ J J . J J
J
d: i

Just as the excerpt above reduces an orchestral score into one grand staff, further reduction may clarify
harmonic structure of a musical passage. Removal of some non-chord tones, repeated notes, and other
rhythmic or voice-leading embellishments allows the analyst to examine a skeletal structure of the
harmonic progression and voice leading, occasionally with remarkable results. Compare the following
simplified example with the one above. What is gained and what is lost in such a reduction?

Vivaldi, Concerto Grosso in D minor, III (reduction)


˙ œ b˙
& b c ˙˙ ˙ œ œ ˙ œ œœ # œœ

? c ˙˙ ˙ œ œ # ˙œ n œ œ̇ œ
b œ #œ œ

d: i

Analysis Exercises
For each assigned passage below, provide a complete Roman-numeral analysis. Circle and label all non-
chord tones, giving appropriate figured bass for suspensions. Identify by type any six-four chords or
modulations. Label all cadences by key and type.

Composer Composition Measures Turek Page(s)


a) Mozart Piano Sonata, K. 332 in F, I (NOTE: Start in C major) 109–123 216–217
b) Beethoven Piano Sonata, Op. 10, No. 1, III (CD956a, 3465a) 1–8, 37–46, 107–115 259–260, 262
c) Piano Sonata, Op. 53, “Waldstein,” I (CD144, 2340) 35–42, 235–239 271, 280
d) Piano Sonata, Op. 53, “Waldstein,” I 284–302 282
e) Piano Sonata, Op. 53, “Waldstein,” II 1–9 282
f) Piano Sonata, Op. 13, “Pathetique,” II (CD144, 4540) 1–8, 17–23 263
g) Piano Sonata, Op. 13, “Pathetique,” II 45–50 264–265
h) String Quartet, Op. 18, No. 1, I (CD352) 97–101 286
i) Schubert “Die Liebe hat gelogen” (1378-CC) 1–7, 14–18 310–311
j) Impromptu, Op. 142, No. 2, D. 935 1–16, 17–30 318–319
k) Schumann Kinderscenen, “An Important Event” (CD1596, 1618) 1–4 324
l) Dichterliebe, “Ich will meine Seele tauchen” (CD79) 1–8 329
m) Album for the Young, “Nordic Song” (CD2809) 1–8, 9–16 335
7
2. Transposing Instruments
The ability to read a score and discern its contents without hesitation is an important skill for all musicians,
whether they are performers, conductors, teachers, composers, or arrangers. A thorough knowledge of
instrumental transposition is fundamental to effective score reading. Thanks to transposition, instruments
with extreme ranges, such as the piccolo and contrabasses have fewer ledger lines to read. Other
instruments transpose to facilitate playing. All saxophones, for example, read the same clef (treble clef) and
have the same fingering and written range, despite the differing sounding ranges. The same is true for the
clarinet and trumpet families, except for the bass instruments. Thus, a performer who learns to play one
instrument within a family may be able to play them all in a similar manner.
• Transposing Instrument: an instrument with differing written and concert pitches, due to design,
fingering, or range.
• Written Pitch: the pitch that the player reads. Most instruments are non-transposing and read the note
that is sounded, but transposing instruments do not.
• Concert Pitch: the actual sounding pitch. Conductors may ask for “concert A” (typical in orchestras) or
“concert Bf” (typical in bands) to tune instruments. All players, then, have to determine what that
note is on their instruments.

General principles of instrumental transposition:


• A transposing instrument “sounds its name” (within the octave below) when playing a written C.
For example, when a Bf clarinet reads C, it sounds its name (Bf), a whole step lower.
• A “piccolo” or “soprano” instrument sounds its name up (an octave higher than normal).
• A “tenor,” “baritone,” “bass,” or “contra” instrument sounds its name, plus an octave lower.

Exceptions to these basic principles:


• Instruments whose concert pitch sounds above their written pitch:
D, Ef, E, F Trumpets/Cornets Xylophone (P8) Glockenspiel (2 P8s)
• Instruments whose concert pitch sounds below their written pitch:
Guitar (P8) Soprano Sax (M2)
Bf Bass Sax (M2 + 2 octaves) Euphonium/Baritone (treble clef only, M2 + P8)
• All trombones, including the tenor and bass, sound as written.

Some transpositional instruments are common enough that their sounding name is abbreviated, even though
several keys exist in its family:

Common Name: Clarinet Trumpet or Cornet Horn


Assume That Means: Bf Clarinet Bf Trumpet or Bf Cornet F Horn

Transposing Key Signatures


Sounding and written key signatures are determined the same way as sounding and written pitches. So:
Ex. 1: A Bf instrument reading in C major sounds in Bf major (down a M2).
Ex. 2: In order to sound in C major, the written key signature for a Bf instrument must be D major.
Ex. 3: An F instrument reading in D minor sounds in G minor (down a P5).
Ex. 4: In order to sound in D minor, the written key signature for an F instrument must be A minor.

8
Common Instrument Names and Transpositions
The following list shows a common orchestral score order. Parentheses indicate optional or assumed parts
of the name (often omitted). In German, “B” is known as the “soft B,” or Bf; “H” is known as the “hard B,”
or Bn.3
English Italian German French Transposition (Sounds)
Winds Legni (Fiati) Holzbläser Bois
Piccolo Flauto piccolo Kleine Flöte Petite flûte Up P8
Flute Flauto Grosse Flöte Flûte None
Alto flute (G) Flauto contralto Altflöte Flûte en sol Down P4
Oboe Oboe Hoboe Hautbois None
English horn (F) Corno inglese Englisches Horn Cor anglais Down P5
(Soprano) clarinet in Ef Clarinetto piccolo Es Klarinette Clarinette en Mif Up m3
Clarinet (Bf) Clarinetto (Sif) Klarinette (B) Clarinette (Sif) Down M2
in A in La in A en La Down m3
Alto clarinet (Ef) Alto clar. (Mif) Alto Klar. (Es) Alto clar. (Mif) Down M6
Bass clarinet (Bf) Bass clar. (Sif) Baßklarinette (B) Bass clar. (Sif) Down M2 + P8 (if treble clef)
Contrabass clarinet (Bf) Contrabass cl. (Sif) Kontrabaß Klar. (B) Contrebasse Cl. (Sif) Down M2 + 2 octaves
Bassoon Fagotto Fagott Basson None
Contrabassoon Contrafagotto Kontrafagott Contrebasson Down P8
Soprano saxophone (Bf) Sop. sassofono Sop. Saxophon Saxophone soprano Down M2
Alto sax (Ef) Alto sassofono Alt Saxophon Saxophone alto Down M6
Tenor sax (Bf) Tenor sassofono Tenor Saxophon Saxophone tenor Down M2 + P8
Baritone sax (Ef) Bar. sassofono Bariton Saxophon Saxophone bariton Down M6 + P8
Bass sax (Bf) Bass sassofono Bass Saxophon Saxophone basse Down M2 + 2 octaves

Brass Ottoni Blechinstrumente Cuivres


Horn (F) Corno (Fa) Horn (F) Cor (Fa) Down P5
in E in Mi in E en Mi Down m6
in Ef in Mif in Es en Mif Down M6
in D in Re in D en Re Down m7
in C (alto) in Do in C en Do (Ut) None
in C bass in Do basso in C Baß en Do (Ut) bass Down P8
in Bf (alto) in Sif (alto) in B (Alt) en Sif (alto) Down M2
in Bf bass in Sif basso in B Baß en Sif bass Down M2 + P8
Cornet (Bf) Cornetta (Sif) Kornett (B) Cornet à pistons (Sif) Down M2
Trumpet (Bf) Tromba (Sif) Trompete (B) Trompette (Sif) Down M2
in C in Do in C en Do (Ut) None
in D in Re in D en Re Up M2
in Ef in Mif in Es en Mif Up m3
Trombone Trombone Posaune Trombone None
Euphonium/baritone Eufonio Euphonium Basse à pistons If bass clef: None
If treble clef: Down M2 + P8
Tuba Tuba Tuba Tuba None

Percussion Percussione Schlagzeug Batterie


Timpani Timpani Pauken Timbales None (“in F” means tune to F)
Glockenspiel Campanelli Glockenspiel Jeu de timbres Up 2 octaves
Xylophone Silofono Xylophon Xylophone Up P8
Tambourine Tamburino Schellentrommel Tambour de Basque (non-pitched)
Cymbals Piatti Becken Cymbales (non-pitched)
Snare drum Tamburo Kleine Trommel Tambour (non-pitched)
Bass drum (Gran) cassa Große Trommel Grosse caisse (non-pitched)

Strings Archi Streichinstrumente Cordes


Guitar Chitarra Gitarre Guitare Down P8
Harp Arpa Harfe Harpe None
Piano Pianoforte Klavier Piano None
Violin [vl.] Violino Geige [or Violine] Violon None
Viola [vla.] Viola Bratsche Alto None
Violincello [cello, vlc.] Violoncello Violoncell Violoncelle None
Double bass [d.b.] Contrabasso [C.B.] Kontrabaß Contrebasse Down P8

3
Pauken in B is a timpani tuned to Bf (non-transposing). The German letter “ß” (Esset) may be written and pronounced as “ss.”
9
Exercises in Instrumental Transposition
For each of the following, translate to English the foreign instrument names and provide the missing
written or sounding pitch. Some plural forms are given. Remember: “If it sounds down, write it up.”
Written Sounds Written Sounds

1. Klar. in Es & w 15. Corni in Re [plural] & bw


? bw
2. Kontrabaß 16. Xylophone & #w

& #w bw
3. Kleine flöte 17. Trombe in Sif [pl.] &
√w
4. Chitarra & w 18. Glockenspiel &

? bw
5. Contrafagotto bw 19. Cl. en La &
w
6. Basse à pistons & #w 20. Geige &

? w
7. Pauken 21. Cor en Mif & #w

bw
8. Bass Clarinet & 22. Alto Sax & w
bw
9. Corno inglese & #w 23. Hautbois &
#w
10. Bari Sax & w 24. Bratsche B

B w
11. Posaune bw 25. Cornet à pistons (Fa) &

12. Trompete in Es & w 26. Tenor Sax & w


#w ? bw
13. Horn (Bf basso) & 27. Tube [pl.]

? w w
14. Harfe 28. Hörner in E [pl.] &
10
Orchestral Reduction and Analysis
1. On a sheet of staff paper, copy the orchestral scoring of the given chord, reducing to one instrument per
staff. You may have to make an educated guess, especially when plural forms are used. For example,
“Tbe.” is an abbreviation for “trombe,” the plural of “tromba,” or trumpets, not trombone.
2. Transpose the chord to concert pitch and reduce the orchestration to separate groups of instruments
(woodwinds, brass, etc.) placing each group on one or two staves. Include all pitches that are present
in the orchestrated version, including octave doublings but omitting unisons. (In the example below,
the harp’s natural harmonic “°” is interpreted as an octave transposition of the written pitch.)
3. Write a simple piano reduction in a grand staff. Reduce the range to be played comfortably with two
hands, but keep the same basic pitches in the outer voices. Finally, analyze the chord.

Example: Debussy, Nuages, m. 77, beat 1 (Turek, p. 425)

1. Orchestral Score (reduced)


(written pitches)
## #
& # ##
w
2. Group (or Choir) Reduction
1st Flute (concert pitches)

## #
3. Piano Reduction
b
& b bb n ww & # # # b n www
(and analysis)
Clarinets in Bb

## #
? #### # ? #### # & # # # ‹ www
Woodwinds

# w w
Bassoons
#
w # ## #
& w & # # bw
? # # # # # ww
Horns in F

# ## # #
& # # ∑ ? #### # b w
Brass

#
wo
ds: I(s)
? #### #
Harp

# # ## # w
& # #
b n ww b n ww
Harp

# # # # # b n ww # # # # # b n ww
& # b b n www & # b b n www
bw
Violins

# nw
B # # # # # b n ww ? #### # bw
b n ww
Strings

# bw
Violas

nw
? # # # # # b b ww
Celli
#

? #### # b w
Contrabasses
#

Composer Composition Measure/Beat Page


a) J. S. Bach Brandenburg Concerto No. 2, III (CD1198) (NOTE: Tromba in F) 138, beat 2 115
b) Haydn Symphony No. 102, IV (CD2713a) (NOTE: Timpani has Bf.) 176, beat 1 209
c) Mozart Concerto for Clarinet and Orchestra, I (CD14) 14, beat 1 238
d) Beethoven Symphony No. 7, Op. 92, II 252, beat 1 304
e) Mahler Kindertotenlieder 1. “Nun will die Sonn’ so hell aufgeh’n” 18, beat 4 401
f) 42, beats 1–2 402
g) Debussy “Nuages” from Nocturnes 42, beat 1 419
h) Stravinsky “Spring Rounds” from Le Sacre du Printemps 42, beat 4 487
i) “Devil’s Dance” from L’Histoire du Soldat 6, beat 1 488

11
Langsam, marschmäßig
Arranging an Instrumental Score bb 3 œ œ œ. œ œ œ.
Kleine Flöte &bbb 4 ∑ ∑ Œ Œ œ œœ œ œ. œ nœ œ œ
π
Note any differences between the notational œœ œœ œ . n œ
m.v. legato ma un poco marc.
œœ œ .
b œ . œœ œ
œ . œœ b œœ œœ œ
conventions listed below and the opening of the 2 Flöten & b b b b 43 ∑ ∑ Œ Œ œ n œœ œœ n œœ
π m.v. legato ma un poco marc.
second movement of Brahms’s Ein Deustches bb 3 Œ Œ œœ œœ œœ n œœ œœ œœ b œœ
2 Oboen &bbb 4 ∑ ∑ œœ œœ n œœ œœ n œœ
Requiem, op. 45 (1868), shown to the right: π m.v. legato ma un poco marc.
b œ œ œ. œ œ œ œ
& b b 43 ∑ ∑ œ œ œ . œ œ .. œœ œœ œœ œ . œ # œ œ œ
œ œ œ n œ
2 Klarinetten
œ nœ
• Instruments appear in score order, with the violin in B π
family at the bottom. ? b b b 43
a2 m.v. legato ma un poco marc.
˙
bb œ ˙ œ ˙ ˙ œ ˙ œ œ ˙
œ
2 Fagotte
• Instrument names (or abbreviations) appear to the π
? b b 3 legato m.v. ˙ œ
Kontrafagott bbb 4œ ˙ œ ˙ ˙ œ ˙ œ ˙
left of the staff. œ
π legato m.v.
(ad lib.)
3 Œ œ Œ œ Œ œ
• Large scores divide instrumental families with 2 Hörner & 4 ∑ ∑ ∑ Œ Œ Œ Œ œ
œ œ. œ.
π. œ.
in tief B
brackets to the left of the staff and continuing 3
2 Hörner & 4 ∑ ∑ ∑ ∑ ∑ Œ Œ œ ˙
barlines through the family. Braces, often used in tief C œ ˙
for keyboard instruments, may show further 3 Œ œ Œ œ Œ œ
2 Trompeten
& 4 ∑ ∑ ∑ Œ Œ Œ Œ œ
subgrouping (e.g., first and second violins). π œ. œ. œ. œ.
in B

• In small scores, such as quartets, brackets and 1. u. 2. Posaune


? bb b
bb 43 ∑ ∑ ∑ ∑ ∑ ∑ ∑

barlines continue through all parts but break 3. Posaune


u.Tuba
? bb b
bb 43 ∑ ∑ ∑ ∑ ∑ ∑ ∑
? 3 œ
4 ∑ ∑ Œ Œ œœœ œ œ œ!
3

œ! œ. œ. œ. œ.
3
between the soloist and accompaniment in !
3

. . œ. œ.
Pauken
π
œ.
in F B Es
solo works. bb 3
&bbb 4 ∑ ∑ ∑ Œ œœœ Œ Œ œœ Œ Œ œœœ œ Œ n œœœ
3

œœ
. œ. n n œœœ œ.
p œ. .
œ. .
n n œœœ.
• Clefs and key signatures appear on every line.
? bb 3 Œ œœœ Œ œœœ Œ œœ Œ œœ
Harfe
bbb 4 ∑ ∑ ∑ Œ Œ
œ.
• The meter signature appears at the beginning of
b
each part and wherever changes occur. Sopran & b bb b 43 ∑ ∑ ∑ ∑ ∑ ∑ ∑
b
• Dynamics appear below every part, except … Alt & b bb b 43 ∑ ∑ ∑ ∑ ∑ ∑ ∑
bb 3
• In vocal staves, all markings appear above the Tenor Vbbb 4 ∑ ∑ ∑ ∑ ∑ ∑ ∑
staff; text appears below the staff. ? bb 3 ∑ ∑ ∑ ∑ ∑ ∑ ∑
Baß bbb 4
œ œ œ. œ œ œ œ.
• Vocal parts are non-transposing and appear above b b 3con sordini∑ œœ œ œ. œ nœ œ œ
the string section in vocal-orchestral scores. &bbb 4 ∑ Œ Œ
π
1. Violine

œ
legato ma un poco marc.
div. œ œœ œœ . œ n œœ œœ œ .
b b 3con sordini∑ .œ œ . œœ b œœ œœ œ . œ
&bbb 4 ∑ Œ Œ œœ n œœ
• Tempo indications appear above the top line (and
œ œ nœ
π
2. Violine
above the first violin part in large scores). legato ma un poco marc.
œ œœœ œœ .. œ n œœ œœ œ . B œœœ b œœœ œœœ œœ .. œ n œœ
B b b b b b 43 ∑ ∑ Œ Œ & œœ œœ n œœ
con sordini div. a 3
• If two parts occur on the same staff (“divisi”): first Bratschen œ . œœ œ œ œœ .. œ œ nœ œ œ
part’s stems are up; second part’s stems are π
? bb 3 ˙
legato ma un poco marc.
down, “a 2” indicates that both should play the bbb 4œ ˙ œ ˙ ˙ ˙ œ œ
Violoncell
π œ œ ˙
same line; “1” indicates that only first should ? b b b 43 ˙
m. v. sempre legato
bb œ ˙ œ ˙ ˙ œ ˙ œ œ ˙
play; “2” indicates that only second should play; œ
Kontrabaß
π m. v. sempre
bb b 3 ∑
legato
“tutti” marks the end of the division (all play). ∑ ∑ ∑ ∑ ∑ ∑
& bb 4
? bb 3 ∑
Orgel (ad lib.)
bbb 4 ∑ ∑ ∑ ∑ ∑ ∑
Elementary Arranging Exercises Langsam, marschmäßig

Provide a harmonic analysis of the original score. Then, arrange the excerpt for a small wind or brass
ensemble. Order instruments from highest to lowest (e.g., Fl, Cl, Hn in F, Bsn) to function as SATB. Take
care to align the parts vertically. Retain all tempo, dynamics, and other markings from the original.
Composer Composition Measures Page
a) J. S. Bach “Ach wie flüchtig, ach wie nichtig” 1–4 84
b) “Freuet euch, ihr Christen” (NOTE: Identify key first.) 1–4 89
c) “In allen meinen Thaten” 1–4 90
d) “Gott lebet noch” 1–6 94
e) “Herr, Ich habe missgehändelt” 1–5 95
f) “O Gott, du frommer Gott” 1–4 95
g) “Wachet auf, ruft uns die Stimme” 1–8 97 (bottom)
h) G. F. Händel Sarabande from Pièces pour le Clavecin 1–8 161
i) Haydn String Quartet, Op. 76, No. 3, II 1–8 195
j) Schumann Album for the Young, “Nordic Song” 1–8 335
12
3. Motivic Variation and Development
As a basic musical entity, a motive is a short, complete musical cell with identifiable rhythm or pitch
characteristics. Motivic repetition (immediate restatement) or recurrence (reappearance after intervening
material) increase musical coherence. Reappearance of a motive creates unity, while contrasting motives
create variety. Varying a motive during its recurrence creates unity and variety simultaneously. Devices for
motivic variation are listed below and may be applied to the entire motive or only part of the motive,
strictly or freely, and in varying combinations.

b
Devices for Motivic Variation Original Motive &b œ œ œ n˙

b
• Transposition: motive presented at a different pitch level &b œ œ bœ ˙
b
• Retrogression: motive presented backwards & b n˙ œ œ œ

b
• Inversion: reversal of interval directions (up becomes down) &b œ œ nœ ˙
b
• Rhythmic Augmentation: durations between attack points lengthened &b ˙ œ œ n˙

b
• Rhythmic Diminution: durations between attack points shortened & b œ œ œ n˙
b œ œ
• Intervallic Augmentation: expansion of intervals
&b œ n˙
b
&b œ œ œ b˙
• Intervallic Diminution: contraction of intervals

b
& b œ œ nœ Œ œ œ œ Œ
• Fragmentation: statement of only part (pitch or rhythm) of a motive

b
& b œ #œ œ œ œ œ n˙
• Embellishment: addition of other notes, ornamentation
Notice how the underlying original motive remains.

In the following excerpt, bracket each variation of the opening motive (a), and label it according to the
most significant device. You may use abbreviations, if you wish: aT = transposition, aI = inversion,
aR = retrograde, and so on. Variations may cross barlines.

œ
a
b
& b c œ. œ œ #œ
œ œ œ. œ œ œ œ œ œ. œ
œ œ #œ
œ. œ œ œ œ œ
œ
Œ #œ œ œ œ.

b œ œ œ .
& b œ. œ œ œ #œ œ œ. œ œ #œ œ œ œ œ œ œ œ œ. œ #œ œ œ œ œ œ œ œ œ œ œ #œ œ œ œ œ œ œ œ
6

13
Motivic Variation Exercises

Apply each variation device to the given motive. There are many correct answers.
a. Beethoven’s b. Wagner’s “Renunciation c. Danny Elfman’s
Symphony No. 5 of Love” (Das Rheingold) Batman (1989)
j bœ. œ
Original & ‰ œ œ œ b˙ œ œ œ J ˙ œ œ bœ b˙

Transposition &

Retrogression &

Inversion &

Rhythmic Augmentation &

Rhythmic Diminution &

Intervallic Augmentation &

Intervallic Diminution &

Fragmentation &

Embellishment &

14
Processes of Motivic Development
Variations collectively create motivic development. Analysis shows how a single motive may provide a
fundamental resource of composition, from the inventions of Bach to the atonal works of Schoenberg.

• Varied Repetition: immediate variation of a motive; allows sense of continuous variation


• Varied Recurrence: delayed variation of a motive; allows sense of contrast and return
• Melodic Sequence: immediate, transposed repetition of a motive in the same voice
Tonal Sequence: repetition remains diatonic in the original key (intervals change quality).
Exact Sequence: repetition imitates the intervals of the original more-or-less exactly; use of
chromaticism may result in a modulation. The last leg (motivic statement) of a three-leg
sequence often contains slight modification but may still be considered exact.

œœ ˙.
b œ œ œ œ œ œ œ œ œ nœ œ nœ œ œ nœ #œ œ #œ œ
Tonal Sequence (↑2, 1 m.) (↑2, 1 m.) Exact Sequence (↑2, 1 m.) (↑2, 1 m.)

