Harmony and Linear Progression in Schubert's Music

Yale University Department of Music
Harmony and Linear Progression in Schubert's Music

Author(s): David Beach
Source: Journal of Music Theory, Vol. 38, No. 1 (Spring, 1994), pp. 1-20
Published by: Duke University Press on behalf of the Yale University Department of
Music
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HARMONY AND LINEAR PROGRES-
SION IN SCHUBERT'S MUSIC*
David Beach
One of the fundamental questions in music theory is how we are to

understand the relationship between harmony and voice leading in
tonal music. This issue has been the root of countless disagreements
ever since the eighteenth century, more specifically since the publica-
tion of Rameau's Traité de V harmonie in 1722 and the ensuing battles
of words between individuals like Marpurg and Kirnberger. Though
our understanding of this relationship is more sophisticated today than
it was in the eighteenth century, we are far from reaching a consensus.
(One need not interpret this lack of agreement in a negative light, but
rather as an indication that musical relationships can be explained in
more than one way.) On one side of the issue are those who focus their
attention on the function of individual chords and thus tend to explain
tonal relationships almost exclusively in terms of the harmony. Note,
for example, the attention given to Schoenberg's ideas on harmony as
well as the recent resurgence of interest in this country in Riemannian
theory, which has dominated European thinking for much of this cen-
tury. On the other side are those trained in Schenkerian theory, who
view voice leading as the means by which harmony is extended in
time. On the surface, it might appear to some as if Schenkerians are
not particularly interested in harmonic relationships, at least at more
immediate levels. I take exception to that view. Speaking for myself,
anyway, I can report that my scores are covered with Roman numerals
and other analytical symbols, many of which are intentionally omitted
in the final graphs so as not to confuse the larger picture with too much
detail. Omission implies neither lack of understanding nor lack of
*An abbreviated version of this paper was read at the AMS/SMT conference in
Montreal, November 4-7, 1993.
interest. To me, the process of analysis implies, among other things,
a thorough investigation of harmony and voice leading, and their in-
teraction at all levels.
The purpose of this paper is not to convince anyone of a partic-
ular point of view. Rather, it is to examine situations that seem to
require- or, at least, to suggest- different approaches to aural or com-
positional logic. To demonstrate, three excerpts from Schubert's
chamber music have been chosen. The first of these, the second theme
area from the first movement of the C-Major String Quintet (D.956),
provides a clear instance where the aural logic is best explained
through an investigation of the harmony. On the contrary, the mean-
ing of the chromatic progression that characterizes the second theme
from the initial movement of the G-Major String Quartet (D.887)
emerges only when we investigate large-scale linear connections. And
finally, a logical explanation for the puzzling subtonic return in the
Quartettsatz (D. 703) emerges when we consider it as part of a gigantic
statement of the movement's primary motive, the descending tetra-
chord C-BI»-AI»-G.
* * *
The second theme from the initial movement of the C-Major String
Quintet, reproduced in example 1, illustrates clearly what might be
called "multiple harmonic function." A superficial interpretation of
this movement's exposition might lead one to the conclude that there
are three clearly articulated tonal areas: C, El» and G (I-I» III- V). But,
as both James Webster and Charles Rosen have noted,1 El» is not a
stable tonal area, but, to paraphrase Rosen, a coloration of the tonic
key of C Major. Stated somewhat differently, El» is not the middle
member of a large-scale arpeggiation to the dominant, but rather it
prolongs the tonic before the modulation to the dominant is achieved.
It is precisely because of the instability of this El» area that we hear its
harmonies as having more than one function or meaning.
As shown in example 1, the El» harmony which initiates the second
thematic area in measure 60 is introduced from a cadence on the domi-
nant. In the immediate context, we might hear this progression as a
motion to I» VI of the dominant, but more appropriately- because the
cadence is on , not in, the dominant- as I» III of the tonic, C Major.
However, at the varied repetition of this material, the local relation-
ship, namely the motion to I» VI, is strengthened by the temporary sta-
bilization of V. This type of dual harmonic meaning- one in the
immediate context (l»VI) and another in a larger span (I» III)- is so
basic to tonal syntax as to be barely worthy of mention. What is of
ï'h I *
1 J_ ■ H - ' 1 s '
fe I i_
- Bf = " >
IR" ' -
fi : ?
S'tto :- - s Ib oc
I
oc
||p ; *ll ♦ ž
m
r-f " ' -

