Yale University Department of Music

Schubert's Innovations in Sonata Form: Compositional Logic and Structural Interpretation Author(s): Gordon Sly Source: Journal of Music Theory, Vol. 45, No. 1 (Spring, 2001), pp. 119-150 Published by: Duke University Press on behalf of the Yale University Department of Music Stable URL: http://www.jstor.org/stable/3090650 . Accessed: 21/10/2011 23:09
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SCHUBERT'S INNOVATIONS IN SONATA FORM: COMPOSITIONAL LOGIC AND STRUCTURAL INTERPRETATION* Gordon Sly

In his 1927 monograph"FranzSchubert," Donald Tovey outlines the definingfeaturesof the sonata-form practicesof theViennese Classic and of Schubert,pointing out where their respective proceduraltendencies most noticeably part company.With that earlierpractice explicitly held up as exemplar,Schubert'sworkis found wanting.In saying so, however, Tovey's comments are gracious as well as suggestive. "But when we find,"Tovey writes, "thatsome of the most obviously wrong digressions contain the profoundest,most beautiful, and most inevitable passages, then it is time to suspect that Schubert,like othergreatclassics, is pressing his way towardsnew forms."And later,"weaknessin the actualcontext is often indistinguishable from new power in some futureart."'That Schubertforged a distinctive sonata style responsiveto his own compositional impulses is generally appreciated;Carl Dahlhaus's distinction between "Schubert's lyric-epic sonataform"and "Beethoven'sdramaticdialectic form"is but a succinct version of a common observation.2 But Tovey's having seized upon the idea that Schubert'svery conception of the form departedsubstantivelyfrom the practiceshe had inheritedfrom his Viennese predecessorsis particularly striking. 119

Ample evidence of a remarkably independentnatureis manifestedin Schubert'searliestefforts.Most conspicuous,perhaps,arethe tonalplans that organize the recapitulationsof these early pieces: one beginning in the subtonic;anotherin the mediant;still others beginning in the dominant! Nor are such innovationsconfined to a youthful daring:Schubert indulged his penchantfor beginning the thematicreturnaway from the tonic in sonatascomposed throughout career-from those writtenas his a young teenager,to the framingmovementsof the Bb PianoTrio and the finale of the GreatC-majorSymphony,both conceived in the last years of his life. His well-knownpropensityfor preservingin the recapitulation the broadmodulationscheme of the exposition underliesmany of these designs, such that the tonic serves as goal, ratherthan as source, of the tonal motion. Restating(almost invariablywith modifications)the entire recaexposition at the lower fifth, which gives rise to the "subdominant is pitulation," his usual-but by no means exclusive-realization of this architectural however,begin away strategy.Many other recapitulations, from the tonic and yet are not cast simply as transpositions theirexpoof sition's key plan. In some of these works, a duplicationof thatplan does appearto have some role, but it is confinedto only a section of the recapitulation;in others,it plays no partat all.3 While Schubertcontinuedto use off-tonic recapitulationsas long as he wrote music in sonataform, his involvementwith the form itself was not constant.It fell, rather,into two distinctperiods of activity.The first includes music writtenbefore the composer had reachedtwenty, beginning with his earlyessays in the form andcontinuingthrough1817, peaking in intensity with the extraordinarily imaginativeand variedgroup of pieces composed in the spring of 1816.4Following this is a lapse in his productionof sonataforms that, with few exceptions, extends almost six years; one of these exceptions, a strikingproductof this period, is the C-minor Quartett-Satzof 1820-probably his most radical departure from the normsof sonataform,5and, interestingly,a work he abandoned shortlyafterhaving begun a second movement.The second period takes in works dating from 1824-28, a time during which Schubert'sapparently waning interestin the form had clearly been rejuvenated. One characteristicof Schubert'scompositional organizationpersists across the hiatus, unitingworks of unusualtonal design on either side: a movement'soverarchingtonal design reflects some featurepresentedin its opening music. A second basic quality of his organization,however, undergoes importantmodification during the hiatus, and thus distinguishes the earlierfrom the laterworks. In the early-periodsonatas,offare into tonic recapitulations frequentlyincorporated largertonaldesigns thatcontravenethe form'susualdividedvoice-leadingstructure. Manyof these tonal plans departso substantiallyfrom the norm that attemptsto read this structure become hopelessly forced and meaningless.The late120