& b œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ ˙.

• Sentence Structure: a process of motivic development involving varied repetition in three stages,
yielding the proportions 1:1:2, as in 1+1+2 measures or 2+2+4 measures: 4
1. A statement of a motive is followed by a
2. Variation (typically involving a transposition) of that motive.
3. Fragmentation of the motive often repeats to double the length of the original motive. The sentence
concludes with a cadence, which retains very few characteristics of the original motive.

Beethoven, Piano Sonata in F minor, Op. 2, No. 1, mm. 1–8


The following phrase is an eight-measure sentence (2+2+4) in which a two-measure motive is
expanded in an eight-measure theme.

Statement (2 measures) + Variation (2 measures) +


a b

Fragmentation (and expansion into 4 measures)

The basic motive presented in mm. 1–2 further subdivides into a head and tail motive (often labeled
a and b in analysis). The tail motive b forms the basis of expansion beginning in m. 5 and leads to a
half cadence in m. 8. Additional examples may be found on pp. 37, 40, and 59.

4
“Sentence structure,” as it is presented in this text, roughly follows Arnold Schoenberg’s definition, in which a “basic idea” is
followed by a “varied repetition” and finally motivic “liquidation,” which removes motivic characteristics and creates
acceleration toward the cadence. See Schoenberg’s Fundamentals of Composition, ed. by Leonard Stein and Gerald Strang
(New York: St. Martin’s Press, 1967), as well as Rothstein, pp. 26–27.
15
Motivic Development Exercises

For the given motive, compose a sentence that begins with a two-leg tonal sequence. Following the first
statement, write a transposition (may be approximate). Then use fragments of the motive to bring the
phrase to a cadence. The proportions of the three steps should be 1+1+2 or 2+2+4 measures. Try to give
your phrase clear direction, a climax, and a clear cadence. Sing through it to check for awkward spots.

a)

b)

c)

d)

Motivic Analysis Exercises

A single theme often contains two motives or ideas. These motives, the first called the head motive and
second the tail motive, are labeled with the letters a and b (or α and β) respectively. Throughout each
excerpt, bracket all occurrences of the opening motive and label each according to the most significant
variation device (aT = transposition, aI = inversion, aR = retrograde, and so on). If there is a clear tail
motive, analyze its occurrences as well. Analyze any sequences.

Composer Composition Measures Page(s)

e) J. S. Bach Invention No. 1 (CD777, 2708) Entire 101


f) Invention No. 6 Entire 102–103
g) Invention No. 9 Entire 104
h) Invention No. 13 Entire 105
i) Wagner Tristan und Isolde (CD2436, 1060) 1–111 358–365
j) Brahms Vier ernste Gesänge, 3, “O Tod, wie bitter bist du” (CD1731) 1–17, 18–40 386–389
k) Schoenberg Pierrot Lunaire, 8, “Nacht” (CD4023) 1–10 439–441

16
4. Variation Forms
The principles of unity and contrast are most clearly evident in variation forms. Variation forms consist of
a theme (usually a phrase, period, or small binary form) followed by a series of variations on that theme. In
each variation, basic characteristics of the theme are maintained (creating unity) while some characteristics
are varied (creating contrast). There are two distinct types of variation forms: continuous variations,
popularized in the Baroque, and sectional variations, popularized in the Classical period and found
frequently in the second movement of symphonies and string quartets.

Continuous Variations: Passacaglia and Chaconne


A repeating theme, or ostinato, is the foundation of continuous variation. The theme is usually short, often
consisting of a single phrase. There are two types of continuous variations: the passacaglia and the
chaconne.5 The passacaglia consists of a simple, repeating theme, normally in the bass (called a ground
bass). This ostinato pattern repeats with little or no alteration (providing unity) throughout the piece while
upper voices provide variation (contrast). The chaconne consists of a simple, repeating chord progression,
often performed by a keyboard instrument as accompaniment. Clear formal divisions are rarely found in
continuous variations but are characteristic of sectional variations (theme and variations).

Sectional Variations: Theme and Variations


The theme for sectional variations consists of a complete formal unit (normally a period or small binary
form), which is repeated (creating unity) in successive variations (creating contrast). Clear formal divisions
and contrast provided by the successive variations defines the distinct sections.6

Elements of Variation
Theme and variation movements are analyzed by examining each successive variation in relation to the
original theme. Analysis should note the most salient changes from the theme in each variation. Most
variations contain surface alterations, but notable changes in structure may occur as well. Whether a change
is structural or surface may be open to interpretation. The following elements may be changed to create
variation. While they are sometimes inseparable (e.g., change in texture must be accompanied by a change
rhythm and melody), try to determine the single element that is changed most significantly.

Structural Elements
Change in the following elements may result in an alteration of the structure of the theme:
• Tonality/modality: change in key or mode (e.g., parallel minor), significantly more chromaticism
• Meter: significant change in meter (e.g., duple to triple meter)
• Harmony: chord substitution or significant change in harmonic progression
• Form: change in phrase length or sections. This may include phrase expansion, a brief transition
between two variations, or a codetta. Often, the last variation returns more or less to its original form
at the end in order to create a convincing close.

5
The distinction between passacaglia and chaconne varies among time periods, countries, and composers. For simplicity, the
term passacaglia may be used for any continuous variation.
6
Double variation, or variation within a variation, occurs when the A section of the theme has written-out repeats with variation
in the repeat or when the reprise (A' of an ABA' theme) is further varied. Mozart’s Piano Sonata in D, K. 284, III and
Haydn’s Symphony 94 “Surprise,” II each contain double variations.
17
Surface Elements
Most variations do not result in structural alteration of the theme but instead elaborate on a basic idea. Such
variations may alter any of the following “surface” elements:
• Rhythm: change of grouping (e.g., triplets or dotted rhythms) or rhythmic embellishment
• Motive: new or contrasting theme, countermelody, or melodic embellishment
• Texture: change in relationship of voices (e.g., from homophony to imitative polyphony)
• Density: significant change in number of voices (e.g., from two to five voices)
• Timbre: change in tone color (e.g., theme played by oboe instead of violin)
• Register: remarkably higher or lower register (at least an octave)
• Dynamics: significant change between soft (p) and loud (f)
• Tempo: marked change between fast and slow
• Articulation: e.g., change from legato to pizzicato. Change in articulation is generally not as significant
a variant as change in other elements.

The first few elements listed above are often considered more significant than those elements lower on the
list. Whether a change affects the structure or only the surface of the theme may be open to interpretation.
In general, a listener may “hear through” surface alterations to perceive the theme in its original form; a
structural alteration inhibits such hearing.

When describing variations, take care that your element and description match. A new countermelody, for
example, may present a change in various elements including rhythm, motive, and texture, but unless the
rhythm is entirely new or the texture has changed from homophony to imitative polyphony, the most
significant change with the addition of a new countermelody is considered motivic.

Other Formal Considerations


While structural and surface alterations within each variation reveal the theme’s potential for variation,
variation forms may also create a sense of overall growth, or formal progression, across the variations.
Awareness of large-scale grouping and gradual intensification leads to a more sensitive interpretation of
the form as a whole.
• Grouping: Some successive variations may be grouped together due to similarities in texture, rhythm,
or other musical elements. For example, two or three successive variations that are contrapuntal in
nature may be grouped into a larger, formal “polyphonic” unit, as may successive variations in the
parallel minor, and so on.7
• Gradual intensification: Some successive variations may present a gradual increase in activity of a
certain element, heightening tension in the work and clarifying a larger structural goal. Increased use
of chromaticism, for example, may unify successive variations with regard to harmony. The term
rhythmic crescendo is often used to describe gradual increase in rhythmic activity (e.g., from mostly
quarter-notes to eighth-notes to sixteenth-notes).
• Coda/Codetta: A brief section that extends the end of a composition. A coda [Italian for “tail”]
normally follows a clear cadence and contains more motivic characteristics than a shorter codetta,
which simply serves to extend the cadence for a few measures.

7
Composers often vary the same element in different variations. In the Baroque, for example, variations in texture may
predominate. In the Classical period, variations tend to be largely rhythmic or melodic, though any element may be varied.
18
Analysis of Variation Forms

For each composition listed below, complete the following:

1. Identify all phrases, cadences, and motives in the theme. Be specific. Complete a chart with the
following information:

Phrase no. Measures Key: Cadence Motive (a, a', b, etc.)

2. For each variation, note any significant changes from the original theme. Select the most significant
element that is varied and give a brief explanation of how that element is varied. Identify any
structural changes.

3. Examine the composition for large-scale groupings and gradual intensification. Identify any factors
that group similar variations (polyphonic texture, triplet rhythm, etc.).

4. Identify and give the measures of any formal expansions (anacrusis, introduction, transition or
retransition, codetta, coda).

Composer Composition Pages

a) Byrd Carmans Whistle (9002-C) 58–62


b) Purcell “Dido’s Lament” from Dido and Aeneas (CD806, #13) 72–74
c) Couperin Passacaille from Pièces de Clavecin 75–80
d) J. S. Bach Goldberg Variations (Variations 1, 12, 18, 27) 133–140
e) “Jesu, der du meine Seele” from Cantata No. 78 (CD2359) 142–153
f) Händel Sarabande from Pièces pour le Clavecin (CD564) 161–162
g) Haydn String Quartet, Op. 76, No. 3, II (CD1628a) 195–201
h) Beethoven Symphony No. 7, II (mm. 1–102, 150–173, 255–end) 292–304
i) Schoenberg Thema and Variation II from Variations for Orchestra 448–452
j) Britten Serenade, Op. 31, “Dirge” 522–525

Pieces for further study:

Bach Passacaglia in C minor


Beethoven 32 Variations in C minor, WoO 80 (CD-3073)
Diabelli Variations (CD2903)
Six Variations on a Swiss Tune, WoO 64 (RCD-1, 2nd CD, Track 28)
Händel Air from Suite No. 5, “Harmonious Blacksmith”
Haydn String Quartet 27 in D, op. 20, no. 4, II
Symphony 94 “Surprise,” II
Mozart Twelve Variations in C on “Ah, vous dirai-je, Maman” K. 265 (“Twinkle Variations”)
Piano Sonata in D, K. 284, III
Piano Sonata in A, K. 331, I
Clarinet Quintet in A, K. 581, IV

19
5. Melodic and Voice-Leading Structure
A musical phrase contains notes of varying accentuation and structural importance. If one were to play only
the structurally significant pitches of a phrase, the performance would reveal an underlying basic shape, or
skeleton of the phrase. Identifying structurally significant tones in a phrase heightens understanding of
broad linear connections, which is important for all musicians. A few generalizations concerning pitch
significance are listed below, but each phrase must be considered in its own context.8

Accentuation
Accentuation is the general heightening of awareness of a particular pitch. The following are common
accentuating factors:
• Meter: Metrically strong placement (especially downbeats of measures)
• Rhythm: Beginning or ending of a motive, pattern, or phrase
• Harmony: Pitches of resolution, especially pitches of the tonic triad, tend to be structural.
• Linear Connections: Stepwise melodic motion among structurally significant tones is common.
• Duration: Long durations (agogic accents) tend to emphasize notes.
• Register: Registral extremes are accented. Higher notes tend be more accentuated than lower notes.
• Dynamics: Loud dynamics tend to accentuate notes.
• Contour: The basic shape of a melody may begin with a brief rising gesture and normally descends
toward the cadence. The pitch at the peak of the contour, the climax, is accented.

Structural Terms
• Structural Melodic Tone: a tone in the melody that is a local focus of other melodic tones. Structural
melodic tones are often accentuated by pitch, rhythm, or other factors, though they may have very
little or no accentuation. Look for approximately one tone per measure or harmony and label them
using scale degrees (1̂, 2̂, 3̂, 4̂, 5̂, 6̂, or 7̂).
• Prolongation: Structural tones are elaborated, or prolonged, by non-chord tones, arpeggiations, and other
melodic embellishments. 3̂–4̂–3̂, for example, may represent large-scale neighboring motion.
• Step-Progression (Linear Progression): an ascending or descending stepwise pattern formed by three or
more structural tones. Step-progressions often: have no more than one structural tone per measure or
harmony (and may span great lengths), contain diatonic pitches only, begin with tonic harmony, and
end with tonic harmony (or dominant harmony at a HC, which yields an interruption of the
progression). The number of structural tones per measure often increases near the cadence as the
harmonic rhythm increases. A PAC often concludes the 3̂–2̂–1̂ step-progression.
• Harmonic Rhythm: The rhythm created by harmonic changes. Normally, harmonic rhythm begins
slowly and accelerates throughout the phrase to the cadence. The measure preceding the cadence,
therefore, often contains more than one structural tone.
• Linear Chord: A chord that serves a more linear (melodic) than functional (harmonic) role. Linear
chords often result when multiple passing or neighboring tones combine to form a chord. A passing
six-four chord is a familiar example, but root-position triads may serve linear, non-structural roles as
well.9 They are often shown in analysis in parentheses and do not support structural tones.

8
Study of tonal hierarchy and prolongation is founded on the work of Heinrich Schenker, most notably his Free Composition.
Translated and edited by Ernest Oster. New York: Longman, 1979. First published in 1935.
9
In m. 2 of Beethoven’s “Pathétique” Piano Sonata, op. 13 (first movement), for example, a root-position V chord results from a
voice-exchange between the more dissonant (yet contextually more stable!) vii°42 and vii°43 (in the same manner as the
passing six-four chord in m. 1). This V chord forms linear connections and does not function harmonically (is not part of a
harmonic progression).
20
The following excerpt contains a large-scale linear progression from 3̂ to 1̂. Whereas the antecedent phrase
(first phrase) descends only to the supertonic in m. 4 (3̂–2̂, HC) thereby creating an interrupted progression,
the consequent (second phrase) completes the motion to the tonic in m. 8 (3̂–2̂–1̂, PAC). The second
measure of each phrase contains a climax (5̂), but this registrally accented pitch is not a part of the
underlying stepwise descent from 3̂ to 1̂. The two phrases form a symmetrical, parallel period because they
have equal length, begin with the same motive, and end with HC followed by PAC.

Beethoven, “Ode to Joy” Theme from Symphony No. 9, IV


Structural tones: 3̂ (5̂) 2̂ || 3̂ (5̂) ||
? ## c œ œ œ œ œ œ œ œ œ œ œ œ œ . œ ˙ œ œ œ œ œ œ œ œ œ œ œ œ œ . œ ˙
3̂ 3̂ 2̂ 1̂

J J
D: HC PAC

Step-progressions may be clarified by reducing a passage to reveal only structural tones. Consideration of
this skeletal structure and other long-term connections helps performers and listeners outline and interpret
musical phrases.

Beethoven, “Ode to Joy,” Reduction

? ## c w ˙ ˙ w
||
˙ ˙
3̂ 2̂ 3̂ 2̂ 1̂

Voice-Leading Analysis
1. Provide a complete harmonic analysis and identification of non-chord tones.
2. Indicate the end of each phrase with a bracket (“||”), and label each cadence by key and type.
3. Label each structural tone by scale degree. Do any structural tones form a step-progression?
(Analysis of the melody on p. 36 may provide a simple example.)

Composer Composition Measures Page(s)

a) J. S. Bach Minuet 1–16 81


b) “Gott lebet noch” 1–6 94
c) “Herr, Ich habe missgehandelt” 1–5 95
d) Sarabande from French Suite No. 6 (CD781) 1–8 131–132
e) Haydn String Quartet, Op. 20, No. 5, I (CD2745) 1–13 178
f) Piano Sonata 50 in D, H. XVI: 37 (CD3511d) 1–9 191–192
g) String Quartet, Op. 76, No. 3, II (CD2740/1628A) 1–8 195–196
h) Mozart Piano Sonata, K332, II (CD317b) 1–8 219
i) Die Entführung aus dem Serail, Act II, No. 8 (CD338) 1–8 233–234
j) Beethoven Piano Sonata, Op. 13, “Pathetique,” II (CD144) 1–8 263
k) Piano Sonata, Op. 53, “Waldstein,” I (CD144, 2340) 35–42 271
l) Schubert Impromptu, Op. 142, No. 2, D. 935 1–16 318
m) “Die Liebe hat gelogen” (1378-CC) 1–6 310
n) Schumann Kinderscenen, Op. 15, No. 6 “An Important Event” (CD1618) 1–8 324
o) Op. 15, No. 8 “By the Fireside” 1–4 325
p) Album for the Young, Op. 68, No. 41 “Nordic Song” (CD2809) 1–8 335
q) Chopin Nocturne, Op. 9, No. 2 (CD1682) 1–4 340
r) Prelude Op. 28, No. 4 in E Minor (CD1610) 1–12 349–350
s) Prelude Op. 28, No. 20 in C Minor (CD1610) Entire 351

21
Further Exercises for Melodic Analysis
Complete a harmonic analysis of the following passages. Use scale degrees to identify step-progressions.

Beethoven, Piano Sonata 16, Op. 31, No. 1, II (mm. 1–8)

Chopin, Mazurka 6 in A Minor‚ Op. 7, No. 2 (mm. 1–16)


The opening phrase has been analyzed for you. What is unusual about the opening harmony? How does 6̂
function in the opening two measures? Notice how non-chord tones embellish the structural tones. How are
the pitches at the downbeats of mm. 1, 2, and 4 more accented but less structural than the pitches forming
the 5̂–4̂–3̂ step-progression. Why is dn2 in m. 4 better considered a suspension than an appoggiatura? What is
unusual about the closing step-progression (mm. 9–16)?

œ œ . œ œ œ >˙ Sus œ œ œ œ # œ œ #Nœ œ œ Pn ˙Sus œ œ œ œ œ œ. >˙


5̂ (6̂) (5̂) 4̂ 3̂ ||
3 œ nœ œ œ
3

&4 # œ. .
P

œ #œ ˙
p p
œœ. œœ. œœ. œœ. œœ. œœ. f
3

œ œ
cresc.

œ œ œ œ # œ œ Œ œ œ Œ œ œ Œ œ œ Œ œœœ # œœœ n œ
œ # œœœ
stretto

? 43 Œ Œ Œ Œ Œ
œ
a: iv64 i6 — 5 V7 i4 — 3
(N) IAC

œ . œ œ œ >˙ œ œ œ œ # œ œ # œ œ œ œj n >˙ œU >


a tempo

œ œbœ œ œ bœ Œ œ. #œ œ ..
9 3

& œ œ œœ
Œ œ̇ Œ
œœ. œœ. œœ. œœ. . œœ. œœ. œœœ. b œœ. œœ. b œ˙ œ Œ
# œœœ n œ. œœ.
3 cresc. poco rall.

?Œ œ œ Œ œ œ Œ œ Œ œ Œ œ œ Œ œ œœ ..
u
œ Fine

22
6. Texture
Musical texture is the relationship among simultaneous lines in music. Density describes the number of
lines or the distance between them. Texture and density often change within a musical composition.

Musical Textures
• Monophony: a single melodic line of music in one or more voices without accompaniment. Melodies
performed in unison or in octaves are considered monophonic.

Shostakovich, Second Piano Trio, Op. 67 (mm. 1–4)

# cModerato j
& Ȯ
œO .
j Ȯ O O O œO Ȯ
œO œO- œO- œO œO œO œO œ œ # œ .
Cello

• Homophony: Homorhythm: a single principal line with one or more secondary, accompanimental
lines, moving together with the same or similar rhythm. Harmonized chorales are a homorhythmic
type of homophony. Which voice below has the principle line in mm. 1–2? in mm. 3–4?

Brahms, Intermezzo in E major, Op. 116, No. 6 (mm. 1–4)

# ## 3
Andantino teneramente

& # 4 œœ œœ œœœ œ œ
‹ œœ œ œ œ œœ œ œœœ œœ œœ # œ n œ œ œœ œ œ œ
œ #œ œ #œ œ nœ œ
p
? # # # # 3 dolce e ben legato œ œ œ
4 œ œ œ œ œ œ œ #œ œ œ
œ œ #œ œ œ
œ œ œ œ œ

• Homophony: Melody with Accompaniment: a type of homophony in which the principal line is
melodic and rhythmically independent of the secondary lines, which provide harmonic support.
Songs and sonatas typically have this texture. Which voice below has the principle line? Which
voices are accompanimental?

Chopin, Prelude in B minor, Op. 28, No. 6 (mm. 1–4)


>
Lento assai
> >
## 3 œ œ œ œ œ œ œœ œ œœ œ œœ œ œœ œ œœ œ œœ œ œœ œ œœ œ œœ œ
& 4 œœ œ œ œ œ œ œ œ œ œ
œ œ. œ œ œ œ. œ œ.
? # # 43 œ œ œ œ œ. œ œ œ œœœ œ
sotto voce

J Jœœ

• Polyphony: two or more simultaneous (overlapping), independent lines resulting in more-or-less


balanced counterpoint. Much of Western classical music beginning with the Renaissance
(c. 1450) uses imitative polyphony. Imitation helps unify such a complex texture.

m
J. S. Bach, Italian Concerto (mm. 60–64)
Œ œ œ
œœœœ œ# œ œ œ œ# œn œ œ n œ œn œ œ œ œ b œ
60

&b ≈ œ œ Œ ≈
≈ Rœ ≈ ‰
j œ œ œ œ
?b œ ‰ ≈ bœ œ œ œ œœœ œ œ œ œ œ œ œ œ# œ œ œ
œ œ#œ œœœœ œ
œ J
J
23
Analysis of Texture

1. Determine the texture (monophonic, homophonic, melody and accompaniment, or polyphonic)


throughout the excerpt. Label any significant changes in texture.
2. Observe the number of simultaneous lines and the distance between them. How would you describe
the density (dense, moderate, or sparse)? Are there significant changes in density within the
excerpt?

Composer Composition Measures Page(s)

a) Anonymous “Kyrie” from Missa de Angelis Entire 8


b) Josquin Desprez “Agnus Dei” from Missa Mater Patris Entire 22–23
c) Henry Purcell “Thy Hand, Belinda” from Dido and Aeneas (CD806) Entire 71
d) J. S. Bach “Wachet auf, ruft uns die Stimme” (CD1085) Entire 97 (both)
e) Invention No. 1 in C (CD777) Entire 101
f) Prelude No. 1 in C (CD199, 520) Entire 116–118
g) G. F. Händel Concerto Grosso, Op. 6, No. 1 Entire 164–165
h) Haydn String Quartet, Op. 76, No. 3, 2 (CD2740/1628a) Entire 195–201
i) Mozart Piano Sonata, K. 332, I (CD317b) 1–22 214
j) Beethoven String Quartet, Op. 18, No. 1, I (CD352) 1–20 284
k) Chopin Valse, Op. 69, No. 2 (CD1682) Entire 336–337
l) Debussy Sarabande (CD1013) 1–8 408
m) Bartók Mikrokosmos, No. 59 (CD4766) Entire 466
n) Webern Concerto for Nine Instruments (CD1120) Entire 494–500
o) Britten “Prologue” from Serenade, Op. 31 1–14 521
p) “Dirge” from Serenade, Op. 31 1–17 522
q) Ives Piano Sonata No. 2 “Concord” (CD497, 3713) 1–3 458

24
7. Harmonic Analysis in Two-Voice Texture
Triadic function may be represented by as little as one tone. You may recall that any major or minor
harmony may omit the fifth, and any diminished harmony may omit the third. In two voices, a triad may be
represented by two roots only with no third or fifth present, though the root and third combination is
preferred. When only two voices are given, harmonic analysis requires determining what notes are missing
or assumed. In general, employ the simplest analysis. Harmonic analysis in two-voice texture should not
assume:

• Chordal sevenths. For example, if there is no seventh, analyze as V instead of V7.