c
*5
I p * O
W>
*C
"'î*- • -ï J 1 l
55
jj
Cl
E
<73
X
ÜJ
~ " @ ' ! î "s =

a
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: bT
A-iÎ
^ !_
"* F ■ Ü w ^
|] <j« |j* gy
greater import to this study is the reference to the dominant (G)
within a passage locally controlled by Mil (Ek). As indicated by the
Roman numerals below the music, I hear the G-Major harmony in
measures 64-65 as the chromatically altered upper third (Illtj) of El» ,
but, at the same time, as a reference to the dominant, which has been
sounded just six bars earlier without the slightest hint of any addi-
tional meaning. It would be a mistake to posit a prolongation of the
dominant in these measures. Rather the G-Major harmony in mea-
sures 64-65 is a reference to the dominant within the context of El»,
which, in the grander scheme of events, is the altered upper third
(Mil) of the tonic. This interpretation is supported by the contents of
the expanded second phrase of this passage, beginning in measure 66.
Here the El» harmony moves through a passing dl» in the bass to the
tonic, which is prolonged locally by its own progression before becom-
ing the point of departure for the initial attempt to stabilize the domi-
nant. It is precisely because of this return to the tonic harmony in
measures 71-74 that Charles Rosen has characterized the El» passage
as a coloration of the tonic.
It would be difficult to find a clearer example in Schubert's music of
dual or multiple harmonic meaning created by reference to an earlier
harmonic event. In this instance we are not talking about a long-term
association, for instance, a reference to something in a previous move-
ment, but to a clearly articulated event that occurred just six bars pre-
viously, and for that reason, this connection is unmistakable. As I
have noted elsewhere,2 the references created in the recapitulation are
even richer, due to the transposition of this material a fifth lower. In
this context, the motion to IIIt| within the local tonality of Al» (which
is I» III of the subdominant) is heard not only as a reference to the pre-
viously articulated dominant of IV, but also as an anticipation of the
eventual return to the tonic. At some level, then, the clue to uncov-
ering the logic of this second theme area seems to lie in the harmony,
but by that statement I do not mean to suggest that investigation of the
voice leading would be unfruitful. In fact, quite the opposite is true.
The deeper meaning of this material depends in part on its linear-
motivic connection to events in the opening section of the movement.
A reduced score of the first thirty-eight measures of the move-
ment-which includes the introductory section (measures 1-32) and
the first few measures of the material derived from it (mm. 33 ff.) -
is provided in example 2. My comments will focus on two features of
these passages that are particularly germane to this study. First, note
the coloration of the tonic triad in the opening measures, which is in-
dicated in example 2 by the notation Eý-Ek-Etj between the staves.
Note also the use of El» as a decoration of D at the approach to the
dominant in measure 9 and of the enharmonically equivalent D# as a
I1' '»Jjl Utìil J lJ b^" ^ ^ 1 f i
^ Elř El1 I fui
ê- ^-e- "-jg-' •*• ßLp ff
i» - = / - i»
"p r 1 I^_Ll fi». T

T ' , r- ■■ i ¿ te
, ' 1 r- • Ví ■■ i M 1 >
Example 2: String Quintet (I), 1-38
decoration of Ell at the answering cadence in measure 19; both of

these events are circled in the score. The importance of El»/D)t as a
coloration of 3 is then reinforced by the restatement of Ell -El» - Ell in
measures 33, 35 and 38. Note, however, the change of harmonization
here. Unlike the opening measures, the return to Ell is here harmo-
nized by an A-Major chord (V of ii), which drives the momentum for-
ward to the supertonic harmony in measure 40, in imitation of the
emphasis given to that harmony at measures 11 ff.- at the opening of
the second phrase of the introduction. As I have suggested else-
where,3 the motion Ell -El» -Ell may be considered as a basic motive -
a generating source, if you will- of this movement. The statements of
^ r1* 'jV ;k ^|r-^
j t * " y^ r ^ ^ T J* J r^J rJ'-J- ytt^
|tJ: í j t * " r * r ^ r > r r r i r ^
J J- J ri ji>
f| Jht T i ? j 2 1 - ■ • - • • l4l|
Hl^ ^ 'r^jj i ^ f
Example 2: (continued)
this idea in measures 1-6 and 33-39 are surface representations of a