periodworks, by contrast,invariablyexhibit an accommodationbetween these two forces of tonal organization.Thematicreturnscontinue to be carried by non-tonic degrees, but larger tonal contexts that allow the to divided voice-leading structure unfold are now constant. This essay examines these aspects of Schubert'spracticethroughthe lens of two sonata-formmovements,one from each of his two periodsof Piano sonatacomposition.The openingmovementof the aforementioned Trio in Bb, D. 898, a work that probablydates from the early months of 1828,6 is considered first, followed by the opening movement of the sonatascomposed in the spring FourthSymphony,one of the remarkable of 1816, when Schubertwas just nineteen. Examinationof these works will illustratethe underlyingsimilaritynotedabove:in bothcases a salient featureof the movement'sopeningmusic-in the trio, a bassline andharmonic progression;in the symphony,an uncommonmetric/tonalalignment-prepares the choice of tonal level for its recapitulation.These opening features,then, act essentially as motives, and will be considered as such here, thoughthey departfrom the more usual sense of the termas referringto a simple melodic shape or span.Theiremergenceas foundational withinthe broadtonal architecture these movementsilluminates of a depth and elegance of conception not widely ascribedto Schubertas a composer of sonatas.At the same time, our considerationof the shaping influence of each movement's off-tonic recapitulationupon the voiceleading structurewill reveal a basic imparitybetween the two: though a commonimpulse may guide the choice of tonallevel of each movement's thematic return,the broadervoice-leading contexts that embrace these off-tonic recapitulationsare markedlydifferent-to the point of implicating fundamentallydissimilarformalprocesses.
* * *

The recovery of the tonic harmony at the point of recapitulationis amongthe very few virtuallyconstantfeaturesof sonataform.Indeed,for to the Schenker,the return the tonic is the signalevent,articulating divided that is the very definitionof the form.7Nowhere voice-leading structure does this formal conception come under so much strainas in a sonataform movementwhose recapitulation begins away from the tonic.8Theorists normally interpretsuch a work in one of two ways. In some instances, the misalignmentthatexists between the voice-leading structure and the tonal-thematicdesign is understoodto result from an early thematic return.This returnis heard not to initiate the second stage of the to sonata's divided structure,but ratherto belong structurally the development section. The recommencementoccurs only with the recoveryof A the tonic harmony. secondpossible interpretation appealsto Schenker's "auxiliarycadence" idea. Here, the arrival of the recommencement's 121

structural tonic is also delayed, but the music that precedes it is underor stoodto prepare anticipatethattonic arrival. Thatis, the thematicreturn does not belong to the developmentsection; instead,the tonic scale step exerts conceptual control prior to its actual reappearance. The persuasiveness of these interpretations, course, can only be evaluatedpiece of by piece. In manycases, one or the otherseems musicallyconvincingand, as we will see, can illuminateaspectsof the musical organization beyond the immediate context of thematic and tonal returns. In other cases, that susthough,the dividedvoice-leading structure these interpretations tain models the musical organization less well-at best, it is an awkward fit; at worst, a distortion. Schenkerpublishedno analyses of Schubert'ssonatamovementsthat feature off-tonic recapitulations.He did, however,provide a deep-level readingof the entire first movementof Mozart'slate sonata in C major, K. 545, whose recapitulationbegins in the subdominant.9 Because the Mozartis the only example we have of Schenker'sview of a sonata-form movementwith this sortof unusualtonal design, we will review it briefly before turningto the Schubertsonatas.As it happens,the chief intent of the Mozartsketch is to illustratea direct ascendingregistertransferthat occurs within what Schenkerinterpretsas the movement'sfundamental line. Otherdetails of the music, not being relatedto this particular technique and thereforenot to the point of the subject at hand, are reflected only cursorily in the sketch. Among these is the subdominantthematic which, in fact, the sketch fails to indicateentirely. recapitulation, In readingthe graphof K. 545 it is necessary,once again, to bear in mind that Schenkerunderstoodform to derivefrom a work's voice-leading structure,and thereforeviewed the recapitulationsolely in terms of its tonal function. His indicationof the beginning of the recapitulation, then, correspondsto m. 59 ff., where the second theme is restatedin the tonic. The subdominant returnof the movement'sopeningtheme at m. 42 ff. is understoodto be subsumedwithinthe largerdominantprolongation that extends from the second theme in the exposition, m. 14 ff., through the developmentsection, and across to the dominantof m. 57. Specifithe as cally, Schenkerinterprets subdominant a composed-outseventhof thatprolongeddominantharmony.His analysis, then, tacitly invokes the first interpretation described above, a misalignment resulting from an early thematicrestatement. Because the anomaly of this movement is reflected only in the most general way in the sketch and not elucidatedin the accompanyingtext, and because of Schenker'schoice of 3 as primarytone, EdwardLaufer's review of Free Compositionplaces this sketch within a categoryheaded Laufer'salternateinterpretation finds 5 to be a "problematic readings."10 more convincingchoice of primarytone;in fact, he invokesthe structural model describedby ErnstOsterin which the 5 is maintainedthroughthe 122