• Chromatic pitches. For example, if there is no s4̂, analyze as ii7 instead of V7/V.
• Roots. However, given their pivotal role in tonal music, 1̂ and 5̂ may be inferred as roots, especially if
the tone is heard in the previous chord. For example, in C major, F and A forms IV not ii6. On the
other hand, E and G may be either iii or (more likely) I6, depending on context.

For ambiguous chords, consider likely possibilities and choose the most normal (strong) progression based
on the tonic-predominant-dominant model (see below). A thorough review of Ch. 1 is recommended.

Harmonic Progression
The relative strength of harmonic progression may be generalized in various ways. A few approaches are
shown below.10 Generally, any harmony may follow tonic (I), and any diatonic harmony (x) may precede
dominant (V), which yields the general progression:

I → x→ V

The theory of root movement emphasizes the intervallic relationship between successive chord roots. It
identifies root movement down by 5th, up by 2nd, and down by 3rd as relatively strong progressive motions.
Note that in the stronger progressions, the root of the second chord is not sounded in the first chord,
heightening an aural sense of harmonic motion.

Root Movement: ↓5th (↑4th) ↑2nd ↓3rd ↑3rd ↓2nd ↑5th (↓4th)
Strongest Strong Neutral Weak Weakest
(Progressive) (Retrogressive)

The theory of harmonic function emphasizes the tonic-predominant-dominant-tonic progression as the basis
of tonal progression and identifies harmonic substitutions that embellish that progression. Substitutions for
the tonic, subdominant, and dominant harmonies maintain the essence of harmonic function while
providing variety in the progression. Harmonic motion from left to right through the categories (Tonic–Pre-
Dominant–Dominant–Tonic) creates strong progressive motion. Motion within categories (succession) is
strong if roots move by descending third (downward within a column) or neutral if by ascending third
(upward within a column).
(vi°) (VII)
Harmonic Function: iii vi vii° III VI vii°
Major: I → IV → V Minor: i → iv → V
vi ii iii VI ii° III(+)

10
No generalization is comprehensive. The classical style tends to avoid weak progressions (or “retrogressive” succession),
especially V to IV or ii to I. The movement from I to V, of course, is very common. Since the Baroque, musicians have
considered how to generalize the hierarchy of harmonic progression. Most have settled on something like the order
presented here.
25
Harmonic Analysis in Two-Voice Homophony
Provide a harmonic analysis of the following passage, which may be analyzed without non-chord tones.
Find and label an example of a voice-exchange, where outer voices “trade” pitches. (An example may be
found in the discussion of the passing six-four chord in Chapter 1.)

b œ œ # œœ œ œ œ œ
& b c œœ # œœ œ œœ œ œ œ œ œ n œœ œ œ œ # œ
œ ˙ œ w
w
g:

Aria from the Notebook for Anna Magdelena Bach (Anonymous)


Study the harmonic analysis of the Aria from the Notebook for Anna Magdelena Bach (below), discuss
alternate analyses for any ambiguous progressions, and answer the following questions:

1. Complete the harmonic analysis of the song. Circle and label all non-chord tones and cadences.
2. Why is the f in m. 1 analyzed as the seventh of the chord rather than as a passing tone? Why should
the c1 in m. 14 be analyzed as a passing tone rather than the seventh of the chord?
3. Find and label an example of a voice-exchange.

b 3 œ œ. œœ œ
& b 4 œ œ œ .. œ . œ œ œ œ œ œ œ œ œ œ œ œ œ
P P Esc

œ ˙ ˙. œ œ œ ..
1.

œ œ œ œ œ œ œ œ œ œœ
So oft ich mei - ne To-backs - pfei - fe, mit gu - tem Kna - ster an - ge - füllt, zur Lust und

? b b 43 œ œ .. œ œ œœœ œ œ œ œ œ œ œ ..
Zeit - ver - treib er - grei - fe, so gibt sie
mir ein Trauer

œ œ œ œ œ œ œ œ P P œ œ
4 6
g: i— 2 iv ii° III iv V i V i Bf: I

b œ. œ œ œ œ œ#œ ˙.
& b ˙. .. œ œ œ ˙ œ œ œ œ œ œ #˙. .. ˙ .
10

œ #œ œ
2. 1. 2.

œ œ œœœ
? bb # œ œ œ œ œn œ œ # œ œ œ œ œ
œ œ œ œ œ œ .. œ œ œ œ œ n œ œ œ œ œ œ œ .
bild und fü - get die - se Leh - re bei, dass ich der - sel - ben ähn - lich sei. sei.

œ
œ#œ œœ œœ . ˙.

J. S. Bach, “Eius ist noth! ach Herr, dies eine”


Study the outer voices and provide a harmonic analysis for the following excerpt. You may list multiple
chord possibilities where appropriate, but place your first choice above the others. (Note: Root position vii°
triads are rare but often occur as part of a circle-of-fifth progression, e.g., vii° – iii – vi – ii – V – I.) Circle
and label all non-chord tones. Label the key and cadence type at each fermata.
œ œœœ œ U U U
&c œ œ œ œ œ œ œ œ œ œ œ . œj ˙ .. 43 œ œ œ œ œ œ œ œ œ œ œ œ œ œ œ
U U U
?c œ œ œ œ œ œ . 3 œ œ œ œ œ œ œ œ œ
œ œ ˙ œ œœœ œ œ ˙ . 4 œ œ œ œ ˙ œ

U U U
&œœ œ œ œ œ œ œ #œ œ œ œ œ œ bœ œ œ œ œ œ œ œ œ œ
9

˙ œ œ œ œ œ œ œ ˙.

? œ œ œ œ #œ œ œ œ œ œ U œ œ œ œ œ œ œ œ œ œ œ œ œ U œ œ œ œ œ œ œ œ œ œ œ œ .
œ ˙ œ œ ˙
26
Harmonic Analysis in Polyphonic Texture
In polyphonic texture, in which the bass may be melodically and rhythmically active within a single
harmony, analyzing inversions becomes more difficult. Inversions are normally determined by the lowest
bass note during a single harmony, but when the bass arpeggiates or moves among several notes within one
harmony, the analyst must consider which of the bass notes is primary. Study the excerpt analyses below,
which follow harmonic rhythm at the quarter-note level. Which is more specific, Analysis 1 or Analysis 2?
In each analysis, which bass notes determine the inversions? Which analysis do you prefer?

J. S. Bach, Invention 13 in A minor, BWV 784 (1723), mm. 1–2

œ œ œ
&c ≈œ œ œ œ œ œ œ #œ œ œ œ œ œ œ œ œ œ œ Œ

?c j œ #œ œ œ œ œ œ œ œ œ œ œ #œ œ œ œ œ œ œ œ œ œ
œ J
(not 64 ) (not 64 )
6 6— 5
Analysis 1: a: i V 5 i V 43 i 3 V 65 — 7 i V 43
2–3
vs.
Analysis 2: a: i V 65 i V7 i V7 i V7

For the following excerpts, provide a complete key and harmonic analysis below the staff. Circle and label
all non-chord tones.

Composer Composition Measures Page(s)

a) J. S. Bach Menuet 1 (Hint: Confirm key first.) 1–16, 17–32 81–82


b) Menuet 3 1–8, 17–24 83
c) Invention 13 (Hint: uses viø7) 18–25 105
d) Menuet from French Suite No. 6 (CD781) Entire 132

The following have figured bass:

e) J. S. Bach “Ermuntre dich” 1–8 98


f) “Eius ist noth! Ach Herr, dies eine” Entire 98
(Compare with your analysis on the previous page.)
g) “Sei gegrüsset, Jesu gütig” Entire 100

The following are polyphonic:

h) J. S. Bach Fugue 16 in G minor, WTC I (CD199) 5–8 122–124


i) Variation 1 from Goldberg Variations (CD257) 1–8 134–135

27
8. Imitative Polyphony
Polyphony is musical texture composed of two or more independent, simultaneous lines. The interaction
among lines in a polyphonic texture creates counterpoint. Often, composers use imitation as a means of
unifying contrapuntal music. Imitative polyphony plays a central role in masses and motets of the
Renaissance (c. 1450–1600) and inventions and fugues of the Baroque (c. 1600–1750) but is employed in
many genres. The following terms are used to describe imitative polyphony.
• Imitation: any immediate restatement of melodic material in a different voice
• Canonic Imitation: An extended melodic line that is imitated immediately, strictly, and in its entirety
in one or more different voices
• Leader (dux): the first voice that states the melody
• Follower (comes): any answering or imitating voice
• Strict (Exact) Imitation: the follower maintains the same intervals and durations as the leader
throughout the length of the imitation (at least until near the cadence)
• Free Imitation: there is an alteration in pitch or duration within the follower’s imitation
• Free Counterpoint: two or more melodic lines in which there is no consistent imitation
• Harmonic Interval of Imitation: the interval of transposition between the beginning of the leader and
the beginning of the follower
• Delay: the time (in measures or beats) between the first note of the leader and the first note of the
follower
• Form in Polyphony: Contrasting motives and cadences clarify formal subdivisions. However, the
“spinning forth” of some counterpoint and the lack of motivic contrast result in works that do not
conform to conventional formal structures (neither clearly binary nor ternary form, to be discussed
later). Look for changes in key, motives, texture, density, or other elements to determine sectional
divisions.

Analysis of Imitative Polyphony


1. In the leading voice, bracket the entire passage that is imitated (and no more). Place an “L” at the
beginning of the bracket.
2. In the following voice, bracket the entire imitation. Place an “F” at the beginning of the bracket.
3. Beside the “F,” identify the type of imitation (strict or free), the interval of imitation (at the beginning
of the passage), and the temporal delay (number of measures or beats) in relation to the previous
voice (for example, “↓P5, 1 m.” or “↓P5, 4 beats”). Mark any deviations in the imitation.

Giovanni Pierluigi da Palestrina, “Veni sponsa Christi” (late sixteenth-century motet)

˙ œ. œ œ œ œ. œ œ œ œ œ. œ œ œ w
L (not imitated, “free counterpoint”)
w ˙
Cantus &C ˙
J œ
Ve - ni spon - sa Chri - - - - - - - - -

j
&C ∑ œ . œj œ œ œ . œ œ
F (strict, ↓5, 1 m.)
Altus w ˙ ˙ ˙ œ #œ œ ˙
Ve - ni spon - sa Chri - - - - - - -

w
VC ∑ ∑ ∑ ∑ ∑
L
Tenor
Ve -
(NOTE: Tenor sounds down an octave.)

Bassus
?C ∑ ∑ ∑ ∑ ∑ ∑
28
&œ ˙ œ œ ˙ œ œ œœœ˙ ˙ Ó ∑
7

sti, Ve - ni spon - sa Chri - - - sti,

&w w ∑ ∑ ∑
sti,

˙ ˙ œ. œ œ œ œ. œ œ œ œ œ. œ œ œ ˙
(free counterpoint)

V ˙ œ œ.
J
ni spon - sa Chri - - - - - - - - - sti,

?w ˙ ˙ ˙ œ. œ œ œ œ . Jœ œ œ #œ œ.
F (strict, ↓5, 1 m.)

J
Ve - - - ni spon - sa Chri - - - - - - sti,

While the tenor above may be considered a follower of the alto (strict, ↓4, 4 mm.), the paired imitation,
soprano with alto and tenor with bass, gives the tenor more of a leader role in relation to the bass. As a pair,
however, the tenor and bass follow the soprano and alto (strict, ↓8, 5 mm.). Notice that counterpoint that is
not imitated is not included in the analysis of imitation; it is considered free.

The example below contains free imitation, or imitation that contains alterations in the follower. How are
the circled notes in the first following voice (bass) altered from the leading voice (in pitch or duration)?
Note how the first follower becomes the leader to the second follower (the third entry, tenor). The middle
voice enters a P5 above the second voice (note the clef). What alterations in the middle voice make its
imitation of the bass voice free? How does the middle voice relate to the top voice? How does the bass
follow the top voice in m. 6, based on the score given?

William Byrd, Benedictus from Mass for Three Voices (c. 1593)

L L

& b c ˙. œ˙ œ ˙ ˙ ˙ Œ œ . Jœ œ œ œ œ œj œ œj
Be -
œne diœ - ctus qui ve - nit
œ
in no - mi - ne Do - mi - ni, Do- mi -

Vb c ∑ Ó ˙ œ œ œ œœ œ œ œ œ œœ ˙ ˙ Œ œ
F (free, ↑5, 4 b.)

Be - ne di - ctus qui ve - - - nit

œ . Jœ œ œ
in

?b c Ó ˙ ˙ œ œœ ˙ ˙ ˙ ˙
˙ Œ œ
F (free, ↓8, 2 b.)

Be - ne di - ctus qui ve - nit in no- mi - ne Do -

Whereas imitation may occur anywhere within a polyphonic passage, canonic imitation normally begins
with one voice (monophonic), which is imitated as subsequent parts enter (becoming polyphonic). The
“rule” of the canon determines the interval of transposition and delay between the first note of the leader
and the first note of the follower. “Row, Row, Row Your Boat” and “Frères Jacques” are examples of
rounds, or canons whose lines remain identical throughout. Other canons may have transpositions or
alterations.

29
Analyze the imitation in the following passage. (NOTE: The artificial harmonics in the cello raise the
lowest note two octaves.)

Shostakovich, Second Piano Trio, Op. 67, I (mm. 1–16) (1944)

Andante (q»§ª)
#
& 44 ∑ ∑ ∑ ∑ ∑ ∑ j
con sord.
Violine œ œ- œ- ˙ œ . œ œ œ
p
# 4 con sord. j Ȯ O j
& 4 O O O œO . œOj O O Ȯ œO œO œO # œO . œO Ȯ O O O œ . œO œO œO Ȯ .
Ȯ Oœ Ȯ . œO
tenuto

œ œœ œœ œ œ- œ-
p - -
Violoncello

# ˙ œ. œ œ œ
œ œ œ n œ . Jœ ˙ œ œ œ œ Ȯ
9 tenuto

& ˙ œ œ- œ- J ˙. œ ˙. ˙. œ
# Ȯ
& O
œO œO œO Ȯ
Ȯ . Ȯ œO œO œO œO Ȯ # wO œO Ȯ œO Ȯ œO œO œO .
œO
9
# ∑ ∑ ∑ ∑ ? j œ
& œ œœ ˙ œ . œ œœ ˙ œ œ œ œ. J ˙
π tenuto
?# j
Klavier
∑ ∑ ∑ ∑ œ
œ œ œ ˙ œ. œ œ œ ˙ œ œ œ œ. J ˙

This excerpt is an example of ______________ {a canon, a round, free imitation, or free counterpoint}.

Composer Composition Measures Page(s)

a) Josquin Desprez “Agnus Dei” from Missa Mater Patris Entire 22–24
b) “Ave Maria . . . Virgo Serena” 1–17, 54–110 25–30
c) Roland de Lassus Beatus Homo 1–27 47–48
d) Justi Tulerunt (Hint: contains strict inversion) Entire 48–49
e) Monteverdi “Dice la mia bellissima Licori” 9–23 64–65
f) Archangelo Corelli Prelude from Trio Sonata, Op. 4, No. 3 1–8 (Vln I/II) 70
g) J. S. Bach Invention No. 1 in C (CD2708) 1–4 101
h) Goldberg Variations, Variation 12 [inverted canon] 1–16 136–138
i) Goldberg Variations, Variation 18 1–16 138–139
j) Goldberg Variations, Variation 27 1–16 139–140
k) Beethoven Piano Sonata, Op. 7, III (CD956a, 3465a) 25–31 255–256
l) Richard Wagner Tristan und Isolde: Liebesnacht (vocal lines only) 6–72 368–373
m) Bela Bartók “Chromatic Invention” from Mikrokosmos Entire 467
n) “Song of the Harvest” Entire 470–471

30
9. Cadences, Phrases, and Hypermeter
Cadences
A caesura is any point of relative repose; a cadence is a caesura at the end of a phrase. There are four
general types of cadences: authentic (perfect or imperfect), plagal, deceptive, and half.
• Authentic Cadence: any cadence where the penultimate chord contains the leading tone (e.g., V or
viiº) and the final chord is tonic (I). There are two classifications of authentic cadences:
Perfect Authentic Cadence (PAC): the strongest, most conclusive cadence; ends with a tonic chord in
root position with 1̂ in the melodic voice; penultimate chord is V or V7 in root position.
Imperfect Authentic Cadence (IAC): any authentic cadence that is not a PAC.
• Plagal Cadence (PC): any cadence where the penultimate chord does not contain the leading tone (e.g.,
IV or ii) and the final chord is tonic. The PC is less common than the PAC or the IAC.
• Deceptive Cadence (DC): ends on a chord other than tonic and the penultimate chord includes the
leading tone (normally V–vi or V–VI).
• Half Cadence (HC): ends on any other chord (normally V but also ii, etc.). This inconclusive cadence
creates an incomplete or interrupted harmonic progression. A tonicized HC is a half cadence in
which the penultimate chord contains a secondary leading tone (e.g., V/V to V), which treats the
dominant as if it were tonic, and creates what may sound locally like a PAC or IAC in the
secondary key.11

Phrases
A musical phrase is (1) a musical passage that, (2) having exerted a complete sense of motion, (3)
concludes with a cadence.12 The following criteria may be used to identify melodic phrases:
• Regular length: Regular length of a phrase is four hyperbeats, with four full measures being the most
common (one hyperbeat corresponding to one measure, see below). An eight-measure phrase also
has regular length, in which each hyperbeat is counted every two measures. Although less
common, a phrase that is one or two measures long may still be considered to have regular length,
even though hyperbeats exist only “above” the beat level.
• Cadence: Rhythm, harmony, and melody all greatly affect cadential strength. The strongest, most
structurally significant cadences: (a) fall on strong beats, (b) are in the tonic key, and (c) support a
tonic note in the upper voice (PAC). Chromaticism (such as secondary dominants), links, and
rests may strengthen or weaken cadences. Internal caesuras may divide phrases into smaller
“subphrases.”
• Contrast: A phrase may be separated by its motivic contrast to the phrases immediately before or after
it. It may be easier to identify the beginning of a second phrase than the end of the first.
• Text: The completion of a phrase of text or the arrival at a punctuation mark often coincides with the
cadence of a musical phrase.

Hypermeter
Meter describes temporal organization within a measure. It forms a regular temporal grid behind surface
rhythm, which may be quite complex. Hypermeter describes temporal organization above the measure

11
An authentic cadence in the dominant key (modulation) and a tonicized half cadence (tonicization) differ only in strength. The
Phrygian half cadence, another type of HC, results when the bass descends to V by a half step (e.g., iv6 – V).
12
Definitions of the musical phrase vary. See Douglass M. Green’s elusive but similar definition: “the shortest passage of music
which, having reached a point of relative repose, has expressed a more or less complete musical thought.” Form in Tonal
Music: An Introduction to Analysis, 2nd ed. (Harcourt Brace: Fort Worth, 1979): 7.
31
level. One level of hypermeter is defined by the downbeats of measures. Regardless of the meter (44, 24, 68,
etc.), measures often combine to form regular phrases with four hyperbeats (usually four measures).13

If two adjacent phrases are regular in length, the hypermeter may be counted “1–2–3–4, 1–2–3–4.”14
Hyperbeat “1” represents the beginning of a phrase (structural downbeat), “2” and “3” represent
continuation of the phrase, and “4” represents the cadential hyperbeat. These differing functions of
hyperbeats show how the perception of phrase rhythm relies on harmonic and melodic considerations.
Phrases may be irregular in length due to hypermetric contraction or expansion.

Phrase Contractions and Connections


• Elision: The expected cadence of the first phrase is replaced by the beginning of the second phrase in
the same voice. Sample Hypermeter: 1 – 2 – 3 – 4=1 – 2 – 3 – 4 (4 is replaced by 1)
• Overlap: The cadence of one phrase coincides with or occurs after the beginning of a phrase begun in a
different voice or the accompaniment.15 Since most half cadences (V) are followed by tonic
harmony (I) at the beginning of the next phrase, there may be a temptation to analyze this as an
overlapping authentic cadence (V – I). Careful identification of phrases with regard to length and
other criteria listed above, however, proves the overlap to be less common.
Sample Hypermeter: 1 – 2 – 3 – 4=1 – 2 – 3 – 4, in which 4 and 1 share the same measure.
• Link: Musical material that connects the end of one phrase with the beginning of the next. Melodic
links appear in the main melodic voice and are often scalar, while accompanimental links appear in
the accompaniment, normally the lower voices. Links do not affect hypermeter and do not create
irregular phrases; they are contained in the cadential measure, though they may be part of a
cadential extension (see below). Sample Hypermeter: 1 – 2 – 3 – 4 [link] 1 – 2 – 3 – 4

Phrase Expansions
• Anacrusis: Musical material that appears before the main downbeat of a phrase; an upbeat. Anacruses
range in length from a simple pickup, which does not cause hypermetric expansion (phrase length is
still regular), to over a measure.16 Sample Hypermeter: (0) – 1 – 2 – 3 – 4
• Interpolation: Musical material that expands a phrase internally, by repetition, insertion, or other
expansion.17 Motivic repetition may create a sense of “going back” to an earlier hyperbeat, yielding
the second example below. Sample Hypermeters: 1 – 2 – 3 – (3) – (3) – 4 or
1 – 2 – (1 – 2) – 3 – 4
• Cadential Extension: Musical material that prolongs the cadence of a phrase. Cadential arrival at the
first “4” is perceptible but undermined by a subsequent, often stronger and clearer, cadence.
Sample Hypermeters: 1 – 2 – 3 – 4 – (4) – (4) or 1 – 2 – 3 – 4 – (3 – 4)

Whether external (as a prefix or suffix) or internal to the underlying regular phrase, phrase expansion
results in a lengthening of musical time. Additional hyperbeats or measures are evidence of this.
13
Seminal scholarship on hypermeter and phrase rhythm includes, among others: William Rothstein, Phrase Rhythm in Tonal
Music, (New York: Schirmer Books, 1989); Jonathan D. Kramer, The Time of Music... (New York: Schirmer Books, 1988);
Carl Schachter, “Aspects of Meter” in Unfoldings: Essays in Schenkerian Theory and Analysis; edited by Joseph N. Straus,
(New York : Oxford University Press, 1999).
14
When comparing phrases, try to use the same level of hypermeter (one hyperbeat = x measures throughout, normally one).
15
Overlapping phrases are especially common in polyphonic music of the Baroque. In Classical, more homophonic music, the
distinction between elision and overlap is more subtle, leading some analysts to use one of the two terms for either concept
in music. See Rothstein, p. 46.
16
Mozart’s Symphony in G minor, I (K. 550) and Strauss’s “Blue Danube” Waltz, No. 1 begin with anacruses that expand the
hypermeter. Accompanimental anacruses, however, may be considered separate from the regular phrases that follow.
17
Some musicians distinguish between interpolation (or insertion) and internal expansion. In the former, musical material is
inserted within a phrase with relatively clear repetitions or divisions, whereas the latter results from augmentation of part of
a hypothetical, underlying normal phrase without the clear division characteristic of interpolation, labeled
1 – 2 – 3 – (&) – 4.
32
Hypermetric and Phrase Analysis
1. Indicate the end of each phrase with a bracket (“||”), and label each cadence by key and type.
2. Above the staff, label hyperbeats (1–2–3–4) to show regular, underlying phrases. Place the
hyperbeats of phrase expansions in parenthesis.
3. Label by type any phrase contractions, connections, or expansions.