much larger statement that encompasses the first and second theme
areas. At this level, Ek Major offers support for the middle member
of the motive, which is corrected to El] before the modulation to the
dominant is accomplished. Seen in this light, the unstable passage in
Ek Major is truly a coloration of the tonic key area, just as the pitch
El' is a coloration of the E'' in the motive.
The second feature of the introductory section I would like to bring
to your attention is the motion to the implied B-Major harmony in
measures 24-25, which would offer support for Dtt, this time on its
way to Dt) over the dominant harmony in measures 26-32. Because of
the approach to the B-Major chord through an augmented-sixth chord
(measure 23), 4 one might be tempted to label it V of iii. Subsequent
events, however, deny that potential, and instead the B-Major chord
functions as III# of the dominant, as it does elsewhere in the move-
ment. The most obvious instance occurs in the closing idea of the ex-
position, which is reproduced in example 3. Here the B-Major chord
functions within the key of G Major as a chromatic extension of the
tonic on the way to the subdominant. Though the circumstances are
6 7
G: I III# [V7] IV V I
Example 3: String Quintet (I), 138-142
somewhat different, there is a parallel between these events and our

dual interpretation of the G-Major chord in measures 64-65 (see
example 1) both as lilt} of El* and as a reference to the previously ar-
ticulated dominant. In fact, the altered mediant harmony is a char-
acteristic sound in this and many other works of Schubert.
An altered mediant harmony plays an important role in our second
example- the second theme from the first movement of the G-Major
Quartet, the initial statement of which is reproduced (in reduced
score) in example 4. There are at least two unusual features of this
material that an analysis should attempt to address. First, one must
seek a logical explanation for the F#- -Major harmony that occurs not
only as the goal of the preceding transitional phrase but also as the
point of departure for the second theme itself. Upon first hearing, one
might expect this harmony to function as V of iii, but subsequent
events deny that possibility. Instead it becomes an altered mediant
(Illtt) in the key of the dominant, the goal harmony of which is
reached only in measures 75-77. In this sense, this theme (if you can
call it that) is rather unusual: It does not begin from a point of sta-
bility, but rather is directed toward that goal,5 giving it the character
more of a transition than of a theme. In addition, this material is very
static, partly because Schubert reiterates certain pitches and chords
and partly beacuse he withholds the resolution of the harmony (in
the new key) until the very end. The overall harmonic motion, in the
key of the dominant, is III#- ... I. This pattern is repeated in var-
ied form three times: first at the same pitch level; then, following a
transition, a major third lower, leading to a cadence on B'> ; and fi-
nally, following a transition back to the F# harmony, at the original
pitch level again. The result is the prolongation of the dominant by a
chain of descending major thirds: D-Bk-Ftt-D.6
A closer examination of this second "theme" reveals that it consists
of an initial four-bar idea and its expanded repetition. The first four
wť') J , »? w g?l i'i' gl tt E
ffs (e: iv i V
D: IIlH ii^^
il1 t)-HMlu'itmill}'it!B
I iVgďwalrgl^Sl^ffll
i) (e: iv i)
a um vj^ i , h iv7] iv
l3 'm LJ t
iiiI vjî ' I VIVI

Example 4: String Quartet in G (I), 63-77
measures can be further divided into a pair of two-bar segments, the

first of which consists of the progression IIItt-V^ and an extension of
the dominant. The brackets in figure 1 highlight the step progressions
in the outer parts (fjt1 to g1 over fjt to e), and the kkV"-like symbol
indicates that the progression is left incomplete. The upper neighbor
g1 is then reharmonized by an e minor harmony (the supertonic),
b: iv v* - - -
V: mi V* , rii Illtt'vj ^ , ii (IV III#) 1

Figure 1
which surprisingly returns to the point of departure. The promise of

the Vj has been thwarted, and the overall effect is one of stasis. The
return to the Fjt harmony simultaneously becomes the point of depar-
ture for the expanded repetition, which differs from the preceding
material in two important respects. First, the tendency of the V3 har-
mony to progress to the local tonic (and the bass note e to continue to
d) is finally realized here. Second, internal to the expansion, there is
a motion to the subdominant, from which the bass progresses by step
to the long-awaited d. This progression is indicated in example 4 by
the circled pitches (measures 72-75) and in figure 1 by the beam. This
is a remarkable gesture, for it summarizes within the local context the
bass and harmonic progression of the entire movement to this point.
In the local context the F# harmony is logically explained as an altered
mediant in the key of the dominant, and the overall progression of the
second theme, as already noted, is Illjt-V^ ... I. But the deeper-
level meaning of the Ft) harmony appears to be somewhat
different- as an articulation of the passing note fjt within the descend-
ing bass motion g-fjt-e-d. That is, the larger meaning of this chord
depends on its relationship to what has come before (a prolongation
of the tonic G) as well as to where it is headed.
A reduced score of the opening twenty-three measures of the
movement is provided in example 5. This material is divided into two
phrases: measures 1-14, which has the character of an introduction,
though, as Carl Dahlhaus has pointed out, it is inseparable from what
follows;7 and measures 15-23, which constitute the initial statement
of the principal idea. (The term "theme" would be a misnomer here.)
The introductory phrase can be divided into three subphrases of
five, five and four measures in length, respectively. The first two of
these, which are parallel in construction, may easily be understood as
'" ~ -pff "'- "' ?'f
r -p li ■,->*' *ft) *'
HjH1 ■.•"=
1 -= >1
nši
n i i ^ L- Lj ^ JTTIi^
7 ^ o VP
. ,. p>r ' ¿E T ^j > = J| =j==
' ¿E * ' ¿ Í
Example 5: String Quartet in G (I), 1-24
expansions of four-bar groups by the addition in each case of a fifth,

echo-like measure. As far as tonal contents are concerned, these mea-
sures introduce two ideas that are fundamental to this movement.
First is modal mixture, which pervades deep as well as surface char-
acteristics of the movement. And second is the descending chromatic
tetrachord, which here is buried in the inner parts until the repeated
e!'-d in measures 11-12 and 13-14. This chromatic line is shown in
figure 2 by the circled pitches. This latent idea is then stated directly
as a compositional unit- as the controlling bass line- of the following
phrase (mm. 15-23). Because of the two-bar groupings at the begin-
ning of this phrase, the higher-level organization of this bass line is
10
,it J- I ) T jn, j- j < , > T tfm=j=W=i
t r I ^=^Ť==^^f=r= < ,
■f 4 ^ Ji ^ i
' r ty ï t ir
r f ř r
Example 5: (continued)
heard as represented in figure 2, namely, as the descending tetrachord

from the minor mode: G-Ft|-E!>-D. The contrast of the pitches E!»
(cello, m.19) and et|2 (violin 1, m. 20), which sound as if they belong
to a chromatic voice exchange,8 is yet another manifestation of modal
mixture. An earlier juxtaposition of the dyad e!>-d, which is repeated
at the close of the introductory phrase, and the et|-d, which inaugu-
rates the top voice of the principal idea, is highlighted by the brackets
above figure 2. Not shown in example 5, nor represented in figure 2,
is the remainder of the first theme group and the following transitional
phrase. First comes a variation of the main idea (mm. 24-32), with the
chromatic tetrachord in the viola part, and then a greatly expanded
statement. This second variation, which recalls material from the in-
troductory phrase, begins as an augmentation (x2) of the descending
tetrachord G-Ftj-E^-D; that is, the two-bar groups characteristic of
the initial statement (mm. 15-23) are now four measures in length.
What would be the third four-bar group, beginning with the E!» bass
note in measure 41, is greatly extended, leading eventually to D and
a strong cadence on the tonic in measure 54. What follows is a tran-
sition to the F# harmony shown at the beginning of example 4. The
transition from G to Ftt is accomplished by an ascending-fifth se-
quence, each harmony supporting a surface modal change from major
to minor.
11
0
1 1.- ^ ->i
» f«-f* * 5 * " ; 5 5 5! =
lj_ ,jt*~*- ^ ~ J h« ♦ J -
l^r-jT ^ P^f
Figure 2
i-. ® B
5 5 5 5! lrepetitions * I ^ fifth"8 I *
tafcrte^r, J Hnff
T=ni^Ä--^ ^ - -
^ - - major major mode
mode
Figure 3
We are now in a good position to assess the overall tonal organi-