The first example below contains two phrases. The first phrase is regular in length; its anacrusis (pick up)
adds no hyperbeats. The second phrase (mm. 5–10), contains an interpolation and a cadential extension,
each contributing to the phrase’s irregular length. Notice that while the phrase concludes in the last
measure, a sense of cadential arrival (PAC) exists in the penultimate measure. This is typical of cadential
extension.
Interpolation Extension

b œ . Jœ œ œ . œ n œ œ œ j
& b b 43 œ j ˙
#œ œ Œ œ œ. œ œ œ. œ œ œ œ œ œ #œ œ œ œ œ .
Hyperbeats: 1 2 3 4 || 1 2 3 (3) 4 (4) ||

J
c: HC PAC

In the following example, the first phrase is expanded by a two-measure anacrusis yet contracted by an
elision. The second phrase contains interpolation.18
Anacrusis Elision Interpolation

b œ œ œ. œ nœ œ j
& b b 43 œ œ œ # œ œ œ œ œ œ . J
Hyperbeats: (0) (0) 1 2 3 4=1 2 3 (3) 4 ||

J œ # œ œ . œ œ œ . œj œ ˙ œ œ ˙ ˙.
(Elision of a HC) c: PAC

Composer Composition Measures Page(s)

a) J. S. Bach Aria from Goldberg Variations (CD257, 781) 1–16 133


b) Haydn Piano Sonata, H. XVI: 37, I (CD3511, 3072) 1–8, 9–16 187
c) String Quartet, Op. 76, No. 3, II (CD2740, 1628a) 1–20 195–196
d) Symphony 102, IV (CD2713a) 1–38 203
e) Mozart Die Entführung aus dem Serail, Act II, No. 8 (CD338) 1–18, 67–73 233–236
f) Piano Sonata, K. 332, I (CD317b) 1–22 214–215
g) Eine kleine Nachtmusik, I (CD303B) 1–10, 11–27 222–223
h) Beethoven Piano Sonata, Op. 10, No. 1, III (CD 3465a) 1–8 259
i) Piano Sonata, Op. 53 “Waldstein,” I (CD144, 2340) 35–50 271
j) String Quartet, Op. 18, No. 1, I (CD352) 1–20 284
k) Symphony No. 7, Op. 92, II (CD229) 1–10 292
l) Schubert “Die Liebe hat gelogen” 1–7 310
m) Brahms Ballade, Op. 118, No. 3 (CD3114) 1–10 376
n) Vier Ernste Gesänge, 3 “O Tod, wie bitter bist du” (CD1731) 1–5 386

18
The internal expansion in the second example augments the penultimate measure of the underlying “normal” phrase into two
full measures. In addition, its duple rhythmic grouping in a context of triple meter forms an example of hemiola, which
heightens the effect of irregularity.
33
Advanced Assignment: Mozart, Fantasie in D Minor‚ K. 397 (mm. 87–107) (CD4215)
1. Indicate the end of each phrase with a bracket (“||”), and label each cadence by key and type.
2. Above the staff, label hyperbeats (1–2–3–4) to show regular, underlying phrases. Place the hyperbeats
of phrase expansions in parenthesis.
3. Label by type any phrase contractions, connections, or expansions.

4. Measures 87–90 have simple hypermeter, but the measures that follow are more challenging. Consider
the following possible ways of counting hypermeter in mm. 91–98, and justify which one you think is
best. How might these interpretations affect performance?
a. 1 2 3 4, 1 2 3 4=1 (etc.)
b. 1 2 3 4 (4) (4) (4), 1
c. 1 2 (1 2) 3 (3) 4, 1
d. 1 2 (2) (2) (2) 3 (3) 4=1
e. 1 2 (1 2) (1 2) 3 4=1
f. 1 2 (1 2) (&) 3 (&) 4=1 (see footnote on internal expansion above)
g. _ _ _ _ _ _ _ _ (Other?)

5. Using your answer to #2 and 4 above, “recompose” the passage into a normalized form consisting only
of four-bar phrases. (Mozart wrote a more normal version earlier in the piece.)

34
10. Phrase and Periodic Structure
Phrases often combine to form larger structural units, either periods or phrase groups. Phrase structure is
determined by analyzing and comparing three components: (1) harmonic structure (cadences),
(2) hypermetric structure (lengths), and (3) melodic structure (motives) of the individual phrases.

Harmonic Structure
• Period: a balanced period contains two phrases that form a larger structural unit, in which the cadence
of the first phrase (antecedent phrase) is inconclusive (e.g., HC) and the cadence of the last phrase
(consequent phrase) is conclusive (e.g., PAC). Periods may contain more than two phrases, but the
final phrase ends conclusively and more conclusively than the previous phrases. In cases where the
period is unbalanced, specify the number of phrases (e.g., IAC—HC—PAC represents a “three-
phrase period.”)
• Modulating Period: a period that ultimately modulates. The final cadence is conclusive (PAC or IAC)
but in a different key than the beginning of the period (ex: C: HC — G: PAC).
• Double Period: a period in which the antecedent and consequent each subdivide into two complete
phrases. The cadence of the final (fourth) phrase is more conclusive than cadences of the three
preceding phrases (e.g., HC—IAC—HC—PAC or HC—HC—HC—PAC). PACs may have
differing strengths due to rhythmic and other factors; thus, a double period may be realized HC—
PAC—HC—PAC, but only where the final PAC is clearly more conclusive than the first PAC. If
the second and fourth cadences have equal strengths, the phrase structure is not a double period but
either a repeated period, if the periods are essentially the same, or simply two periods, if the periods
differ. Immediate repetition has little effect on formal structure. If the antecedent and consequent of
a period subdivide into three phrases each (e.g., HC—HC—IAC—HC—HC—PAC), the term triple
period is preferred (see Chopin’s Mazurka in E minor, op. 17, no. 2).
• Phrase Group: two or more phrases that combine but do not form a period (ex: IAC—HC).
• Independent Phrase: a single phrase that does not combine with other phrases due to its differing
content or other musical divisions.19

Hypermetric Structure
• Symmetrical Phrases have equal length, regardless of whether each phrase is “regular” in length.
• Asymmetrical Phrases differ in length, due to expansion or contraction.

Motivic Structure
• Parallel Phrases begin identically or with slight variation of the same, untransposed motive (motives
transposed an octave are still considered parallel). The consequent phrase in a parallel period
restates the beginning of the antecedent phrase but then succeeds in tonal completion. The result is
motivic recurrence: aa or aa'. 20
• Contrasting Phrases begin either with the same but significantly modified motive or with different
motives, although some similarity in rhythm or other elements often exists. The consequent phrase
in a contrasting period continues from the antecedent phrase and completes tonal motion. The new
idea creates motivic contrast: aa' or ab.

19
Examples of brief rounded binary form often have an independent phrase in the B section (and another independent phrase,
which constitutes A'). The last two phrases of the theme from Mozart’s Sonata in A, K. 331, I (mm. 9–18) remain
independent due to musical purpose (requiring analysis of form). See the Ch. 11: Binary Form.
20
Musicians may disagree on whether phrases are parallel or not. Here is a good test: Sing the first measure of the first phrase
while playing the first measure of the second phrase. If there is little or no dissonance consider them parallel. If the two
phrases clash, consider them contrasting. This demonstrates why motives transposed an octave remain parallel.
35
A thorough description of phrase structure identifies the harmonic, hypermetric, and motivic structure of
phrases. The excerpt below, for example, constitutes a symmetrical, contrasting period (with regular
phrases). Note how analysis of the cadences infers simple accompaniment.

œ œœ œœœœ œœ œœ œœœ œ œœ œœ œœœ œ œœ œ œ œ Ó


Antecedent (2 + 2) Consequent (4)

& C œœ œ œ œ œ œ œ œ œ œ Œ Œ œœ œœœœœœ œ œ ŒŒ
(caesura, not HC) C: IAC (?) PAC

This example also exhibits sentence structure, a developmental process that is independent of
considerations above. Sentence structure describes a proportional and motivic relationship commonly
found in some phrases, periods, or phrase groups. A period that is also a sentence has an antecedent that
divides into two clear subphrases (by a caesura) and a consequent that does not. Hypermetric divisions of
the periodic sentence, (2+2)+4, reflects a motivic process of statement (two measures), a variation of that
statement (two measures), and lengthening using fragmentation (four measures), as in the example above.
The lack of a cadence in m. 6 supports the interpretation that m. 2 contains not a cadence but a caesura.
Sentence proportions may be altered by phrase contraction or expansion (e.g., 1+1+3).

Phrase Structure Identification


Describe the phrase structure based on the following hypothetical phrase analyses.

Phrase Measures Key: Beginning Phrase Structure


no. Cadence Motive
1) 1 1–4 C: HC a Asymmetrical, parallel, modulating period
2 5–9 G: PAC a' (embellished) (second phrase is irregular)
2) 1 1–4 Bf: HC a
2 5–8 Bf: PAC b
3) 1 1–4 A: HC a
2 5–8 A: DC a' (transposed)
3 9–12 A: HC a" (transposed)
4) 1 1–8 d: IAC a
2 9–18 d: PAC b
5) 1 1–6 E: HC a
2 7–12 B: PAC a' (embellished)
6) 1 : 1–10 : Af: PAC a
7) 1 1–4 F: HC a
2 5–8 F: IAC b
3 9–12 F: HC a
4 13–16 F: PAC c
8) 1 1–4 A: PC a
2 5–8 A: DC b
3 9–12 A: PAC b
9) 1 1–4 e: HC a
2 5–8 e: HC b
3 9–12 e: HC c
4 13–20 G: PAC b' (embellished)
10) 1 1–2 Ef: HC a
2 3–4 Ef: DC b
3 5–6 Ef: IAC b' (embellished)
4 7–8 Ef: HC a
5 9–10 Ef: DC b
6 11–12 Ef: PAC b' (embellished)

36
Phrase Structure Analysis
Identifying phrase structure by listening without the score may be easier than by reading a score without
listening; both skills are important, however. Try analyzing phrase structure in music that is familiar to you
without the score.
1. Indicate the end of each phrase with a bracket (“||”), and label each cadence by key and type.
2. Label hyperbeats and identify any phrase connections (elision, overlap, link) or expansions
(anacrusis, interpolation, cadential extension).
3. Complete the following chart for each assignment:
Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)
Ex: 1 1–4 e: HC Yes a Asymmetrical, parallel,
2 5–10 C: PAC No, interpolation in mm. 8–9 a'
} modulating period

4. Beside your chart, bracket and label structural units using the following terms:
a. symmetrical or asymmetrical (compare phrase lengths)
b. parallel or contrasting (compare phrase beginning motives)
c. modulating (only if the excerpt modulates)
d. 3-phrase or other number of phrases (only if the number is unusual)
e. independent phrase, period, double period, triple period, or phrase group
5. Do any phrases or structural units in the excerpt exhibit sentence structure?

Composer Composition Measures Page(s)

a) J. S. Bach Menuet 1 (CD2994) 1–16 81


b) Menuet 2 1–16 82
c) Menuet 3 1–8 83
d) Aria from Goldberg Variations (CD257, 781) 1–16 133
e) Haydn Piano Sonata, H. XVI: 37, I (CD3511, 3072) 1–8 187
f) II 1–9 191–192
g) Mozart Piano Sonata, K. 332, I (CD317b) 41–56 215
h) II 1–8 219
i) Eine kleine Nachtmusik, I (CD303B) 28–35 223
j) Die Entführung aus dem Serail, Act II, 8 (CD338) 9–18 233–234
k) Clarinet Concerto, K. 622 (CD14) 1–16 238
l) Beethoven Piano Sonata, Op. 13, “Pathetique,” II (CD144, 956a) 1–16 263
m) Piano Sonata, Op. 26, III (CD956a) 21–30 267
n) Piano Sonata, Op. 53, “Waldstein,” I (CD144, 2340) 35–50 271–272
o) String Quartet, Op. 18, No. 1, I (CD352) 1–20 284
p) Symphony No. 7, Op. 92, II (CD229) 3–26 292
q) Schubert “Die Liebe hat gelogen” (1378-CC) 1–7 310
r) Impromptu, Op. 142, No. 2, D. 935 1–16 318
s) Schumann Kinderscenen, “Curious Story” (CD1596, 1618) 1–16, 33–end 323
t) Dichterliebe, “Ich will meine Seele tauchen” (CD79) 1–16 329
u) Album for the Young, “Nordic Song” (CD2809) Entire 335
v) Chopin Mazurka, Op. 17, No. 2 in E minor (CD823) 1–24 343–344
w) Prelude, Op. 28, No. 20 in C minor (CD1610) 1–4 351
x) Prelude, Op. 28, No. 21 in Bf major (CD1610) 1–16 352–353
y) Brahms Ballade, Op. 118, No. 3 (CD3114) 1–10 376

37
11. Binary Form
A composition in simple binary form divides into two main parts, A and B. Defining characteristics of
binary form are harmony (typically an inconclusive cadence at the end of the A section) and motivic
content (a B section with motivic dependence and stylistic unity with the A section). Asymmetry is common,
with the B section often being longer than the A section. Repeat signs reinforce divisions but are not
defining characteristics of form.

Harmonic Considerations
• Tonal Arch: The tonal arch is a basic harmonic structure evident in nearly all tonal compositions. It
consists of the establishment of the tonic key at the beginning of the work, departure to a
secondary key, and a return to the tonic key by the end of the work. The secondary key is
normally the dominant (V) in major or the relative major (III) in minor. An overview of binary
form, from a “global” perspective, would be : I – V : : V – I : , where the first section concludes
with either a V chord in the tonic key (HC) or a modulation to the dominant (PAC). The most
common tonal arch in minor keys revolves around the relative major and may be represented
:
i – III : : III – i : .
• Continuous Binary Form (more common): The first part ends inconclusively, with a HC, tonicized
HC, or authentic cadence in any key other than the tonic, and relies on the second part to
complete the tonal arch.
• Sectional Binary Form (less common): The first part ends conclusively with an authentic cadence in
the original tonic key.

Motivic Content
• Simple Binary Form (AB): The developmental B section begins with motives derived from the A
section. The opening melodic material does not return in the second part.
• Rounded Binary Form (ABA'): The B section begins with motives derived from the A section. The
opening melodic material returns near the end of the second part. The motivic division between
the beginning of the B section and the return of the opening material (A', or “A prime”) at a high
formal level prevents combination of these phrases into periodic structure. Often, the B section
opens with an independent phrase or phrase group, while A' contains a separate independent
phrase or period.

Typical Binary Forms

Continuous Rounded Binary (common)


Section A B (dependent) A'
Key (major) I – V (V) – V I – I
Key (minor) i – III (III) – V i – i
Inconclusive cadence HC PAC
(HC, or PAC in new key)

Sectional Rounded Binary (less common)


Section A B (dependent) A'
Key (major) I – I (V) – V I – I
Key (minor) i – i (III) – V i – i
Conclusive cadence HC PAC
(PAC in original key)
38
Mozart, Sonata in A, K331, I (mm. 1–18)
Complete the harmonic analysis of mm. 1–18 of Mozart’s Sonata in A (1778). Check the analysis provided
in mm. 1–4. Is anything incorrect or missing? Identify all non-chord tones. Where do the seventh and
leading tone in m. 2 resolve? How do the submediant and dominant chords in m. 3 function in relation to
each other? Complete a melodic analysis and identify the step-progressions in mm. 1–8.

### 6 œ. œ œ œ œ œ œ œj œ œ œ œœ œ œœ œœj œ. œ œ œ œ
œ. œ œ œ œ . œ œ œ Jœ
Andante grazioso

& 8 J J J
p j j j j j Jj SJ p J j j j j
œ œ œ œœ œœ œ œ œœ œœ œ œ œ œ œ œ œ œ œœ œœ œ œ œœ œœ
#
? # # 68 œ. œ J œ. œ œ J œ Jœ œ Jœ œ œ œ . œ. œ J œ.œ œ J
J
— 6 — 4
A: I V6 3 vi V6 I ii6 V
HC

### j j œ œ œ œ œ œ
œœ . œ œ œ œ œ œ œ . œ œ œ. œ œ . œ œj
œ œ œ . .
œ Jœ œœ œœ œœœœ œœ ‰ . . .
7

& J œ œœ œ
j œ J
œ œ œœ S p œ œ œ œ œ œ œœ œ œ œ œ Sœ Sœ
œ œ
Sœ # œ œ .
œ œ œ.
# œ
? # # œ J œ œ j ‰ .. .. ‰ ‰
J œ œ J

## œ œ j j j j œ œœ
œ œ . œ œ œ œ œ œ œ œœ œœœ œœœ œœ œœœ œœœ œœœ
& # œ. œ œœ œ œœ œ œ ‰ ..
13

J J œ œ
j j j j Jj S p
.
f Jœ
J
œ œ œ œœ œœ œ œ œœ œœ œ œ œ œ œ œ œœ
? ### œ . œ J œ . œ œ J œ Jœ œ œ œ œ œ œ œ œ ‰ ..
J jœ. œ œ œ J J
œ J

Using the table below, complete the instructions under “Analysis of Binary Form” on the next page. Why
should mm. 9–18 not be considered a period? (Refer to the opening of the chapter.)

Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)
Part A 1 1–4 A: HC Yes a
2

Part B

Complete the sentence: The form of mm. 1–18 is _________________, ______________ binary.
Justify your answer. {sectional or continuous} {simple or rounded}

39
Analysis of Binary Form
Completing a diagram that shows all the sections, phrases, keys and cadences, and motivic content is an
effective method of representing form. For each assignment, complete the following analytical steps:

1. Identify all cadences, phrases, and phrase structure in the first part (A Section). Complete the
following chart.
Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)

2. Identify all cadences, phrases, and phrase structure in the second part (B Section). Create a chart
with the following information.
Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)

3. Beside each table, bracket and label all structural units (independent phrase, period, modulating
period, double period, phrase group, etc.). Identify the phrase structure as symmetrical or
asymmetrical and as parallel or contrasting. Do any phrases or larger structural units exhibit
sentence structure?

4. Provide a complete identification of the binary form of the entire excerpt (sectional or continuous,
simple or rounded). Justify your answer.

5. Identify how motives in the B section develop those in the A section (if they do).

Composer Composition Measures Page(s)


a) J. S. Bach Menuet 1 Entire 81–82
b) Menuet 3 Entire 83
c) “Christ lag in Todesbanden” Entire 86
d) “Ermuntre dich” Entire 93
e) Sarabande from French Suite No. 6 (CD781) Entire 131–132
f) Menuet from French Suite No. 6 Entire 132
g) Aria from Goldberg Variations (CD257) Entire 133–134
h) G. F. Händel Suite No. 4 in D minor, Allemande Entire 160
i) Suite No. 4 in D minor, Courante Entire 161
j) Suite No. 4 in D minor, Gigue Entire 162
k) Haydn Piano Sonata, H. XVI: 37, Finale (CD3511, 3072) 1–20 192
l) 21–40 192–193
m) 61–80 193
n) Mozart Menuetto from Eine kleine Nachtmusik (CD303b) 1–16 226
o) Trio from Eine kleine Nachtmusik 17–36 227
p) Schubert Originaltänze, Op. 9, No. 3 Entire 309
q) Originaltänze, Op. 9. No. 23 Entire 309
r) Allegretto from Impromptu, Op. 142, No. 2 1–46 318–319
s) Schumann Album for the Young, “Soldier’s March” (CD2809) Entire 334
t) “Nordic Song” Entire 335

40
12. Ternary Form
A composition in ternary form divides into three independent parts (ABA). The first part (A) normally ends
with a conclusive cadence in the tonic key. Contrasting motives and tonality in the middle part (B) creates
independence from the A section. The middle part normally ends with a clear cadence, either an authentic
cadence in the secondary key or a half cadence in the original key, which prepares the return of section A.
The A section normally returns in entirety. The divisions may or may not be marked by repeat signs or
double bars.

Comparison of Binary and Ternary Forms


A Section: Very similar in binary and ternary forms. It may be as small as a single phrase but more often is
composed of a period, phrase group, or larger passage. In binary form, the A section typically ends
harmonically inconclusive (HC); in ternary form, it typically ends harmonically conclusive (IAC or
PAC in the original key). This section may also be called the exposition, since it presents the main
thematic ideas.
B Section: In binary form, the B section is stylistically similar to and dependent on A (developmental) and
may remain in the original key. In ternary form, however, the B section is stylistically contrasting
to and independent of the A section, often introducing new motives in a new key. A tonal arch is
intrinsic to both forms. This section may be called the developmental section in binary form, since it
develops ideas from the first section, or may be called the contrasting section in ternary form, since
it presents contrasting thematic ideas.
A (or A') Section: In rounded binary form, the return of A material at the end of the second part is often
abbreviated. In ternary form, the A section more often returns in entirety, with or without
modification. In either form, this section may be called the recapitulation, since it marks the return
of the main thematic ideas presented in the exposition.

Whereas the sections of binary form are usually asymmetrical (the second section is often longer than the
first), the sections of ternary form are typically similar in length.

Typical Ternary Forms


Compare the following to the Typical Binary Forms chart in the previous chapter. Focus on the harmonic
conclusion of the A section and the motivic material of the B section.

Sectional Ternary (common)


Section A B (independent) A
Key (major) I – I (?) – (?) I – I
Key (minor) i – i (?) – (?) i – i
Conclusive cadence PAC
(PAC in original key)

Continuous Ternary (uncommon)


Section A B (independent) A
Key (major) I – V (?) – (?) I – I
Key (minor) i – III (?) – (?) i – i
Inconclusive cadence PAC
(HC in original key
or PAC in new key)

41
Schumann, “A Little Folk Song” [Volksliedchen], Album for the Young, op. 68, no. 9 (1848)

Complete the harmonic analysis below. Identify all non-chord tones and cadences. The second chord in
m. 8 (and in m. 24) has an unusual pitch. Give two explanations for that pitch and decide which you think
is more appropriate. Complete the instructions under “Analysis of Ternary Form” at the end of the chapter.

d: i V6 i iv6 V

42
Composite Ternary Form
If the A section or B section exhibits its own internal binary or (less common) ternary form, then the form
of the work is composite. A work in composite ternary form normally contains an A section and a B section
that are each in simple or rounded binary form (more than simply a period).21 The Minuet and Trio
combination is a common example and forms the third movement of many Classical works, particularly in
symphonies and string quartets. It is a short movement derived from dance forms with an indication for the
first dance to be performed again at the completion of the second dance (“da capo”). This yields a
performance: minuet (A), trio (B), and then minuet again (A), each with their own smaller forms. Da capo
arias are similar.

Formal Expansions
Additional passages or formal sections may serve to expand and support main sections of a composition.
Formal expansions range from a single phrase to many phrases. Large expansions tend to contain motivic
references to the main sections, while small expansions may prolong a single harmony.

• Introduction: A section that precedes the initial A section. Recall than an anacrusis is a brief
passage, normally an upbeat, which precedes a section or a phrase (see Chapter 7). Introductions
are anacruses elongated to phrase length (or longer) at the beginning of the composition. They
often forecast motives used in the subsequent main sections and conclude with a clear cadence (a
half cadence provides dominant preparation for the opening of the A section).
• Transition: A passage or section that connects two larger sections and often ends with dominant
preparation (HC). Transitions typically include a modulation to a new key (from A to B) or a
return to the original key (returning from B to A), in which case the term retransition is preferred.
Transitions function like links at the formal level.
• Codetta: A brief passage that extends and concludes a section of a composition. Codettas are
cadential extensions at the end of sections and contain little more than cadential harmonies (V and
I) and motivic fragments.
• Coda: A section that extends the end of a composition. A coda normally follows a clear cadence or an
elided cadence and contains more motivic characteristics than a codetta. A final section of a
composition may contain a codetta that extends the section, or it may be followed by a separate
coda that extends the whole work, or both. Codas tend to contain complete phrases and recall
motives from earlier sections.

Placement of Formal Expansions (in Ternary Form)

Section A B A Coda
Intro. Trans. Retrans. Codetta
I → V/? ? → V
HC HC
OR OR
Codetta Codetta
Harmony I → V I → I I → I ? → ? ? → ? I → I I → I ? → I
HC PAC PAC PAC PAC PAC PAC PAC

21
Composite binary form is rare.
43
Analysis of Ternary Form

1. Identify all cadences, phrases, and phrase structure in the first part (A Section). Create a chart with the
following information:
Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)

2. Identify all cadences, phrases, and phrase structure in the second part (B Section). Create a chart with
the following information:
Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.

3. Identify all cadences, phrases, and phrase structure in the last part (A Section, reprise). Note any
significant changes from the first part. Create a chart with the following information:
Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)

4. Beside each table, bracket and label all structural units (independent phrase, period, modulating period,
double period, or phrase group). Identify the phrase structure as symmetrical or asymmetrical and as
parallel or contrasting. Do any phrases or larger structural units exhibit sentence structure?

5. Is the ternary form sectional or continuous? Justify your answer.

6. Is there a relatively high degree of contrast between the A and B sections? Explain.

7. Do any individual sections exhibit a small form themselves and make the form composite? Explain.

8. Identify and give the measure numbers of any formal expansions (anacrusis, introduction,
transition/retransition, codetta, or coda).

Composer Composition Measures Page(s)


a) Mozart Die Entführung aus dem Serail, Act I, No. 5 Entire 228–232
b) Eine kleine Nachtmusik, III (CD303B) Entire 226–227
c) Beethoven Piano Sonata, Op. 7, III (CD956a) Entire 255–258
d) Piano Sonata, Op. 26, III Entire 266–268
e) Schubert “Die Liebe hat gelogen” Entire 310–311
f) Impromptu, Op. 142, No. 2 Entire 318–321
g) Schumann “Valse Noble” from Carnaval, Op. 9 (CD1596) Entire 322
h) “An Important Event” from Kinderscenen Entire 324–325
i) Chopin Valse, Op. 69, No. 2 (CD1682) Entire 336–339
j) Mazurka, Op. 17, No. 2 (CD823) Entire 343–345
k) Mazurka, Op. 17, No. 4 Entire 346–348
l) Prelude, Op. 28, No. 21 (CD1610) Entire 352–354
m) Brahms Ballade, Op. 118, No. 3 (CD3114) Entire 376–381

44
13. Sequential Patterns
Counterpoint, the interaction among independent lines, may produce music whose organization is more
melodic (linear) than harmonic (vertical). Roman-numeral analysis is often inadequate for describing linear
structure of contrapuntal passages. The following terms may be used to describe such structure.

• Melodic Sequence: A motive or passage (called a “leg”) that is transposed and repeated in one voice.
Sequencing is a powerful compositional tool that provides unity (motivic repetition) and contrast
(transposition) simultaneously. Since excessive repetition creates redundancy, most sequences have no
more than three statements (legs).
• Polyphonic Sequence: A polyphonic passage (more than one voice) that is transposed and repeated.
When analyzing polyphonic sequences, bracket each leg and identify the pitch-level change (interval of
transposition) and the time delay (in beats or measures). For example, labeling a sequential leg as “↑2, 2
beats” indicates a transposition up a second (the interval quality, major or minor, need not be identified)
and two beats in length. In the example below, notice that the lower voice of the third leg of the
sequence is altered. The last leg of a sequence is often altered slightly to prepare a cadence. When
analyzing polyphonic sequences, identify any such alterations.

J. S. Bach, Italian Concerto, I (mm. 60–65)


Œ œ
Poly. Seq.
œ
(↓2, 1 m.)
œ
(↓2, 1 m.)
m
œœœœ ≈œ# œ œ œ œ# œn œ œ n œ œn œ œ œ b œ
60

&b œ œ œ Œ ≈
≈ R ≈‰
j 10 œ œ 10 œ œ
œ ‰ ≈ bœ œ œ œ œœœ œ œ œ œ œ œ œ œ# œ œ œ
œ œ #œ œœœœ œ
10 (10)
?b œ J
J
• Linear Intervallic Pattern: A pattern of recurring intervals formed between structural tones in the
structural outer voices—the bass and main melodic voice, which is not always the highest note. In the
example above, a “10–10–10” linear intervallic pattern results when the structural tones of the outer
voices form a tenth and move by step in parallel motion. Intervallic patterns often outline polyphonic
sequences and appear in stepwise motion. By convention, intervals are reduced to a 10th or smaller.

A rhythmic reduction of the sequence is shown below. Notice how, compared to the melodic analysis
(scale degrees and intervals), the Roman-numeral analysis is inadequate due to lack of harmonic
progression.22 Identification of step-wise, linear connections reveals coherence of passages that exhibit
little or no harmonic progression. In the example, how do III6 and ii°6 function, if not harmonically?

J. S. Bach, Italian Concerto, I (mm. 60–65), Reduction


d: 8̂ 7̂ 6̂ 5̂

& b c ˙˙ ˙˙ ˙˙ ˙˙ ˙
˙
˙
˙
( )

?b c ˙ ˙ ˙
( )
˙ ( ˙) ˙
10 10 10 (10)

Bf: I vi6 III6 ii°6 i6


IAC d: iv6

22
The descending succession (↓2) is harmonically weak. In addition, the reduction reveals parallel fifths (!) in the upper two
voices. How does Bach disguise this parallelism in the music? For more on the linear intervallic pattern, see Allen Forte and
Steven Gilbert, Introduction to Schenkerian Analysis (New York: W. W. Norton, 1982): 83–102 (MT6.F642I6).
45
Provide a complete harmonic analysis of the following, and identify the polyphonic sequence.
Mozart, Piano Sonata in Bf , K. 333, I (mm. 142–50)

Two reductions for this passage are offered below. Reduction 1 follows the highest and most accented
notes in the right hand. By including both the first and last interval of each sequential leg, the analysis
separates what would otherwise be parallel 5ths by 10ths to create a repeating “5–10” pattern. Reduction 2
follows the stepwise descent from m. 142 to reveal a repeating “6–5” pattern. Either analysis is justified,
though the intervals in 2 are more typical in counterpoint. Play through them: which do you prefer?

Mozart, Piano Sonata in Bf , K. 333, I (mm. 142–50), Rhythmic Reductions (Outer Voices)

Poly. Seq. (↓2, 1 m.) (↓2, 1 m.)

1.
Intervals: °

Poly. Seq. (↓2, 1 m.) (↓2, 1 m.)

2.
Intervals:

Analysis of Polyphonic Sequences


Using the excerpts above as examples, identify all polyphonic sequences in the excerpts below. Note any
deviations in the sequence. Then, at the beginning (and end if appropriate) of each sequential leg, label the
interval formed between the structural tones of the outer voices to reveal a linear intervallic pattern.
Finally, using those intervals, write a rhythmic reduction of the outer two voices (as above).

Composer Composition Measures Page(s)


a) J. S. Bach Invention No. 1 (CD777) Entire 101
b) Invention No. 6 Entire 102–103
c) Invention No. 9 Entire 103–104
d) Invention No. 13 Entire 105
e) Brandenburg Concerto No. 2, III (Pic. Tpt. in F) 33–57, 80–107 109–113
f) Prelude No. 1 (CD199) 1–19 116–117
g) Fugue No. 21 (CD199) 19–21, 30–32 125
h) Variation 1 from Goldberg Variations 1–16 134–35
i) Händel Allemande from Pièces pour le Clavecin 4–5, 12–13 160
j) Beethoven Piano Sonata, Op. 53, I (CD144, CD2340) 1–8 270
k) Symphony No. 7 (CD2737) 11–26 292
l) Schubert Originaltänze, Op. 9, No. 3 1–4, 9–12 309
m) Schumann “Valse noble,” from Carnaval, Op. 9 9–14 322
n) Brahms Ballade, Op. 118, No. 3 (CD3114) 6–10 376
46
14. Invertible Counterpoint
Contrapuntal lines often imitate each other to create coherence. If the upper voice states material previously
stated in the lower voice while the lower voice states material previously stated in the upper voice,
invertible counterpoint results (not to be confused with motivic inversion).

• Invertible (Double) Counterpoint: The exchange of material between voices in a contrapuntal texture;
material in a higher voice is stated in a lower voice and vice versa. Invertible counterpoint provides
unity (same material) and contrast (different relationship) simultaneously. In the following example,
notice how every interval formed in a is inverted in b (except the last interval).

J. S. Bach, Fugue 17 in Af major, WTCII (mm. 2–4 and 24–26)

œ œ œ œ œœ œ œ œ n œœ œ œœ
bb b b ‰ œ œœ n œœ œ œb œ œ œœ œ œ b œœ
(mm. 2–4)

& œ J
ΠJ
Motive A
Motive B
Invertible 3 3 6 3 6 7 2 3

j
b b b Œ ( œ ) œœ œ n œ œ œb œœ j œ
counterpoint

œœ œ œ œ œ œ œ œ œœ
œ
(mm. 24–26)

b n œ œ œ b œœ
at the octave
& œ
‰ œ œ
Motive B
Motive A

6 6 3 6 3 2 7 5!

• Interval of inversion: The sum of the intervals formed in invertible counterpoint. To determine the
interval of inversion, locate a harmonic interval in the original passage and the corresponding interval
in the inverted passage and add the two intervals. In the example above, the first interval of a and the
first interval of b sum to an octave: 3rd + 6th = 8ve (remember to subtract 1 from the sum of the integers).
In the example above, the last interval changes (m. 26), and therefore does not provide a reliable source
for finding the interval of inversion. Do the other intervals sum to an octave?

The vast majority of invertible counterpoint occurs at the 8ve (the 15th may be reduced to one octave).
Some, however, involve different transpositions in each voice, which alters the original relationship.
Verify the various intervals of inversion in the counterpoint below, and note how some unusual
intervals result between voices. Examples 2 and 4 are altered slightly at the end, but, as with sequences,
this does not nullify the contrapuntal technique.
Original Ex. 1 Ex. 2 Ex. 3 Ex. 4

œœ œ œ œ œœœœœ œœœœ
œ œ œ œœœœœ œœœœœ œ
& œœœœ œ œ œœœ
œ
œ œœœ œ
œ
œ œœ œ œ œ œ œœœœ œ
œ
Inv. Ctpt. at the 8ve … at the 5th … at the 7th … at the 10th
(most common) (uncommon) (very rare) (rare)

While counterpoint favors consonant 6ths and 3rds (or 10ths) between voices, those intervals rarely form
the interval of inversion. The difficulty of composing invertible counterpoint increases when an
imperfect consonant interval (3rd or 6th) becomes either a perfect consonant interval (unison, 5th, or 8ve)
or a dissonant interval (2nd, 4th, or 7th). For example, under invertible counterpoint at the 10th, parallel
3rds and 6ths become parallel 8ves and 5ths, respectively! (Recall that 3rd + 8ve = 10th and 6th + 5th = 10th.)
Can you determine why invertible counterpoint at the 6th is so rare?

47
Analysis of Invertible Counterpoint
For each excerpt, identify all occurrences of invertible counterpoint and give the interval of inversion.

Composer Composition Measures Page(s)

a) J. S. Bach Invention No. 1 (CD777) 1–19 101


b) Invention No. 6 Entire 102–103
c) Invention No. 9 Entire 103
d) Brandenburg Concerto No. 2, III 21–30 108
e) Fugue 11 from WTC I (CD199) 1–13 120

48
15. Composing Counterpoint
Skillful counterpoint contains two or more melodic lines, in which each line asserts its own integrity and
independence while complementing and balancing the other. Common-Practice procedures are retained:
avoid parallel 5ths or 8ves, resolve leading tones up, resolve chordal sevenths down, etc. Successful
counterpoint reconciles harmonic (vertical) with melodic (linear) dimensions of music. This chapter
provides only an introduction to counterpoint. Mastering the technique takes potentially years of study.

Harmonic and Melodic Considerations


1. Determine the harmonic implications of the given melody with emphasis on simple I–IV–V
progressions (Tonic–Predominant–Dominant). Create a slow, regular harmonic rhythm. Identify
any non-chord tones.
2. Counterpoint may begin or end with an 8ve or 5th between outer voices, but 3rds (10ths) and 6ths
predominate internally. Begin with root-position tonic harmony (to form a 3rd, 5th, 8ve, or 10th) and
compose a clear cadence (HC, IAC, or PAC). A brief rest at the beginning can be quite effective.
3. On each beat in the second voice, place tones that agree with the harmonic outline. Use
predominantly contrary motion. Avoid second-inversion triads except in appropriate situations.
4. Complete the second voice by filling in the beats with rhythmic and melodic patterns that imitate or
complement the original voice. For example, if one voice has short durations ( œ œ œ œ ), place longer
durations in the counterpoint ( œ œ ); if one voice ascends, aim to have the counterpoint descend.
Longer durations may be used at the cadence. Use no more than three consecutive iterations of an
interval (10-10-10 or 6-6-6). Avoid repetitions or “dead spots” where voices are rhythmically
inactive. Avoid introducing new rhythmic motives (triplets, sixteenths, etc.), if they are not used
in the given voice.
5. Check every harmonic interval. Any 2nd, 4th, 7th, or 9th must be an appropriate non-chord tone or
member of an arpeggiating seventh-chord. Try to use only non-chord tones that are completely
step-wise (P, N, and Sus). Avoid improper use of sensitive intervals (+2, +4, and °5) melodically
and harmonically and all parallel 5ths, 8ves, and unisons.

Play through the following excerpt. Analyze the harmony below and interval (numeric value only) above
each half beat (every eighth-note). If the beat begins with a dissonance (2nd, 4th, 7th, or 9th), identify how the
dissonant interval resolves and how it is used by type of non-chord tone or chordal seventh. Beat two
below, for example, begins with a passing tone (P) that forms a seventh (dissonant) resolving down to a
sixth (consonant).

j
Intervals: 10 7-6 ___ __ ___ __ ___ __ __ __ __ __ __ __ ___ __

‰ œ œ œ œ œ #œ œ œ œ
‰ œ œ œœœœ œ ‰ œ œ œ œœœœ
P

c ‰ œ œ œ œœœœœ œ
& œ ‰ œ œ œ œ œ ‰ œ œ œœœœ œ œ œ œ œ œ ‰ œ
J œ œ œ J‰ J œœœ œ
J
— 6 4 4 6 7 —6
C: I V 2— 3 — 5 —
5

Identify at least three problems with the bass counterpoint, and offer a solution for each. Look for voice-
leading errors as well as static, “dead” spots. What is good about the bass counterpoint? Is every dissonant
interval justified?

49
Compose counterpoint below using the guidelines listed above. Provide a complete harmonic analysis
below the staff. Between the staves, label all intervals formed between voices (quantity only). Justify all
dissonant intervals (2nd, 4th, 7th, 9th). Conclude with a perfect authentic cadence.

b
& b 42 ‰ œ # œ œ œ œ œ œ œ œ œ œ œ œ #œ ˙

? b b 42
a)

g:

# 6 œ œ œ. œ
& # 8 œ. œ œ J œ #œ j
œ œ. nœ œ œ œ #œ ˙.
b)

? # # 68
b:

œœ œ
& b c œ . J œ œ œ œ . Jœ œ œ œ œ œ œ œ œ œ œ œ w
? c
c)

b
F:

bb b 3 ‰ œ œ œ œ œ n œ œ œ œ œ œ œ œ œ œ n œ œ œ œ œ œ ˙ .
& 4 œ
d)

? b 43
bb
c:

50
Composing a Polyphonic Sequence

1. Compose the motive in the first voice (if not given).


2. Complete the first leg of the sequence by composing counterpoint in the second voice (see
guidelines above). Since linear intervallic patterns involve parallel intervals, begin your sequence
with a 6th or 10th. 5ths and 8ves require special attention (see the Mozart example on p. 59). Try to
balance the first voice by using opposing rhythms and contrary melodic motion.
3. Decide whether your sequence will ascend or descend. Many sequences descend by step, but others
are possible. Compose subsequent legs of the polyphonic sequence by transposing the entire first
leg either up or down at the determined pitch level (normally a step).

Compose polyphonic sequences using the motives below. The completed exercise should contain three legs
(mm. 1–3). The end of the final leg may vary slightly to allow a cadence. Between the staves, label each
interval formed and justify the use of each dissonant interval. Identify the cadence type.

# 2œ œ œ œ
a)
& 4 œ
?# 2
4
G:

### 6
b) & 8 œ . œ œ œ œj
? ### 6
8
A:

bbb c j
c)
b œ
& b œ. œ œ
? bb b c
bb
Df:

b
d)
& b b 43 œ . œj œ œ
? b b 43
b
c:

51
16. Fugue
A fugue is a polyphonic work that presents a subject (melodic theme) in one voice followed by systematic
repetition and variation of that subject in other voices. Its three main stages, Exposition, Developmental
Section, and Final Section, may make the fugue appear ternary in form. However, the opening section may
end with an authentic or half cadence, there is no significant thematic contrast in the middle developmental
section, which often subdivides into several subsections, and the final section is often quite brief. Thus,
fugues have no standard form; they are continuous, potentially complex, contrapuntal procedures. Bach is
the quintessential composer of fugues. Most of his fugues in The Well-Tempered Clavier (two books,
completed in 1722 and 1742) have three voices, often soprano, alto, and tenor.

Exposition
The fugal exposition is the opening section in which each voice states the subject material in succession.
The exposition ends once each voice has stated a subject or answer, though some fugues have expanded
expositions, which include additional statements of a subject or answer (see below).
• Subject (S): the opening theme that provides the distinctive, unifying motivic material of the fugue.
The subject often divides into head and tail motives (a and b, or α and β). Bach’s subjects often end
on 3̂ on a strong beat just before the entrance of the answer. A brief melodic link may connect the end
of the subject to the beginning of the countersubject (or free counterpoint) in the first voice. A link is
used when the subject ends a beat or two before the answer begins and may be based on motivic
fragments from the subject. Not all fugues have links.
• Answer: The immediate imitation of the subject transposed into the dominant key (up P5 or down P4)
in a second voice. An exact transposition creates a real answer (RA); others, in which one or more
intervals are modified, are tonal answers (TA). Tonal answers are used when the subject emphasizes
the dominant pitch (5̂) either at the beginning, by leap in the middle, or by modulation at the end. A
tonal answer is created by replacing what would have been 2̂ (a P5 above the subject’s dominant
pitch) with 1̂. This prevents the answer from modulating too early or too strongly (see example on the
next page) and allows for more harmonic agreement with the end of the subject.
• Countersubject (CS) and Second Countersubject (CS2): Reappearing counterpoint accompanying
all or nearly all subjects and answers. A CS initially appears in the first voice following the subject. It
is composed in invertible counterpoint to the answer so that it may appear above or below the subject
or answer in subsequent passages. When the subject enters in the third voice, a second countersubject
(CS2) may appear in the first voice. If a CS2 exists, it will reappear consistently opposite all or nearly
all CS1s. Not all fugues have countersubjects. Counterpoint that does not reappear consistently is
called free counterpoint.
• Bridge: A brief, polyphonic passage within the exposition that connects the end of the answer (second
voice) to the beginning of the subject in the third voice. Following the answer’s dominant statement, a
bridge prepares the return of the subject in the tonic key. The bridge normally uses motivic fragments
of the subject and often contains a polyphonic sequence.
Sample Three-Voice Fugue Exposition (common but not standard)
Voice 1 (S): Subject Countersubject 1 (or free) CS2 or free End of
(Link) Bridge
Voice 2 (A): Answer, Real or Tonal (↓P4) CS1 or free Exposition

Voice 3 (T): Subject (↓P5) (Episode…)


(PAC, IAC, or HC)
52
J. S. Bach, Contrapunctus 4, from The Art of Fugue (BWV 1080), mm. 1–38 (CD2830)

Study the exposition of the four-voice fugue below (mm. 1–18). Why does Bach use a tonal answer, and
how is the answer altered? What evidence supports the presence of a countersubject beginning in m. 5?
Compare mm. 5–6 with mm. 11–12. Should the upper voice in m. 5 be labeled “free counterpoint” and not
a countersubject? How is the bridge sequential? How is the first episode sequential? The Developmental
Section begins with the entrance of the first middle entry. Bracket and label the first middle entry (ME), and
identify its key.

Exposition
Subject Link Countersubject (?) Bridge

Tonal Answer 3 6

Poly. Seq. (↑3, 1 m.) (Free Counterpoint, not CS2)

CS (?)
3 6 3 6 3

Subject (Link)
End of Exposition
|| Episode 1

CS

Tonal Answer d: HC

53
Expanded Expositions and Counter-Expositions
An expanded exposition results when a subject (tonic key) or answer (dominant key) occurs immediately
after the last statement in the exposition (or after a brief episode). If all voices of the fugue restate the
subject or answer in the tonic or dominant (normally in a different order), the expansion is called a counter-
exposition.23

Episodes
An episode is any polyphonic passage in which no complete statement of subject is present. Serving as
transitions between entries, episodes often contain sequences, modulations, or fragments of the subject or
countersubject. Episodes may be any length and appear most frequently in the middle section.