zation of measures 1-77 of this movement and the role of its individual
components. As shown in figure 3, the primary gesture of the initial
idea is the descending tetrachord from the minor mode, which sup-
ports a motion in parallel fifths. (These fifths, which are clearly ar-
ticulated by the grouping structure, are corrected, so to speak, by
intervening events.) This idea occurs three times in succession, the
last considerably expanded, within a prolongation of the tonic (mm.
1-54). From this point the controlling bass line forms a statement of
the descending tetrachord in the major mode. As already noted, the
strongly articulated Ftt -Major harmony that occurs within this span
may be assigned a harmonic function in relation to the goal, D major.
But, at this level, its function seems not to be harmonic, per se , but
12
rather to establish unequivocally that it is now the major mode that
underlies the progression. One could hardly find a clearer example of
modal mixture at the deep middleground level. As far as the Ftt-
Major chord is concerned, its interpretation depends on the context
within which it is being considered. In one sense this statement is
obvious, but its implications are profound. It does not have one mean-
ing, but two- one harmonic, the other linear, depending on the con-
textual level. The same duality applies, of course, to events in the
second theme area of the C-Major Quintet. In the immediate context,
progression is heard within the key of Ek major. But, at the larger
level, those same events are understood in relation to the tonic, C
Major.
A certain amount has been written over the years about Schubert's
experimentation with sonata form, more specifically about his de-
viations from standard classical procedure in many of his recapit-
ulations.9 The common feature of these movements is that their
recapitulations begin in a key other than the tonic, and, as a result, the
tonic becomes the goal rather than the point of departure for tonal
motion. The Quartettsatz is unique within this group of "experimen-
tar works in that the restatement of ideas begins not only in a key
other than the tonic- in this case !» VII- but also with the second
theme, the reappearance of the initial idea being delayed until the
very end. Given that the exposition (a three-key exposition, which is
repeated) and the development generally follow what is accepted as
standard procedure, we tend to interpret the unique features of the
final part in relation to a norm, and thus it seems most natural to con-
sider this movement as an alteration of sonata form. But it makes little
difference what label we give to it. What is important is to come to
grips with what Schubert has written and to seek a plausible explana-
tion for the relationships he has created. More specifically, we must
attempt to explain Schubert's choice of Bk major VII) as the key
that initiates the restatement of ideas. That is the focus of the follow-
ing discussion.
The initial theme is divided into two phrases, the first of which is
reproduced in example 6. The main features of this phrase are the de-
scending tetrachord motive (mm. 1-2), which is treated canonically,
and the emphasis on HI (mm. 9-10), which leads to the dominant. In
the second phrase, this HI harmony becomes the pivot for the mod-
ulation to A!> (I» VI). An important feature of the second theme is the
internal emphasis given to the subdominant harmony, a point to which
we will return later, since it has a direct bearing on the interpretation
of the movement's overall tonal organization. (The outer voices of the
antecedent phrase of this theme are provided in example 7.) The ex-
panded consequent phrase of this theme leads to a cadence in Ak
13
^ jfí j J iď-mkňrrf
descending tetrachord VP
^ descending i 1 I
f Ì j l i í n¡¡é
uiUilusU? I*
7 mm ..mffl /I2JH Í15¿13
111 tu J
= ~ fV 7 ^ t]J "^~
&
Example 6: Quartettsatz , 1-13
minor, which is the point of departure for the transition to the third
theme. This idea is based in part on the descending tetrachord of the
initial theme transposed to the dominant, first G-Ft|-Et|-D, then
G-Ft|-Ei>-D. When it occurs in the tonic key later in the recapitula-
tion, the tetrachord is sounded once again at the original pitch level,
making the parallel between the two ideas more obvious. It is some-
what unusual that this third theme is in the major mode (G major in
the exposition), a fact that may have had some bearing on Schubert's
choice of ending for the movement.
A diagram of the overall harmonic and linear bass motion of the
movement is provided in figure 4. Arabic numerals above the staff
14
^ ED^
dolce ^ ~ ^ ^ ^
6 4 6
l>5 2
6^ 6 6 6 S
5 5 4 3
Example 7: Quartettsatz , 27-38
themes: 1 2- 3 2 3 1
' 1
I I ^ ^ Recapitulation
(m. 195)
Figure 4
indicate the occurrences of the three themes. Curly brackets indicate