Developmental Section
The developmental section, or middle section, of a fugue often follows the first episode and begins with a
restatement of the subject material, or middle entry. This section is characterized by restatements of subject
material in varying keys and episodes.
• Middle Entry (ME): complete subject that appears in any key other than tonic or dominant. Any
complete statement in the tonic key in the Developmental Section may be labeled simply S; any in
the dominant is TA or RA, depending on the opening intervals.
• Incomplete Entry (False Entry): incomplete subject material. A clear statement of the subject material
begins and gives the listener the impression that it will be a complete statement, but then it yields
immediately to a new, complete statement in a different voice.

Recapitulation
The recapitulation, or final section, begins with a return of the subject (S, in the tonic key), often after a
substantial episode. The recapitulation contains no middle entries and may be quite short. It may be
followed by a codetta, a cadential extension at the end of the section, or a more substantial coda, which
may contain an additional statement of the subject following a clear cadence.

Developmental Devices
The following developmental devices may be used in any portion of the fugue, but they normally occur late
in the fugue to increase musical tension:
• Stretto: overlapping complete subject entries. One statement begins before a previous complete
statement finishes. Passages with stretto often omit countersubjects.
• Alteration of the subject: ornamentation, inversion, rhythmic augmentation, or other means of motivic
variation
• Added voices: often in parallel 3rds or 6ths near the end to thicken the texture.
• Cadenza: improvisatory or fantasia-like passage, often over a dissonant harmony; a bravura.
• Silence: dramatic pauses, especially following a dissonant chord
• Pedal points: tonic or dominant, most commonly found at the end to intensify and prolong the cadence
• Subdominant Recapitulation: A final section in which the subject is stated first in the subdominant
key (IV) followed by an answer that is in the tonic key (I). This IV-to-I relationship (up a fifth)
parallels that of the opening of the fugue (I-to-V) but concludes with tonic harmony.

23
If the order of voice entrances is the same as in the first exposition, the term re-exposition is often preferred.
54
Related Terms
• Double Fugue: fugue with two different subjects separated first, then simultaneous (see “Kyrie
eleison” from Mozart’s Requiem)
• Fugato: fugue-like passage within a larger composition (see Beethoven’s Seventh Symphony, II)
• Fughetta: complete fugue within a larger work, or a small fugue (see Variation 10 in Bach’s Goldberg
Variations)
• Accompanied Fugue: fugue with accompaniment throughout
• Invertible counterpoint may be called double counterpoint when two lines are inverted from a
previous section; inversion of three lines creates triple counterpoint (found in fugues with a second
countersubject).

Analysis of Fugue

For each composition or excerpt, complete the following exercises on the score.
1. Bracket and label all complete statements of the subject (S) and answer (TA for tonal answer or RA for
real answer). If applicable, label any link or bridge.
2. If applicable, label any countersubject (CS) or second countersubject (CS2). Otherwise, label the
counterpoint “free” where they would normally appear first.
3. At the end of the exposition, draw a double bar through the score and write “End of Expo.” Beneath the
score, identify the key and cadence.
4. If applicable, label the expanded exposition or counter-exposition.
5. Label the beginning of the Middle Section and the Final Section.
6. Label the beginning of any episodes (Ep. 1, Ep. 2, etc.) and middle entries (ME). Identify the key at the
beginning of each middle entry.
7. Locate an example of a polyphonic sequence. Bracket and label the legs (e.g., “↑2, 1 m.”). At the
beginning of each leg, label the interval formed between the structural outer voices (highest and
lowest).
8. Locate an example of invertible counterpoint and identify the interval of inversion (e.g., “Measures 12–
13 form invertible counterpoint at the 8ve with mm. 5–6”).
9. If applicable, label any contrapuntal or development devices (stretto, pedal, added voices, etc.). If
applicable, label the beginning of the coda or codetta.

Composer Composition Pages

a) J. S. Bach Fugue 1 in C, WTC I (CD199) 118–120


b) Fugue 11 in F, WTC I (CD199) 120–122
c) Fugue 16 in G minor, WTC I (CD199) 122–124
d) Fugue 21 in Bf, WTC I (CD199) 124–126
e) Fugue 22 in Bf minor, WTC I (CD199) 129–131
f) Beethoven Symphony No. 7, II (mm. 183–199) 300–301
g) Hindemith Fugue 5 in E from Ludus Tonalis 504–507

55
17. Sonata Form
Sonata form is one of the most important forms in instrumental music. Most sonatas (a genre that is
independent of the form, despite the name), symphonies, string quartets, and chamber works in the
Classical Period open with a first movement in sonata form, often Allegro in tempo. Many fourth
movements are also in sonata form. As sonata form presents an expansion of continuous rounded binary
form (review Ch. 10), its manifestation of clearly conflicting tonalities yields potential for heightened
drama. The secondary tonal area in the exposition tends to be more clearly defined than in most rounded
binary A sections. This tonal struggle, the essence of sonata form, is normally paralleled thematically.

Rounded Binary Form A B A'


Key Structure :
I (i) V (III) : :
V (III) I (i) :

Sonata Form Exposition Development Recapitulation


Key Structure :
I (i) V (III) : :
Various I (i) :

Sonata Form Model


A more specific diagram of sonata form follows. The Key rows show the normal harmonic relation to the
original tonic. Deviations from this model are common, however, especially beginning with Beethoven.

Exposition Development Recapitulation


Section Theme 1 Trans Theme 2 Closing (Various) Theme 1 Trans Theme 2 Closing
Key (major) I → V V (Various) I → I I
Key (minor) i → III III (Various) i → i i
Cadence PAC? HC PAC? PAC HC PAC? HC PAC? PAC

Exposition (A)
• Theme 1 establishes the movement’s primary tonal area (tonality) and presents the primary motivic
material. It is often relatively short and simple, though it may include a cadential extension before
the beginning of the Transition. It may also include several different motives, especially in Mozart
(“theme group”). Theme 1 tends to have regular phrase length and ends with a relatively clear
cadence, either a PAC or HC in the tonic key. Imperfect authentic cadences rarely define sections.
• Transition prepares the secondary tonal area. Harmonic instability, irregular phrase lengths, scalar
passages, and sequences are common. Transitions may develop motives from Theme 1 or may
present new “transitional” motives (common in Mozart). The transition normally ends with a HC,
either in the original key or, more often, in the secondary key after a modulation.24
• Theme 2 presents the secondary key and motives, which serve to contrast those found in Theme 1. The
contrasting key is normally the dominant (V) in major or the mediant (III) in minor. The minor
dominant (v) in minor is also common. While the second theme is not always melodically different
from the first theme, it is always in a contrasting key.25 This is the essence of sonata form, and for
this reason, musicians often prefer the term second tonal area to Theme 2. If Theme 2 contrasts
motivically, it tends to be lighter than Theme 1. Theme 2 ends with a clear cadence (normally a
PAC) in the contrasting key; this cadence may overlap with the beginning of the Closing Section.

24
Concertos normally employ a “double exposition,” in which the whole exposition is presented by the orchestra, often entirely
in the tonic key, and then restated by the soloist with orchestral accompaniment, with the modulation for Theme 2.
25
“Monothematic” sonata form contains themes that differ in key only. Haydn composed several examples. Despite the
similarity in motives, musicians still use the terms Theme 1 and Theme 2 in such cases, though the key is most important.
56
• Closing Section serves to bring the exposition to a close. This section often: (1) contains contrapuntal or
transitional passages, (2) contains a distinct closing theme, and (3) concludes with a brief codetta,
which further reinforces harmonic stability in the secondary key. Closing sections that employ all
three of these features are often longer than Theme 2. If there is a closing theme, it normally has
motivic basis in previously stated material (either Theme 1 or Theme 2). The concluding codetta
tends to be tonally clear and to consist of simple cadential patterns (e.g., I–IV–V7–I) in the
secondary key. This emphasis on the contrasting key allows the repeat of the exposition (return to
Theme 1 in the tonic key) to intensify the conflict between the two tonal areas.

Development (B)
The development section has no standard design but typically divides into two or more subsections. The
first part develops themes or motives from the exposition, often in a context of tonal instability, which is
created by frequent harmonic shifts or modulations (fast harmonic rhythm). The final passage of the
development section prepares the return of Theme 1, typically by emphasizing the dominant (dominant
preparation) and concluding with a half cadence in the original key. The form of a movement that has an
exposition and recapitulation but little or no development at all is called sonatina.

Recapitulation (A')
The recapitulation serves to reconcile the contrasting tonal areas of the exposition by presenting themes in
the tonic key. Organization of the recapitulation is normally the same as that of the exposition—Theme 1,
Transition, Theme 2, and Closing Section—though embellishments or other alterations are common. The
return of Theme 2 and the Closing Section in the tonic key resolves the tonal conflict of the movement. If
the transition modulated in the exposition, it is altered to end with a half cadence in the original key to
prepare the return of Theme 2 in the tonic key. In addition to presenting Theme 2 in the tonic, the
recapitulation may contain some of the following structural differences from the exposition:
• Abbreviation of sections: often Theme 1, since its motives and tonality were clear in the Exposition
• Subdominant emphasis: often Theme 1 or Trans., allows a move ↑P5 back to the tonic for Theme 2
(See “subdominant recapitulation” in the chapter on fugue.)
• Expansion of sections: often the Transition, both to allow preparation of the tonic key and maintain a
sense of tonal motion leading to Theme 2
• New material may be inserted in the Recapitulation, often brief and in the Transition
• Elimination or reordering of sections, often of Transition or closing material, to create variety

Formal Expansions
Introduction
An introductory section may precede the exposition and often possesses the following characteristics:
• Slow tempo, to contrast with the allegro tempo of the rest of the movement
• Same key as Theme 1 (tonic), sometimes opposite mode (e.g., C minor in a C major piece)
• Thematic similarities with material in the exposition (often motivic foreshadowing)
• Series of phrases which constitute a phrase group (periodic regularity is uncommon)
• Dominant preparation for the exposition (concludes with a half cadence)

Coda or Codetta
A cadential extension at the end of any section is a codetta. A codetta contains little more than cadential
harmonies (V and I) and motivic fragments. A new, more independent section at the end of the composition
(following the recapitulation) is a coda. Codas tend to contain complete phrases, recall material from the
exposition, and often act like a second development section, especially in Beethoven. As a concluding
section, the coda tends to be harmonically more stable than the development, though the beginning of the
coda may sound quite unstable. If the material at the end of the Recapitulation is basically the same as it is
at the end of the Exposition, it is not a coda but a codetta.
57
Mozart, Piano Sonata in G, K. 283, I (1774) CD317a
Study the formal analysis below. Complete the instructions under “Analysis of Sonata Form” at the end of
the chapter. Complete the harmonic analysis in m. 34, and label the sequence.

EXPOSITION
Theme 1 (mm. 1–16)

G: IAC

G: PAC

Transition (mm. 17–22)

G: PAC

G: HC
Theme 2 (mm. 23–30)

D: HC

58
D: HC
Closing Section (mm. 31–53)

D: I vii°/V V
___ ___ ___ ___ ___ ___

7
V D: PAC

[Closing Theme (mm. 45–51)]

D: PAC

D: PAC
Codetta (mm. 52–53)

(D: PAC) D: PAC

59
DEVELOPMENT

Dominant Preparation (mm. 62–71)

G: HC
RECAPITULATION
Theme 1 (mm. 72–83)

New material!

Transition (mm. 84–89)

D: HC

60
Theme 2 (mm. 90–98)

Closing Section (mm. 98–120)

[Closing Theme (mm. 112–118)]

Codetta (mm. 119–120)

G: PAC
NOTES:
1. The transition begins with the pickup to m. 17; use the first downbeat to mark the first measure of a section.
2. The brief development is unusual in that there is no clear connection to earlier themes. Dominant preparation
spans mm. 62–71 to prepare the return of Theme 1 in the recapitulation (m. 72).
3. An unexpected modulation to A minor in m. 76 alters Theme 1 in the recapitulation.
4. New motives appear in the recapitulation (mm. 80–82) and emphasize the subdominant tonal area.

61
Analysis of Sonata Form

For each composition listed below, complete the following on a separate sheet of paper. Try listening first
to the piece without the score to identify the sections.

1. Enter the measure numbers and beginning key of each section. For Harmonic Relation, enter the
harmonic relation each key has to the tonic of the composition (global functions).

Exposition Dev. Recapitulation


Section Theme 1 Trans. Theme 2 Closing Theme 1 Trans. Theme 2 Closing
Measures

Key (beg.)
Harmonic
Relation

2. Is the harmonic relation between Themes 1 and 2 “normal” for sonata form? If not, explain.

3. Chart the measures, keys, and cadences and describe the phrase structure of Theme 1 in the
Exposition. Explain any asymmetries.

4. Chart the measures, keys, and cadences and describe the phrase structure of Theme 2 in the
Exposition. Explain any asymmetries.

5. Chart the measures, keys, cadences, and motivic basis (Theme 1, Theme 2, or new motive?) of each
subsection within the Development.

6. Compare each section in the recapitulation with its corresponding section in the exposition. Explain
any differences in length, keys, motives, etc. Be specific.

7. Identify any codettas. If there is an introduction or a coda, list the measure numbers and describe
harmonic and motivic relationships with the rest of the work.

Composer Composition Pages

a) Haydn String Quartet in F minor, Op. 20, No. 5, H. III: 35, I 178–182
b) Piano Sonata in D, H. XVI: 37, I (CD3511c, 3072) 187–191
c) Mozart Piano Sonata in F, K. 332, I (CD317b) 214–219
d) Piano Sonata in F, K. 332, II 219–222
e) Eine kleine Nachtmusik, I (CD303B) 222–226
f) Beethoven Piano Sonata, Op. 10, No. 1, III (CD956a or CD3465a) 259–262*
g) Piano Sonata, Op. 53, “Waldstein,” I (CD144, CD2340) 270–282*
h) String Quartet, Op. 18, No. 1, I (CD352) 284–291*

*Provide harmonic analysis for:

f) mm. 1–8, 38–46, and 111–115


g) mm. 35–42, 235–239, 284–302
h) mm. 97–101

62
18. Rondo Form
Rondo form describes compositions containing multiple recurrences of a refrain (theme, or principal
section) in the tonic key. The refrain is normally a self-contained, harmonically complete passage. It begins
the rondo and alternates with at least two different contrasting sections (called episodes), thus the ternary
principle of statement-contrast-restatement is expanded in rondo form. Brief transitions, which lead from
the refrain to an episode, or retransitions, which lead from an episode back to the refrain, may connect the
sections.

Five-Part Rondo (Small Rondo)


A B A C A
Section
Refrain Episode 1 Refrain Episode 2 Refrain
Key (major) I V I Variable I
Key (minor) i III i Variable i

Seven-Part Rondo (Classical Rondo)


A B A C A B' (or D) A
Section
Refrain Episode 1 Refrain Episode 2 Refrain Episode 3 Refrain
Key (major) I V I Variable I I I
Key (minor) i III i Variable i i i

Sonata-Rondo Form
If the second episode (Section C) of a Classical rondo exhibits properties of a development section
(harmonic instability, motivic development of earlier themes, dominant preparation), then the movement is
in sonata-rondo form. The overall sonata form key structure, thematic organization, and development
section should be apparent. Compare the following sonata-rondo structure to the sonata form structure (as
well as the classical rondo, above). What distinguishes sonata-rondo form from sonata form is the
appearance of the second and fourth refrain in place of the closing sections. Unlike sonata form, the close
of the Exposition in sonata-rondo form is in the tonic key.

Sonata-Rondo Form
Exposition Development Recapitulation
A Trans B A C A Trans B' A
Section
Refrain Episode 1 Refrain Episode 2 Refrain Episode 3 Refrain
Key (major) I → V I (Various) I → I I
Key (minor) i → III i (Various) i → i i

Sonata Form
Exposition Development Recapitulation
Section Theme 1 Trans Theme 2 Closing (Various) Theme 1 Trans Theme 2 Closing
Key (major) I → V V (Various) I → I I
Key (minor) i → III III (Various) i → i i

63
Analysis of Rondo Form

For each composition, complete the following.

1. Identify all cadences, phrases, phrase structure and, if applicable, the form of the first refrain. Be
specific. Create a chart with the following information:

Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)

2. Identify all cadences, phrases, phrase structure and, if applicable, the form of the first episode. Be
specific. Create a chart with the following information:

Phrase no. Measures Key: Cadence Regular Length? Motive (a, a', b, etc.)

3. Compare the first refrain to subsequent refrains. How do subsequent refrains differ?

4. Chart the overall form of the composition. In your diagram, include the measure numbers and the
beginning key of each section. Label each section (refrain, episode, trans., retrans., or coda).

5. If there is a coda or codetta, briefly describe the materials and keys used.

6. Is the movement in sonata-rondo form? If so, label the main sections (Exposition, Development,
Recapitulation) on your chart in #4 (above).

Composer Composition Pages

a) Haydn Piano Sonata, H. XVI: 37, III 192–194


b) Symphony No. 102, IV (CD2713a) 203–213
c) Beethoven Piano Sonata, Op. 13, “Pathetique,” II (CD144) 263–265*
d) Fauré “Chanson d’Amour,” Op. 27, No. 1 (CD3051, 3662) 395–399
e) Bartók “Song of the Harvest” 470–471

*Provide harmonic analysis for:

c) mm. 17–23 and 45–50

64
19. Tonality, Modality, and Atonality
What is Tonal Music?
While musicians may speak of “tonal” music in everyday conversation, a clear definition of what
constitutes tonal music is not widely accepted. This may come as a surprise, given that tonal music (in a
specific sense) matured nearly three hundred years ago. Definition of what is tonal varies. Arnold
Schoenberg did not like the term “atonal” applied to his music, for example, because he considered his
music “tonal” in a general sense—even his atonal serial music satisfies at one criterion below. The term
“tonal” focuses on harmony more that any other musical element. When musicians speak of a piece’s
tonality, they generally refer to its harmonic language or sound. Some musicians use the term to refer to
keys, such as D major “tonality” versus B major “tonality.” Hence, the problem of definition.26 In any case,
how a piece is tonal is generally a more useful inquiry than whether or not it is tonal.

Criteria
The following list of criteria offers necessary conditions for tonal music, beginning with a very general
interpretation of the term and narrowing from there. The list is approximate and is not comprehensive.

Music is “tonal” if it:


GENERAL SENSE
1. Contains organization of tones and structural coherence (includes “atonal” music!)
2. Distinguishes the vertical (harmonic) from the horizontal (melodic) dimension
3. Contains relative stability/instability (consonance/dissonance)
4. Contains a hierarchy of pitch structures (pitches, chords, etc.)
5. Centers around a referential “tonic” harmony or focal pitch (centricity)
6. Uses chords built in thirds (tertian harmony) (includes modal music)
7. Uses triads from the major-minor system
8. Has a leading-tone–to–tonic half-step relationship
9. Uses harmonic progression (e.g., I-IV-V-I), not just chord succession
10. Follows particular voice-leading principles (sevenths resolve down, etc.) (Common Practice only)
SPECIFIC SENSE

All of these criteria are satisfied by most music of the Common Practice era, especially the Classical style
of Haydn, Mozart, and Beethoven. Some composers in the Baroque (e.g., Monteverdi) or Romantic era
(e.g., Liszt) composed experimental music that is tonal only in a more general sense, where some criteria
are not satisfied. Prior to 1600 or after 1900, music was composed that satisfies even fewer tonal criteria.
Modal music of the Middle Ages and Renaissance does not use the major-minor system, for example, and
Schoenberg’s serialism of the 1920s intentionally avoids any kind of pitch centricity with the goal of
treating each pitch with equality. Still, even these works have some general “tonal” characteristics.

26
Carl Dahlhaus, a prominent writer on tonality, discusses these concepts in Studies on the Origin of Harmonic Tonality, as well
as in his entry in the New Grove Dictionary of Music and Musicians. Also see Fétis, Traité complet de la théorie et de la
practique de l’harmonie (Paris, 1844); Riemann, Musik-Lexicon, 7th ed., (Leipzig, 1909), s.v. “Tonalität”; Warren Darcy, “A
Wagnerian Ursatz; or, Was Wagner a Background Composer After All?” Integral 4 (1990): 1–35; and Joseph N. Straus, “The
Problem of Prolongation in Post-Tonal Music,” Journal of Music Theory 31, 1 (Spring 1987): 1–21.

65
20. Triadic Alterations and Extensions
Dominant harmonies may be altered (e.g., the dominant with an augmented fifth), extended (e.g., the
dominant ninth-chord), or both (e.g., the dominant-seventh with an augmented ninth). Composers have
enjoyed the sonority of such chords for centuries, but when earlier composers used altered or extended
notes, they resolved them carefully like most non-chord tones. In the example below, note how Bach,
considered old-fashioned even in the mid-1700s, creates some quite “jazzy” harmonies with his chain of
seventh-chords and use of non-chord tones:

J. S. Bach, Fugue 19 in A major, WTC I (1722), mm. 11–14

### œœ œ
˙ œ œ # œ œ # œ n œ ˙œ œ œ œ œ œ œ œ ˙ # œ œ œ œ œœ .œ œ œ œœ .œ œ# œ # œœ œ œ œ # œœ # œ œ œ œœ œ œ œ œ œ
11

& ≈ œ ≈œ œ œ . œ #œ #œ œ
œ #œ œ œ nœ œ œ œ œ œ.
? ### œ . œ œ œ œ . œ # œ œ œ . # œ œ . #œ #œ œ ˙ œ

The following reductive analysis clarifies the harmonic progression and voice leading. Compare this to the
score above. Can you “hear” the reduction in the original music?

J. S. Bach, Fugue 19 in A major, WTC I (rhythmic reduction)


#### œ ˙ œ œ ˙
App P

œ˙ œ œ œ ˙˙ . œœ # œ˙
11

& œ˙ œ œ œ ˙ ˙
? # # # # ˙˙ ˙ ˙ œ
œ œ ˙ ˙ ˙
cs: iv — 7 VII7 III7 i VI7 iiø43 V7 i9—8 IAC

In music of the Common Practice, extended notes are better analyzed as non-chord tones due to their
resolution within the chord (note the cs2 near the end of m. 13). Harmony near the end of the Romantic
period, however, saw increasing integration of alterations and extensions, especially in dominant chords. In
jazz harmony of the twentieth century, any chord, not just the dominant, may contain an extension or
alteration. How are the Bach excerpt (above) and “Autumn Leaves” (below) similar? How do they differ?