repetitions of the descending half-step motion, which is important to
this movement, and the square brackets indicate repetitions of the in-
terval of a fourth spanned by the descending tetrachord. The overall
bass progression of the exposition is shown as C-A1>-G, the internal
member involving a modal change from major to minor. The overall
motion from the end of the exposition through the development is a
transposition of this progression: G-Ef>-D. Not indicated in this dia-
gram is the fact that the initial arrival on the dominant (m. 77) is twice
confirmed by this same progression prior to the statement of theme 3.
15
The cadence on D at the end of the development sets up the expec-
tation of g minor, but instead the recapitulation begins suddenly in
BI» . The "V"-like symbol in figure 4 indicates that the progression is
left incomplete, which, in a certain sense is true. But, at the same
time, this progression is heard as perfectly normal. Why is that? First,
the progression by descending major third is a relatively common link
between development and recapitulation, in the classical literature
and beyond.10 Second, Schubert frequently begins a new section of a
movement a third lower than the preceding cadence. Thus we hear
measure 195, the first measure of the restatement, as the beginning of
a new section. In this sense, the link between development and reca-
pitulation is perfectly normal. But what is not normal is that the pro-
gression leads to I» VII (BI» major), not the tonic. And the appearance
of theme 2 at this point certainly comes as a surprise.
Interpretation of this unusual beginning is complicated by the con-
tinuation. The expanded consequent phrase, rather than confirming
the new key, is written in the key of Et» , which might cause one to hear
BI» as V of El», that is, as if El» (l'Ili) were the real goal of this pro-
gression. However, evidence strongly suggests that El» is not the goal,
but rather prolongs B!» as its subdominant. First, having heard mea-
sure 195, the initial measure of the recapitulation, as a new beginning,
it is difficult (though not impossible!) to hear the antecendent phrase
as leading to the consequent. Second, as was noted in reference to
example 7, the motion to the subdominant is an integral feature of this
theme, and the modulation to El» is thus readily heard as an expansion
of this relationship. This hearing of El» as the subdominant of BI» is
crucial to the overall interpretation of the movement.
As indicated in figure 4, the end of the second theme/beginning of
the transition coincides with a modal change to El» minor, from which
point the progression leads through an augmented-sixth chord on DI»
to a C-Major harmony, as if the progression were directed toward the
subdominant, f minor. Once again the progression is left incomplete
and instead is directed through an augmented-sixth chord on Al» to the
dominant G, a progression that is repeated and extended for empha-
sis. This leads to a statement of theme 3 in C Major and then to a
coda-like return of theme 1 in c minor.
The downward-directed stems in figure 4 indicate the large-scale
interpretation of the main harmonic and linear events in this move-
ment. The contents of the exposition and development are shown to
prolong the tonic C. Next comes Bf» , which is extended by a motion to
its subdominant and subsequent progression through the augmented-
sixth chord to a C-Major harmony. The implications of this last pro-
gression are not realized, and instead the motion is continued beyond
this point through Al» to G, completing the descending tetrachord.
16
Viewed from this perspective, this movement becomes much more
than some odd manifestation of sonata form. It becomes a highly
logical structure growing out of the initial motivic idea of the move-
ment. Though this may be only one of several possible interpretations,
it is consistent with the evidence, and, furthermore, it provides a ra-
tional explanation for the BI» -Major opening of the recapitulation. In
this instance, it is the meaning of a key area, not just a harmony, that
is clarified by consideration of its role in a linear progression. This
leaves one matter unresolved, namely the reordering of thematic ma-
terial in the recapitulation. Here, too, there may be a rational expla-
nation. Recall that theme three is derived from the opening idea, and
that when stated in the tonic key, its descending tetrachord occurs at
the original pitch level. By stating themes one and three in direct
succession in the tonic key, attention is drawn to this parallel. Fur-
thermore, considering the established pattern of modal change from
major to minor associated with the second theme and transition, it
is logical that the initial theme (minor mode) follow theme three
(major mode). All of this is speculative, of course, and it may very
well be that Schubert chose this path in answer to a practical compo-
sitional problem, that of finding a satisfactory way to close the move-
ment. The solution makes perfect sense, yet it is too abrupt to be
totally successful.
* * *
The purpose of this study has been to examine some particularly

interesting passages in Schubert's music from two perspectives, har-
mony and voice leading, both separately and in tandem. The first
example- from the first movement of the C-Major Quintet- presents
a situation where a single harmony has two meanings. This G-Major
chord is first heard as the dominant, but, within the context of the fol-
lowing section, it is also heard as an altered mediant in the local key
of Ek Our attention is drawn to the resounding of this chord in the
new key, partially because of its altered status, but also because it had
received such strong emphasis as the goal of motion in the preceding
section. The point here seems to be the dual harmonic meaning of a
particular chord. However, this focus on harmonic meaning does not
at all suggest that investigation of voice leading is inappropriate. In
fact, we have seen that the larger meaning of the El» section might best
be explained through the voice leading, as support for an element
within a large-scale articulation of a primary motive. Thus both ap-
proaches reveal interesting but different aspects of the work's aural
and compositional logic. The situation with the second example-
from the first movement of the G-Major Quartet- is similar to the
17
first one in some respects. Here our attention is drawn at one point to
an Ftt-Major harmony. But, in this instance, we have not heard this
same chord previously in a different context, and its harmonic mean-
ing seems to rest solely on its relationship to the larger goal of tonal
motion, the dominant. While labelling this harmony III# in the pro-
gression IIItt-V^-I does assign to it a proper harmonic function in re-
lation to its goal, this label does not explain the compositional
emphasis given to it. That is revealed only when we examine the large-
scale linear connections in the bass. Finally, in the last example, the
explanation for Bf> -Major- certainly the most significant question
raised by the unusual recapitulation of the Quartettsatz- falls to the
voice leading. While interpretation of harmony suggests how we may
hear Bl> Major in the local context, its compositional meaning- at
least as interpreted here- depends on the large-scale linear motion of
the bass. It is a curious but certainly meaningful coincidence that, in
all three examples, meaning of crucial events is tied somehow to large-
scale motivic repetition.
What generalities can we draw from these examples? First, they
seem to suggest that investigation of harmony is most appropriate at
short- and mid-range levels, and, conversely, that long-range connec-
tions are best explained through voice leading. While true in some in-
stances, this would be a dangerous generalization to make. Clearly
long-range harmonic goals can be just as important as goals of linear
motion. And the recurrence of specific events, be they harmonies or
motives, can happen over long spans or be greatly separated in time. 1 1
Dual or multiple meaning of a particular harmony, for example, is
most obvious and thus most clearly perceived when the different con-
texts are immediately juxtaposed. But our ability to make long-range
associations of this kind are limited only by our tonal memories and
the degree to which the events are compositionally articulated. Sec-
ond, one might ask under what conditions is the investigation of either
harmony or voice leading most appropriate. The best answer is none.
One should always consider both. And a study that excludes one or
the other will always suffer as a result.
NOTES
1. James Webster, "Schubert's Sonata Form and Brahms's First Maturity," 19th-
century Music 2 (1978/79): 18-35; Charles Rosen, Sonata Forms (New York:
Norton, 1980), 244-46.
2. David Beach, "Schubert's Experiments with Sonata Form: Formal-Tonal De-
sign Versus Underlying Structure," Music Theory Spectrum 15/1 (Spring 1993):
18
1-18. This article also contains commentary, which is developed in the present
study, on the first movement of the G-Major Quartet.