Joseph Kosma, “Autumn Leaves” (1947), arr. G. Fankhauser


7(s5)
G or
7 7(f9) maj7 maj7 7(f5) 7(f13) add6

b
Chord Symbols: Fm Bf Ef Af Dm G Cm

&b b c ‰œœœ ˙˙œ œ ‰ œ


œ .. b œ œ ˙˙œ . œ ‰ œ ˙ ‰
œœ .. n œœ œ n œ n œ n ˙˙˙˙
œ . œ
J œ œ. œ œ œ
J J
? bb c Ó œ . œj ˙ œ . œj ˙ œ . œj ˙ ˙
b
Functional Analysis: c: iv7 VII7(f9) III7 VI7 iiø7 V7(+) i (add n6)
(NOT: III6+) (NOT: vi ø65)
(enh.)

66
Altered and Extended Dominants (V(s 5), V9, V7(f 9, s 11), etc.)
Study the chords below and notice how each one is analyzed. If an extension is natural (e.g., V13), the 7th
and 9th are assumed. Due to its strong presence in the natural overtone series, the 5th is often omitted.
Enclose alterations (f5, s5, f9, s9, s11, or f13) in parentheses. Multiple alterations may appear in the same
chord, as f9 and s9 often do (together!). Most idioms, including jazz and popular music, continue to
employ smooth voice leading and other Common-Practice principles. Raised pitches tend to resolve up;
lowered pitches tend to resolve down. Study the resolution to the last chord below:

F+ F7(f5) Fadd6 F9 F7(f9) F7(s9, s11) F13 F13(s11) F7(f9,s11, f13) Bf9
b ww
& b #w bw ww
w
w b ww # n www ww n ww
w b b n www w
? bb w ww w ww ww ww ww ww ww w
ww
w w w w w w w w w
Bf: V(s5) V7(f5) Vadd6 V9 V7(f9) V7(s9, s11) V13 V13(s11) V7(f9,s11, f13) I9

Write and play through the following chords. Aim for smooth connections among chords.

&
?

B: V7(f5) E: V7(f9) a: V13 D: V7(f9, s9) G: V13(f9) C: V13(s11) F: V13 (f 9,s11) F: I9

Analysis Exercises
1. Provide a complete Roman-numeral analysis for the following.
2. Label any alterations or extensions. Identify whether or not each of those notes would be better
interpreted as a non-chord tone. If so, label the type.
3. Identify by type any six-four chords or modulations. Label all cadences by key and type.

Composer Composition Measures Page(s)

a) Schumann Kinderscenen, Op. 15, No. 2 “Curious Story” (CD1596) 1–8 323
b) Chopin Prelude in E minor, Op. 28, No. 4 12–13 350
c) Liszt “Il Pensieroso” from Années de Pèlerinage, Bk. II 1–4, 12–13, 355–57
d) 33–39 357
e) Wolf “Gebet,” No. 28 from Mörike Songs 1–4 390

67
21. Extended Tonality
Modes and Symmetrical Pitch Collections
Nineteenth-century composers became increasingly interested in using pitches outside of the major-minor
system of Common-Practice tonality. Consistent use of certain chromatic pitches may lead to a whole new
mode or pitch collection. Some composers revisited ancient Greek modes for tonal resources. Others
favored symmetrical collections (see the intervals in the octatonic or whole-tone collections below) or
“primitivistic” collections (pentatonic collection). These collections technically are not “scales” since they
do not contain one and only one of each pitch letter name. In the early 1900s, the “blues scale” became
important in the blues and jazz idiom in the US but is used relatively little in other genres.

Greek Mode Relation to Major or Minor Intervallic Construction “White-Key Tonic”


w w
w w w w
C &
Ionian Major (but no V-I relations) < 2 2 1 2 2 2 1> w w
w
Dorian Minor (natural) with s6̂ <2122212> D &w w w w w w w
w w
Phrygian Minor with f2̂ <1222122> E &w w w w w w
w w w
Lydian Major with s4̂ <2221221> F &w w w w w
w w w w
Mixolydian Major with f7̂ <2212212> G &w w w w
w w w w w
Aeolian Minor (but no V-I relations) <2122122> A &w w w
w w w w w
Locrian Minor with f2̂ and f5̂ <1221222> B &w w w

Collection General Construction Intervallic Construction Collection based on C


Minor, with s4̂ and little or
&w w bw w
Blues “Scale” <321132> bw w #w
no 2̂ or s6̂
&w w w w
w
Major without 4̂ or 7̂, Major: < 2 2 3 2 3 >, or
Pentatonic
or minor with no 2̂ or 6̂ Minor: < 3 2 2 3 2 > w

& w #w w #w w
w #w w #w w w #w
Chromatic All half steps (1 form) <111111111111>
All whole steps (2 unique
& #w #w w
Whole tone
forms)
<222222>
w w w #w

& w w bw w
w #w
Alternating half and whole < 1 2 1 2 1 2 1 2 >, or
Octatonic
steps (3 unique forms) II: < 2 1 2 1 2 1 2 1 > w #w #w

Write the following modes or collections. For the Greek modes, use key signatures. Since the spelling of
pitches in symmetrical collections is arbitrary, spell them in a way that would be easiest to perform.

1. F Dorian 2. D Phrygian 3. Cs Locrian 4. Af Mixolydian

&
5. Ef Lydian 6. Fs Whole Tone 7. F Octatonic 8. F “Octatonic II”

&
9. Bf Blues 10. E Lydian 11. Fs Pentatonic (major) 12. B Whole Tone

&
68
Extended Tonal Techniques
The following characteristics are found in much of Western music of the late nineteenth century:
• Non-functional harmony, linear chords or altered chords (e.g., augmented triad, altered dominants), also
harmonies resolved in unexpected ways (using vocabulary of tonal music but with new grammar)
• Chromatic Third (Mediant) Relations result when the root of a triad is a 3rd away from the root of
another triad and neither is diatonic in the other’s key (ex: I and fVI, or I and “fiii,” or i and “fvi”)
• Non-Western influences and new “scales” (modes and pentatonic, whole-tone, or octatonic collections)
• Amorphous melodies may contain unresolved dissonances, chromaticism, tritones, and large leaps
• Pedals (held or repeating notes) and ostinatos (repeating patterns) may be used to unify sections
• Less defined formal structure; loosely rounded binary or ternary (ABA')

Debussy and Impressionism


The term “Impressionism” derives from a painting by Claude Monet. Impressionist painters aim not to
reproduce the landscape per se but the sensation produced by the landscape. Most of the extended tonal
techniques above are common in music of Debussy (1862–1918). In addition, Debussy’s music is
characterized by:
• Extended tertian harmonies (chords with added 9ths, 11ths, or 13ths) not to produce dissonant tension
but, as Dukas said, to “make multiple resonances vibrate” (from the natural harmonic series, below)
• Parenthetical episodes; passages that seem tangential, a side thought, unclear structural function
• Parallelism (parallel chord movement) and planing (chords of the same quality in parallel motion)
• Avoidance or softening of obvious cadences (clear V-I resolutions are used sparingly)
• Understatement, often soft dynamics
• Ambiguous, floating rhythm without clear meter
• Same, untransposed melodies over different harmonies (placing “new light” on the same subject)
• Orchestral effects (e.g., harp harmonics, muted cymbals, wordless chorus), with preference for
woodwinds and strings (a French reaction against the German use of brass, as with Wagner)

Natural Harmonic Series


The natural harmonic series is a complex of tones whose frequencies are related by simple ratios. Division
by two creates the octave, division by three creates the fifth, division by four creates an octave above the
octave, and so on.27 For over a century, composers have used this old series as a fresh harmonic resource.

w w # œ w w
1 2 3 4 5 6 7 8 9 10 11
12 13

& b œ w
w w
? w w
w
w =w
NOTE: Partials, or harmonics, 7 and 11 are quite out of tune from equal-temperament tuning.

Note how partials 1–6 create a major triad. Some theorists, including Heinrich Schenker (1868–1935),
believe that the natural harmonic series gave rise to tonal music (with the roots of the tonic and dominant
resulting from the first three partials). Debussy’s emphasis on the upper harmonics is consistent with his
rejection of tonal music (in the Classical sense), though his music remains relatively “tonal” and “natural.”

27
Pythagoras’s observation around 500 BCE that the division of a string in half produces an octave was the first recorded fact in
mathematical physics. See Trudi H. Garland and Charity V. Kahn, Math and Music: Harmonious Connections (Palo Alto,
CA: Dale Seymour, 1995).
69
22. Free Atonality
Pitch-Class Set Operations
Musical analysis seeks to understand and communicate how music “works” or “fits together.” To
understand how some music is organized requires abstract methods of analysis. Atonal music in particular
renders traditional tonal analysis useless, because the music is based not on traditional harmonic function
but on abstract relationships among intervals. Atonal music may define its own referential pitch collections
and relationships (can “C, Fs, G” be considered a “tonic”?). Integers (0 to 11) in place of letter names allow
us to use set theory to discover mathematical properties (similarities and symmetries) in music. Composers
use set theory to establish coherence in music (though this may not guarantee “musicality”). The following
terms and methods are used to discuss chords or pitch collections in atonal music.

• Pitch Class (PC): All enharmonically equivalent pitches (c2, bs1, dff2, etc.), assuming octave equivalence
(no octave designation) are of the same pitch class (C, B, Dff, etc.). By convention, pc numerals are
defined by the number of half steps above C: C/Bs = 0, Cs/Df = 1, D = 2, Ds/Ef = 3, . . . B/Cf = 11.
• Pitch Class Set: Any collection of unique pitch classes (brackets are used to define the set). Order may
be retained from the music (an ordered set) or the set may be unordered and placed in ascending
order (disregarding which pc came first).
. œ œ œ.
& œ œ œ b œ
œ = {D, B, Ef, A} = {2, 11, 3, 9} ordered, or {2, 3, 9, 11} unordered
• Modulo 12 system: A group of only 12 members, like the numbers on a clock (but 0–11). A pc clock is
shown below and may help with visualization. In mod12 system, 36 = 24 = 12 = 0, 25 = 13 = 1, etc.
• Transposition: Operation of adding an interval to a pitch class. A subscript indicates the number of half
steps. You may become proficient with modulo 12 arithmetic as you notice that adding 11 to a
number is the same as subtracting 1 (likewise, +10 = -2, +6 = -6, etc.). For example, T7 adds 7 half
steps (or subtract 5) to a pitch class. So, in mod12, T7{2, 11, 3, 9} = {9, 18, 10, 16} = {9, 6, 10, 4}.
• Inversion: Makes a pitch class negative. Picture a clock, with 0 and 6 (C and Fs) as
the vertical axis of inversion. So, I{2, 11, 3, 9} = {-2, -11, -3, -9} = {10, 1, 9, 3}
• Transposition-Inversion (TI) operation: Inverts and then transposes a pc set.
T4I{2, 11, 3, 9} = T4{10, 1, 9, 3} = {2, 5, 1, 7}

PC Set Exercises 1
Identify the ordered pc sets, and then apply the given transformations to the whole set.
Musical Cell Ordered PC Set {x} T4{x} = I{x} = T6I{x} =
œ.
1. & # œ
bœ ‰ J
œ {6, 2, 10, 7} {10, 6, 2, 11}

B œ. œ bœ œ
2. J

j
3. & œ œ-
œ. œ œ #œ

4. & œ # œ .
œ œ œ

œ. œ
? œ #˙
5. œ. # ˙-

70
PC Set Analysis: Finding the Prime Form
Analysis of free atonal music, in which traditional harmonic function is absent, requires a tool that assumes
no hierarchy of tonal function and instead focuses on the pure sonority (sounds and intervallic properties)
of selected partitions or cells of music. Like determining the quality of triads, identification of the basic
form of a set of pitch classes requires a little abstract analysis. Comparing these prime forms of pc sets
reveals basic similarities that otherwise may be hidden, even counterintuitive.28 First, some definitions:
Example:
• Pitch Class Set: Any collection of unique pitch classes (note the use of brackets) {D, B, Ef, A}
= {2, 11, 3, 9}
• Normal Order: Ordering of a pc set that is increasing (mod12) and most packed to the left. {9, 11, 2, 3}
This means that smallest intervals are rotated to the left, placing larger intervals on the
right. In the example, {9, 11, 2, 3} is the normal order with the intervals 2–3–1–6
(for more explanation, see the Method 1 example, below).
• Representative Form: Normal order transposed to begin with 0 (here, T3 is applied). (0, 2, 5, 6)

• Prime Form: Representative form (above) or the representative form of the inverted normal
order, whichever is more packed to the left. Here, T9 {9, 10, 1, 3} = [0, 1, 4, 6]. [0, 1, 4, 6]

• Interval Class: The number of semitones in an interval, inverted if necessary to be


between 1 and 6 (a half step and a tritone): m2/M7 = ic1, M2/m7 = 2, . . . °5/+4 = 6
• Interval Vector: A description of the number of times each interval class 1 through 6
occurs throughout a pc set: <“how many ic1s” “how many ic2s” … > <111111>
Interval-class content is useful in describing the sonority of a pc set. This
example contains one of each interval class and is called an “all-interval set.”
For further explanation, two methods of finding the prime form of a set are offered below. While the first
produces useful information at each step (normal order, representative form, etc.), the second is a quick
shortcut to finding the prime form. See if you can sit at a piano and use Method 2 without paper and pencil.
5 . œ b œ äœ œj ‰
PROBLEM: Find the prime form of & 4 œj ‰ œ b œ b œ œ œ œœ , or pc set {2, 0, 10, 8, 5, 1}.
F> .
METHOD 1 SOLUTION (Longer, but more informative at each stage):
1. First, write the set in normal order, the ordering that is most compact (smallest intervals on the left).
To do this, write the set in any increasing order: {0 1 2 5 8 10}, {1 2 5 8 10 0}, {2 5 8 …}, etc. in the
mod12 system (within the octave). Find the largest interval and place it on the outside (right). In case
of a tie, look at the next-to-last interval. So, which of {5 8 10 0 1 2} or {8 10 0 1 2 5} is more packed
to the left, since the ascending interval from the first pc to the last pc is the same (i.e., 2 – 5 = –3 = 9
and 5 – 8 = –3 = 9)? In such cases, compare the first pc to the next-to-last pc in each set:
First, 2–5=9 and 5 – 8 = 9 (so, arrangements are equally packed on the outside)

{5 8 10 0 1 2} {8 10 0 1 2 5}
Then, 1–5=8 but 2 – 8 = 6 (a smaller interval and therefore more packed internally)

Since the ascending interval from 5 to 1 (ic8) in the first order is larger than 8 to 2 (ic6) in the second,
the second arrangement is more packed to the left and is therefore the normal order: {8 10 0 1 2 5}.
2. To find the representative form, we simply transpose the normal order to make the first pc 0 (subtract
8 from everything, or add 4, same thing in the mod12 system). Thus, T4{8 10 0 1 2 5} = (0 2 4 5 6 9).

28
While pitch-class set analysis is often deemed an inappropriate tool for tonal analysis, comparison of some familiar, tonal
sonorities demonstrates the power of the tool. Compare the prime forms of major and minor triads, for example, as well as
V7 {G, B, D, F} and iiØ7 {D, F, Af, C}.
71
3. To find the prime form, the most basic form of pc sets, we go back to the original set, invert it, and do
the whole process again to compare with our representative form. Now, the inverse of {2, 0, 10, 8, 5,
1} makes all pcs negative, and {-2, -0, -10, -8, -5, -1} = {10, 0, 2, 4, 7, 11}. Place this inverse in
normal order: {10, 11, 0, 2, 4, 7}. Transpose to make the first digit 0: T2{10, 11, 0, 2, 4, 7} = (0, 1, 2,
4, 6, 9). We now have two, different representative forms: from step 2 (above) we have (0 2 4 5 6 9)
and now the representative form of the inverted set, (0 1 2 4 6 9). Select the one that is most packed
(smaller numbers on the left), and that is the prime form, [0 1 2 4 6 9]. Any sets that have this prime
form are also said to be in the same set class. The appendix shows a table of all possible prime forms.
The use braces, parentheses, and brackets help distinguish the different forms.
METHOD 2 SOLUTION (Shortcut to prime form):
1. Write the original set in increasing order. {0 1 2 5 8 10}
2. Identify the intervals (ordered pc intervals) between each consecutive pc, including
the last-to-first (wrap around). 1-1-3-3-2-2

3. Rotate (113322, 133221, 332211, 322113, 221133, 211332) or flip and rotate (223311,
233112, 331122, 311223, 112233, 122331) the chain of intervals until the largest is on
the outside (rightmost) and the smallest intervals are to the left. The adjacency must be
preserved (keep the same order), but you may place the whole order in reverse. Here, we
start with the second interval (the second ic1) and move backwards (to the left). 1-1-2-2-3-3
4. Finally, start with [0 …], add the first interval from step 3 to 0, and add each consecutive
interval to the previous: [0, 0+1=1, 1+1=2, 2+2=4, 4+2=6, 6+3=9, 9+3=0] or
[0 1 2 4 6 9]. The last interval (3) may be used as a check as it should take us back to 0. [0 1 2 4 6 9]

PC Set Exercises 2
Analyze the musical cells to the left and complete the table below. The first one is done for you. Note the
differing use of braces, parentheses, and brackets. Then, answer the questions below.
Musical Cell Ordered PC Set Normal Form Representative Form Prime Form
œ.
1. & #œ œ bœ ‰ J {6, 2, 10, 7} {6, 7, 10, 2} (0, 1, 4, 8) [0, 1, 4, 8]

B œ. œ bœ œ
2. J

j
& œ œ-
3.
œ. œ œ #œ

& œ #œ.
œ œ œ
4.

œ. œ
? œ #˙
5. œ. # ˙-

Questions
1. Which of the sets above have the same prime form? 1 2 3 4 5
2. Set #5 contains 3 pcs. Compare its prime form with the prime form of the other sets. Which of the other
sets are “supersets” of the last set (which of the sets in #1–4 “contain” set #5)? 1 2 3 4
3. Set #3 contains 5 pcs. Compare its prime form with the prime form of the other sets. Which of the other
sets are “subsets” of this larger set (which of the other sets are “contained in” set #3)? 1 2 4 5
72
PC Set Exercises 3
1. Analyze the musical cells to the left and complete the table below.
Musical Cell PC Set Normal Order Prime Form
œ
a. & Jœ ‰ œ b œ b œ # œ

b. ? œ # # # œœœ œœœ ˙˙˙


œ

c. & œ . œ œ œ œ # œ . œ œj
œ

2. Apply the following transformations.


a. T10 {0, 1, 3, 5, 8} = __________________
b. I {2, 4, 6, 8, 10} = __________________
c. T4I {0, 1, 3, 4, 6, 7, 9, 10} = __________________
b
d. T2I & b œ œ œn ˙ = & Prime Form: ________________

3. On the blank staff, rewrite each chord in normal order using pitch notation. Then, identify which of the
chords have the same prime form.

b ww ww
a. b. c.
b www
& ww w
w b b ww b ww

&

4. The major scale and all Greek modes have the same prime form. What is it? ___________________
Which mode is already “in” this prime form (i.e., most packed to the left)? __________________

Segmentation in Music
Perhaps the greatest challenge in analysis of atonal music, once the analyst masters techniques of set
theory, lies in the partitioning or segmentation of the music. With little or no distinction between
consonance and dissonance, how do we know which pitches to include in a pc set? For this, musical
intuition has little substitute. The best segmentation reveals connections and similarities. In atonal music,
which may sound “random” to amateurs, revealing connections and similarities says a lot. Consider the
following:
• Simultaneity: Chord sonority should be a primary consideration (vertical dimension).
• Adjacency (proximity of pitches): At first, try not to skip over too many notes to show a connection.
Once a low level melodic analysis is begun, and once you determine that a particular pc set may be
favored over others in a particular piece, try to find larger connections over several measures.
• Other Salient Features: Text, rhythm, meter, duration, timbre, register, dynamics, articulation all
affect how we hear and therefore how we should segment the music. Accented notes often (but not
always!) have structural significance.
73
Advanced Assignment: Two Pieces from 1909

A. Webern, Fünf Sätze, Op. 9, III (Turek, p. 492)


1. What is the form of the movement? What factors contribute to the form? Chart the sections of the piece
with measure numbers and cadences (use the tonal analogies “HC,” “PAC,” etc.).
2. What is the texture in mm. 1–3? _____________ What is the texture in mm. 11–13? _____________
Does this piece have a tonal center? (Yes No) Explain.
3. Which trichord set-class plays the largest role in mm. 1–10 (call it set “a”)? ________
Which trichord set-class plays the second largest role in mm. 1–10 (call it set “b”)? ________
Circle and label at least 15 clear statements of set “a” and at least 10 of set “b” in mm. 1–10.
4. How many clear instances of [015] are there in mm. 7–8? ______
5. In mm. 22–23, all instruments are playing in octaves. Identify the trichord at the beginning of m. 22 and
at the beginning of m. 23. Can you make sense of the last two notes of m. 22?
6. Note the motive in m. 4 of the first violin. Give the measure numbers and instruments for three other
statements of this motive.

B. Berg, Vier Lieder, Op. 2, No. 4 “Wärm die Lüfte” (Turek, p. 501)
Berg’s “free atonality” can make analysis difficult. Read the text carefully, since it often guides musical
structure. Notice how in this piece the peaceful, dreamlike state is disrupted by nightmarish images of
betrayal, isolation, and death (Expressionism).
1. Circle the nightingale (“Nachtigall”) motive in m. 6? How is this motive both foreshadowed and
echoed in the piano in the adjacent measures? Give the piano’s pitch classes.
2. How is text painting applied to the words “singen,” “warten,” and “Stirb” (see translation on p. 503)?
3. The glissando in the middle of m. 15 in the right hand forms what pitch collection or mode?
4. The glissando in the middle of m. 15 in the left hand forms what pitch collection or mode?
5. The chord in the piano that immediately follows the glissando (m. 15, beat 3, marked sffz) has what
prime form? It is a subset of what pitch collection or mode?
6. Give measure numbers (near the beginning) and part (voice or piano) of a clear example of a subset of
the whole-tone collection.
7. Give the prime form of each chord in the piano part in mm. 20–21. List the different prime forms (if
you find the pattern, it may save you time):
8. For the same chords (m. 20 to downbeat of m. 22), provide a tonal analysis using chord symbols. List
all of the chords. How does the last chord in m. 21 function with regard to the first chord in m. 22?
Which analysis would you say is more appropriate, the “tonal” or the “atonal”? Why?
9. What is meant by the text in mm. 20–22? Historically speaking, how might this text comment on
developments in harmony?

74
23. Serialism
In the early part of his life, Arnold Schoenberg followed the tradition of late German Romanticism, while in
his second period (ca. 1905–1922) Schoenberg experimented with Expressionism and free atonality, which
he called an “Emancipation of Dissonance.” His invention of Serialism in his third period (1923–36) would
provide composers in the remainder of the 20th century with a new, powerful tool. The following concepts
are associated with the term.