3. Ibid., 13.
4. It is interesting to speculate on the possible enharmonic function of this
augmented-sixth chord as V of IV. If we examine the equivalent passage in the
recapitulation, we find that this potential is indeed realized. Though the
augmented-sixth chord in measure 289 resolves directly to an implied B major
harmony, as it did before, the continuation is different. B!> is introduced im-
mediately in the bass, supporting a four-two chord, and from there the mod-
ulation to the subdominant is accomplished abruptly. As shown below, the
resolution to the implied B major chord within the larger context of the motion
to IV supports yet another, albeit implied, statement of the basic motive: Eý-
[DH]-El|.
E- E
4 4
2 3
I(=V/IV) IV
5. One might draw a parallel between the procedure employed here within a local
context and the numerous Schubert recapitulations that begin in a key other
than the tonic, where the tonic becomes the goal rather than the point of de-
parture for long-range tonal motion.
6. James Webster (op. cit., pp.20-21) correctly identifies this chain of thirds, be-
ginning from the cadence on D in measure 77. However, he identifies only
three, not four, statements of the theme. His example 1 suggests that he is
counting the initial statement- what is given here in example 4- as part of the
transition. This makes little sense, since it is this initial statement that is the
basis for the following variations. The only reasoning that seems probable is an
a priori judgement- an incorrect one- that the second theme must follow es-
tablishment of the new key.
7. Carl Dahlhaus, "Sonata Form in Schubert: The First Movement of the G-Major
Quartet, Op. 161 (D.887)," trans. Thilo Reinhard, Schubert: Critical and Ana-
lytical Studies, ed. Walter Frisch (Lincoln: University of Nebraska Press, 1986).
Dahlhaus discusses the role of modal exchange as well as of variations in this
movement.
8. Though the voice exchange is not literally present in measures 19-20, note its
clear statement, this time diatonic, at the equivalent place (m.29) in the first
19
variation. It is because of the implied relationship between the E!> and eý2 that
I hear the six-four on the downbeat of measure 20 as passing, not the beginning
of a prolonged cadential pattern. The hypermetric groupings within this phrase
may be represented as follows: 1 2, 1 2, 1 2 3 (23).
9. In addition to the article by James Webster cited in note 1, information about
Schubert's recapitulations can be found in the following sources: Malcolm
Boyd, "Schubert's Short Cuts," Music Review 29 (1968): 12-21; and Daniel
Coren, "Ambiguity in Schubert's Recapitulations," Musical Quarterly 60
(1974): 568-582. A very sensible approach to Schubert's deviations from clas-
sical sonata procedure is taken by Thomas Denney in his article, "Articulation,
Elision, and Ambiguity in Schubert's Mature Sonata Forms: The Opus 99 Trio
Finale in its Context," Journal of Musicology 6 (1988): 340-366.
10. In an article published several years ago, I discussed several movements by
Mozart in which the return to the tonic is approached from a third above. See
David Beach, "A Recurring Pattern in Mozart's Music," Journal of Music The-
ory 27 (1983): 1-29.
11. While it is important to be aware of such associations (where there is a recur-
rence of an event, but in a different context), it is dangerous to draw a structural
connection between them, as Harald Krebs has done in his study, "The Back-
ground Level of Some Tonally Deviating Works of Franz Schubert," In Theory
Only 8/8 ( 1986): 59-84. It is also important to be aware, in advance, of possible
meanings of individual events. But I disagree with the practice of assigning mul-
tiple harmonic functions to chords when those functions are not confirmed by
context, as one finds in Charles Smith's article, "The Functional Extravagance
of Chromatic Chords," Music Theory Spectrum 8 (1986): 94-139.
20

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