Serialism is a technique of composition based on a consistent arrangement called a row, or series, of pitch
classes. Once a row is defined in a piece, its order is maintained to ensure coherence and establish equality
among individual pitch classes. Whereas free atonal music may lack rigor, serialism depends on it. Twelve-
tone (“dodecaphonic”) music is music that uses all 12 pcs in its row. The term aggregate is used to
describe any complete statement all twelve pcs. Since serial music is often also twelve-tone music, the two
terms are commonly used synonymously, though it is possible to have serial music with a row of any
number of tones. To avoid tonality and to increase structural integration and coherence, composers often
favor symmetrical relationships in the creation of a row. If the first six pcs (the first hexachord set) has the
same prime form as the second (its complement), the 12-tone row has hexachordal combinatoriality. In
such cases, the first half may be mapped to the second under transposition or inversion or both. An all-
interval row is a row that, when ascending, contains exactly one of each interval (m2 to M7, or 1–11).

Use of variations on a single, predetermined series gives serial pieces coherence. These forms are the
prime, retrograde, inversion, and retrograde inversion, each of which has twelve transpositions (a total of
48 possible row forms).
• Prime (Pn): The original row, which begins with pitch class n
• Retrograde (Rn): The original row in reverse order (ends with n)
• Inversion (In): The inversion of the original row, which begins with n
• Retrograde Inversion (RIn): The inversion of the original row in reverse order (ends with n)
A 12x12 matrix (or “Babbitt Square”) contains all 48 row forms and therefore may provide useful
reference for both composition and analysis. When analyzing a score, labeling each note not with pitch-
class numerals (cardinal numbers 0–11 for the number of half steps above C) but according to its location
in the row (ordinal numbers, 1–12) shows the order in which the row is completed. For Pn and In row
forms, pcs may be labeled in the score “1, 2, 3, … 12,” but for Rn and RIn forms, pcs are labeled “12, 11,
10, … 1,” since retrograde rows are “backwards.”
Inversions
I I I I I I I I I I I I
Original Row → P R
P R
P R
P R
P R
Primes P R Retro-
P R grades
P R
P R
P R
P R
P R
RI RI RI RI RI RI RI RI RI RI RI RI
Retrograde Inversions
75
Schoenberg’s Drei Lieder, Op. 48, No. 2 “Tot” (1933) (Turek, p. 442) CD5335

1. Given P2: 2 3 9 1 10 4 8 7 0 11 5 6

Find I6: __ __ __ __ __ __ __ __ __ __ __ __

Extra: What pcs lie on or about the axis of inversion (use the pc clock)? _________

Find RI4: __ __ __ __ __ __ __ __ __ __ __ __

Extra: What pcs lie on or about the axis of inversion? _________

Find R2: __ __ __ __ __ __ __ __ __ __ __ __

2. Determine what row results from inverting the original row on the axis 1, 7.

_____: __ __ __ __ __ __ __ __ __ __ __ __

Extra: What is the transformation (in the form Tn, I, TnI)? _________

3. Read the paragraph at the top of p. 442 and answer the questions. Identify all row forms in the
piece, labeling the ordinal number of each pc as it occurs in the row. Completion of a matrix may
be helpful.

I I I I I I I I I I I I
P R
P R
P R
P R
P R
P R
P R
P R
P R
P R
P R
P R
RI RI RI RI RI RI RI RI RI RI RI RI

76
Analysis: Webern’s Concerto, Op. 24, I (1934) CD1120

1. Determine the original row in the first movement of Webern’s Concerto, op. 24 (Turek, p. 494).
a. P11 = __ __ __ __ __ __ __ __ __ __ __ __
b. Find I4: __ __ __ __ __ __ __ __ __ __ __ __
Extra: What pcs lie on or about the axis of inversion (use the pc clock)? ________

c. RI0 = __ __ __ __ __ __ __ __ __ __ __ __

Extra: What pcs lie on or about the axis of inversion? _________

2. Identify the prime form of:


a. The opening trichord of P11. _________ The second trichord of P11. _________
b. The third trichord of P11. _________ The last trichord of P11. _________
c. The opening hexachord of P11. _______________ The last hexachord of P11.
_______________
d. What relationship does the last hexachord have to the first?
How many transformations map the first onto the last? Name them (in the form Tn or TnI).

3. Complete the 12x12 matrix for the piece. In the blanks, provide the name of each row form.

I11 I10 I2 I3 I7 I6 I8 I4 I5 I0 I1 I9
P11 R11
___ ___
___ ___
___ ___
___ ___
___ ___
___ ___
___ ___
___ ___
___ ___
___ ___
___ ___
RI11 RI10 RI2 RI3 RI7 RI6 RI8 RI4 RI5 RI0 RI1 RI9

4. Describe the relationship between P11 and RI0. We may generalize this same relationship to exist
between any prime row Pn and the row RI_________ (fill in the blank).
5. Describe the relationship between I6 and R11. We may generalize this same relationship to exist
between any inversional row In and the row R_________ (fill in the blank).
6. How does the rhythm of the second statement of the row relate to the rhythm of the first statement?

7. Circle and label all row forms in mm. 1–25 and 63–69 of this strict serial piece. Diagram the sequence
of rows in these measures.
77
24. Other Twentieth-Century Concepts
With the explosion of many different and innovative styles in the past century, it is difficult to discuss
general analytical approaches to all of them. Not only do individual composers have styles that call for
idiomatic analytical approaches to their music, a particular piece by a single composer may demand to be
approached entirely on its own terms. Whereas tonality is one thing that unifies music of the Common
Practice, atonality makes for highly diverse repertoire. And much music lies somewhere between tonal and
atonal.

A good analysis or performance requires a musician to identify interesting relationships in the music using
appropriate methods of analysis. Harmonic analysis of a twentieth-century piece, for example, may include
roman numerals, chord symbols, pc sets, or a combination of them all.

A textbook dedicated to twentieth-century styles will offer more description of recent music, composition
techniques, and analytical approaches.29 Here are some common compositional techniques of mid-twentieth
century music:
• Polytonality/polymodality Use of two or more distinct keys or modes at once. Bitonality, with two
distinct tonalities, is most common.
• Polychords Use of two or more distinct chords at once, often major or minor triads. Stravinsky’s
“Petrushka chord” is a C major triad and an Fs major triad at once. Note: Whereas in Stravinsky the
“Petrushka chord” serves to juxtapose two distinct, clashing tonalities, in jazz, the enharmonic
equivalent of the chord (C, E, G, Bf, Df, Fs) would have a very different function and therefore a
different analysis (e.g., an extended dominant). As always, analysis depends on context.
• Pandiatonicism Apparent use of a key (no accidentals) but with no clear tonic or tonal center; all
pitches in a diatonic scale treated equally (pan- = “all”)
• Quartal harmony Harmony constructed with intervals of fourths instead of thirds. Scriabin’s “mystic
chord” (C, Fs, Bf, E, A, D) uses three qualities of fourths. In a different context (e.g., jazz), this
chord may be analyzed as an extended tertian harmony (constructed in thirds, despite the vertical
arrangement). How?
• Polymeter/polyrhythm Two or more distinct meters or groupings at once
• Ametric rhythm Having no clear regularity or meter, often without meter signature or barlines
• Additive rhythm Recurring rhythmic motive with gradual, slight rhythmic additions.

Analyze the following chords using any appropriate analytical tools (chord symbols, set theory, etc.).
Context is generally at least as important as vertical sonority in harmonic analysis; however, since context
is not given below, some chords may be described in more than one way.

ww # # wwwwww
# www ww b b wwww b www # www
& www b www
w
b
# ww # # # wwwww ww ww ww
w

29
See Stefan Kostka, Materials and Techniques of Twentieth-Century Music (in library MT40.K8).

78
Stravinsky, Rite of Spring, “Introduction and Dance of the Adolescents” (1913)

At the first performance of this ballet in Paris, the audience was shocked and offended by the pagan
primitivism, harsh dissonance, and pounding rhythms. This piece is exemplary of art that at first may be
considered offensive but later considered to be a true masterpiece. Read p. 472 in the Turek anthology and
answer the following questions.
1. For the following instruments, write the collection of pitches performed and then describe this
collection (key, mode, chord, etc). Pitches Collection (Name or Analysis)

a. Bassoon, m. 1: _______________________ _______________________


b. Clarinet in A, mm. 4–6: _______________________ _______________________
c. English horn, mm. 10–12: _______________________ _______________________
d. Oboe, m. 52: _______________________ _______________________
e. Picc. Cl. (in D), m. 54: _______________________ _______________________
f. Viola, mm. 62–65: _______________________ _______________________
g. Bassoon 2, mm. 62–63: _______________________ _______________________
h. Bassoon 3, mm. 62–63: _______________________ _______________________
i. Contra Bsn. 1, mm. 62–63: _______________________ _______________________
j. Contra Bsn. 2, mm. 62–63: _______________________ _______________________
2. The bass clarinet parallels the A clarinet in mm. 4–6 at what interval? _______________________
Bassoons are paired similarly beginning in what measure? _______________________
These accompanimental lines create what type of harmony? _______________________
4. Contrabass 6 in mm. 59–61 produces what rhythmic effect? _______________________
It could have been notated in what meter? _______________________
5. The bassoons in mm. 62–63 (#1, g–j, above) combine to form what concept? ___________________
6. Describe the texture and density of mm. 62–63: ________________________________________
… of mm. 66–68: ______________________ … of mm. 76–83: _______________________
7. For the chord in m. 76, provide an analysis showing how it is a polychord: ____________________
Give its prime form: ____________________
8. How could mm. 80–83 be considered to have additive rhythm? _______________________
9. How do the pitches in the cello in m. 84 relate to the harmony in m. 76? _______________________
10. How do the bassoons’ pitches in m. 84 relate to m. 1? ___________________________________
11. How does the cello in mm. 85–87 relate to the bassoons in the same measures? _________________

79
Appendix: Prime Forms with Allen Forteʼs Set Names and Interval Vectors
The following table provides a list of all 220 possible prime forms with Allen Forte’s pitch-class set names
and interval vectors.30 Each set name has two numbers: the first is cardinal (the number of set members, or
pcs) and the second is ordinal (order of increasing intervals). Any set name with a Z-relation has the same
interval vector as another set, but the two sets have different prime forms (e.g., 4-Z15 and 4-Z29).

Try using the online Set Finder to check your prime forms. Simply enter pcs and instantly find the prime
form and interval vector. The site also has links to useful information about set theory and Serialism.
See http://www.arts.ilstu.edu/~staylor/setfinder/index.html.
Set-Name Prime Form Interval Vector Set-Name Prime Form Interval Vector
0-0 [empty or null] <000000> 12-1 [0,1,2,3,4,5,6,7,8,9,10,11] <12,12,12,12,12,12>
1-1 [0] [one pitch] <000000> 11-1 [0,1,2,3,4,5,6,7,8,9,10] <10,10,10,10,10,10>
2-1 [0,1] <100000> 10-1 [0,1,2,3,4,5,6,7,8,9] <988888>
2-2 [0,2] <010000> 10-2 [0,1,2,3,4,5,6,7,8,10] <898888>
2-3 [0,3] <001000> 10-3 [0,1,2,3,4,5,6,7,9,10] <889888>
2-4 [0,4] <000100> 10-4 [0,1,2,3,4,5,6,8,9,10] <888988>
2-5 [0,5] <000010> 10-5 [0,1,2,3,4,5,7,8,9,10] <888898>
2-6 [0,6] <000001> 10-6 [0,1,2,3,4,6,7,8,9,10] <888889>
3-1 [0,1,2] <210000> 9-1 [0,1,2,3,4,5,6,7,8] <876663>
3-2 [0,1,3] <111000> 9-2 [0,1,2,3,4,5,6,7,9] <777663>
3-3 [0,1,4] <101100> 9-3 [0,1,2,3,4,5,6,8,9] <767763>
3-4 [0,1,5] <100110> 9-4 [0,1,2,3,4,5,7,8,9] <766773>
3-5 [0,1,6] <100011> 9-5 [0,1,2,3,4,6,7,8,9] <766674>
3-6 [0,2,4] <020100> 9-6 [0,1,2,3,4,5,6,8,10] <686763>
3-7 [0,2,5] <011010> 9-7 [0,1,2,3,4,5,7,8,10] <677673>
3-8 [0,2,6] <010101> 9-8 [0,1,2,3,4,6,7,8,10] <676764>
3-9 [0,2,7] <010020> 9-9 [0,1,2,3,5,6,7,8,10] <676683>
3-10 [0,3,6] <002001> 9-10 [0,1,2,3,4,6,7,9,10] <668664>
3-11 [0,3,7] <001110> 9-11 [0,1,2,3,5,6,7,9,10] <667773>
3-12 [0,4,8] <000300> 9-12 [0,1,2,4,5,6,8,9,10] <666963>
4-1 [0,1,2,3] <321000> 8-1 [0,1,2,3,4,5,6,7] <765442>
4-2 [0,1,2,4] <221100> 8-2 [0,1,2,3,4,5,6,8] <665542>
4-3 [0,1,3,4] <212100> 8-3 [0,1,2,3,4,5,6,9] <656542>
4-4 [0,1,2,5] <211110> 8-4 [0,1,2,3,4,5,7,8] <655552>
4-5 [0,1,2,6] <210111> 8-5 [0,1,2,3,4,6,7,8] <654553>
4-6 [0,1,2,7] <210021> 8-6 [0,1,2,3,5,6,7,8] <654463>
4-7 [0,1,4,5] <201210> 8-7 [0,1,2,3,4,5,8,9] <645652>
4-8 [0,1,5,6] <200121> 8-8 [0,1,2,3,4,7,8,9] <644563>
4-9 [0,1,6,7] <200022> 8-9 [0,1,2,3,6,7,8,9] <644464>
4-10 [0,2,3,5] <122010> 8-10 [0,2,3,4,5,6,7,9] <566452>
4-11 [0,1,3,5] <121110> 8-11 [0,1,2,3,4,5,7,9] <565552>
4-12 [0,2,3,6] <112101> 8-12 [0,1,3,4,5,6,7,9] <556543>
4-13 [0,1,3,6] <112011> 8-13 [0,1,2,3,4,6,7,9] <556453>
4-14 [0,2,3,7] <111120> 8-14 [0,1,2,4,5,6,7,9] <555562>
4-Z15 [0,1,4,6] <111111> 8-Z15 [0,1,2,3,4,6,8,9] <555553>
4-16 [0,1,5,7] <110121> 8-16 [0,1,2,3,5,7,8,9] <554563>
4-17 [0,3,4,7] <102210> 8-17 [0,1,3,4,5,6,8,9] <546652>
4-18 [0,1,4,7] <102111> 8-18 [0,1,2,3,5,6,8,9] <546553>
4-19 [0,1,4,8] <101310> 8-19 [0,1,2,4,5,6,8,9] <545752>
4-20 [0,1,5,8] <101220> 8-20 [0,1,2,4,5,7,8,9] <545662>
4-21 [0,2,4,6] <030201> 8-21 [0,1,2,3,4,6,8,10] <474643>
4-22 [0,2,4,7] <021120> 8-22 [0,1,2,3,5,6,8,10] <465562>
4-23 [0,2,5,7] <021030> 8-23 [0,1,2,3,5,7,8,10] <465472>
4-24 [0,2,4,8] <020301> 8-24 [0,1,2,4,5,6,8,10] <464743>
4-25 [0,2,6,8] <020202> 8-25 [0,1,2,4,6,7,8,10] <464644>
4-26 [0,3,5,8] <012120> 8-26 [0,1,2,4,5,7,9,10] <456562>
4-27 [0,2,5,8] <012111> 8-27 [0,1,2,4,5,7,8,10] <456553>
4-28 [0,3,6,9] <004002> 8-28 [0,1,3,4,6,7,9,10] <448444>
4-Z29 [0,1,3,7] <111111> 8-Z29 [0,1,2,3,5,6,7,9] <555553>

30
Allen Forte, The Structure of Atonal Music, New Haven: Yale University Press, 1973.
80
5-1 [0,1,2,3,4] <432100> 7-1 [0,1,2,3,4,5,6] <654321>
5-2 [0,1,2,3,5] <332110> 7-2 [0,1,2,3,4,5,7] <554331>
5-3 [0,1,2,4,5] <322210> 7-3 [0,1,2,3,4,5,8] <544431>
5-4 [0,1,2,3,6] <322111> 7-4 [0,1,2,3,4,6,7] <544332>
5-5 [0,1,2,3,7] <321121> 7-5 [0,1,2,3,5,6,7] <543342>
5-6 [0,1,2,5,6] <311221> 7-6 [0,1,2,3,4,7,8] <533442>
5-7 [0,1,2,6,7] <310132> 7-7 [0,1,2,3,6,7,8] <532353>
5-8 [0,2,3,4,6] <232201> 7-8 [0,2,3,4,5,6,8] <454422>
5-9 [0,1,2,4,6] <231211> 7-9 [0,1,2,3,4,6,8] <453432>
5-10 [0,1,3,4,6] <223111> 7-10 [0,1,2,3,4,6,9] <445332>
5-11 [0,2,3,4,7] <222220> 7-11 [0,1,3,4,5,6,8] <444441>
5-Z12 [0,1,3,5,6] <222121> 7-Z12 [0,1,2,3,4,7,9] <444342>
5-13 [0,1,2,4,8] <221311> 7-13 [0,1,2,4,5,6,8] <443532>
5-14 [0,1,2,5,7] <221131> 7-14 [0,1,2,3,5,7,8] <443352>
5-15 [0,1,2,6,8] <220222> 7-15 [0,1,2,4,6,7,8] <442443>
5-16 [0,1,3,4,7] <213211> 7-16 [0,1,2,3,5,6,9] <435432>
5-Z17 [0,1,3,4,8] <212320> 7-Z17 [0,1,2,4,5,6,9] <434541>
5-Z18 [0,1,4,5,7] <212221> 7-Z18 [0,1,2,3,5,8,9] <434442>
5-19 [0,1,3,6,7] <212122> 7-19 [0,1,2,3,6,7,9] <434343>
5-20 [0,1,3,7,8]31 <211231> 7-20 [0,1,2,4,7,8,9] <433452>
5-21 [0,1,4,5,8] <202420> 7-21 [0,1,2,4,5,8,9] <424641>
5-22 [0,1,4,7,8] <202321> 7-22 [0,1,2,5,6,8,9] <424542>
5-23 [0,2,3,5,7] <132130> 7-23 [0,2,3,4,5,7,9] <354351>
5-24 [0,1,3,5,7] <131221> 7-24 [0,1,2,3,5,7,9] <353442>
5-25 [0,2,3,5,8] <123121> 7-25 [0,2,3,4,6,7,9] <345342>
5-26 [0,2,4,5,8] <122311> 7-26 [0,1,3,4,5,7,9] <344532>
5-27 [0,1,3,5,8] <122230> 7-27 [0,1,2,4,5,7,9] <344451>
5-28 [0,2,3,6,8] <122212> 7-28 [0,1,3,5,6,7,9] <344433>
5-29 [0,1,3,6,8] <122131> 7-29 [0,1,2,4,6,7,9] <344352>
5-30 [0,1,4,6,8] <121321> 7-30 [0,1,2,4,6,8,9] <343542>
5-31 [0,1,3,6,9] <114112> 7-31 [0,1,3,4,6,7,9] <336333>
5-32 [0,1,4,6,9] <113221> 7-32 [0,1,3,4,6,8,9] <335442>
5-33 [0,2,4,6,8] <040402> 7-33 [0,1,2,4,6,8,10] <262623>
5-34 [0,2,4,6,9] <032221> 7-34 [0,1,3,4,6,8,10] <254442>
5-35 [0,2,4,7,9] <032140> 7-35 [0,1,3,5,6,8,10] <254361>
5-Z36 [0,1,2,4,7] <222121> 7-Z36 [0,1,2,3,5,6,8] <444342>
5-Z37 [0,3,4,5,8] <212320> 7-Z37 [0,1,3,4,5,7,8] <434541>
5-Z38 [0,1,2,5,8] <212221> 7-Z38 [0,1,2,4,5,7,8] <434442>
6-1 [0,1,2,3,4,5] <543210> 6-Z26 [0,1,3,5,7,8] <232341>
6-2 [0,1,2,3,4,6] <443211> 6-27 [0,1,3,4,6,9] <225222>
6-Z3 [0,1,2,3,5,6] <433221> 6-Z28 [0,1,3,5,6,9] <224322>
6-Z4 [0,1,2,4,5,6] <432321> 6-Z29 [0,1,3,6,8,9] <224232>
6-5 [0,1,2,3,6,7] <422232> 6-30 [0,1,3,6,7,9] <224223>
6-Z6 [0,1,2,5,6,7] <421242> 6-31 [0,1,3,5,8,9] <223431>
6-7 [0,1,2,6,7,8] <420243> 6-32 [0,2,4,5,7,9] <143250>
6-8 [0,2,3,4,5,7] <343230> 6-33 [0,2,3,5,7,9] <143241>
6-9 [0,1,2,3,5,7] <342231> 6-34 [0,1,3,5,7,9] <142422>
6-Z10 [0,1,3,4,5,7] <333321> 6-35 [0,2,4,6,8,10] <060603>
6-Z11 [0,1,2,4,5,7] <333231> 6-Z36 [0,1,2,3,4,7] <433221>
6-Z12 [0,1,2,4,6,7] <332232> 6-Z37 [0,1,2,3,4,8] <432321>
6-Z13 [0,1,3,4,6,7] <324222> 6-Z38 [0,1,2,3,7,8] <421242>
6-14 [0,1,3,4,5,8] <323430> 6-Z39 [0,2,3,4,5,8] <333321>
6-15 [0,1,2,4,5,8] <323421> 6-Z40 [0,1,2,3,5,8] <333231>
6-16 [0,1,4,5,6,8] <322431> 6-Z41 [0,1,2,3,6,8] <332232>
6-Z17 [0,1,2,4,7,8] <322332> 6-Z42 [0,1,2,3,6,9] <324222>
6-18 [0,1,2,5,7,8] <322242> 6-Z43 [0,1,2,5,6,8] <322332>
6-Z19 [0,1,3,4,7,8] <313431> 6-Z44 [0,1,2,5,6,9] <313431>
6-20 [0,1,4,5,8,9] <303630> 6-Z45 [0,2,3,4,6,9] <234222>
6-21 [0,2,3,4,6,8] <242412> 6-Z46 [0,1,2,4,6,9] <233331>
6-22 [0,1,2,4,6,8] <241422> 6-Z47 [0,1,2,4,7,9] <233241>
6-Z23 [0,2,3,5,6,8] <234222> 6-Z48 [0,1,2,5,7,9] <232341>
6-Z24 [0,1,3,4,6,8] <233331> 6-Z49 [0,1,3,4,7,9] <224322>
6-Z25 [0,1,3,5,6,8] <233241> 6-Z50 [0,1,4,6,7,9] <224232>

31
For 5-20, [0,1,3,7,8] is most packed on the left. Many analysts use [0,1,5,6,8], however, since it is least packed on the right.
81