where it exposition and developmentsections and into the recapitulation, Of return,Laufersuggests finally descends to closure.11 the subdominant that "[i]n this concise sonatinamovement..., in keeping with the smaller dimensions, the developmentand partof the returnare compressedinto a single section .... The returnof the first theme (m. 42) occurs parenthetically,and the V in m. 56 picks up the V from the end of the exposition ... ."12 Since Lauferhears5 as remainingin force throughthe development section and the thematic return,he interpretsthe subdominant harmonyas a neighborto the prolongeddominant,ratherthan as a comit. as posed-outseventhof thatharmony, Schenkerunderstands But in the essential matterof the thematicrecapitulation m. 42 ff. he is in agreeat ment with Schenker'sview-the subdominant returnis subsumedwithin the prolongeddominantof the developmentsection, and the "real"recapitulation,as he terms it, begins with the second theme in the tonic. Though the context of a review constrainsLaufer's remarkson any an single sketch or idea, it is clear that he considers this interpretation As analyticalpoint of departure. an end in itself, it merely representsan explaining away-a de-emphasis-of this most striking feature of the music. Its real value lies in the questionit compels us to ask: what do we gain by the analytical decision that the structural recapitulationbegins afterthe thematicreturn? The"real" with (m. recapitulation 58 ff.) mighthavestarted thefirsttheme, as in a "normal" sonatamovement. the secondsubjectwhichoccurs But insteadis really anotherversionof the first,as is obvious.Thatthe first andsecondsubjectsshouldbe intimately related sucha way is perhaps in not recognizedin traditional theory;andyet a close, organicrelationship I am sureis alwaysto be found.Often,such an organiccorrespondence makesitself knownmoreclearlyin a recapitulation; is indeedpartof this the functionof a recapitulation: to revealsuch secrets!13 just The notion that the unusualthematic deploymentdraws attentionto the relationshipbetween the two themes-that the second theme is set where, tonally,the firsttheme ought to be in orderto underscorethatthe one is a simple reshapingof the other-is an inviting analyticalperspective, since this relationship extends beyond the themes themselves in shaping the course of the movement. The second theme may be understood to derive from the first roughly by inversion-by a reversalof the directionof its openingarpeggiation. Followinga second statementof this so-derivedtheme, Mozartreduces the two themes into rising and falling the arpeggiations,respectively,and, alternating two, fashions a descending-fifth sequence that prolongs the (local) tonic, running through the complete harmonicseries before giving way to the closing measuresof the exposition.At this point the inversionalrelationshipbetween the two themes is joined with the fifth-sequenceidea to generatethe development 123

section: a motion in ascending fifths carriesthe music from G throughD to A before a reversalin directionof the root movementgives rise to the new fifth-sequencethatdescends into the thematicreturnin the subdominant. The general process that informs the recasting of the first theme into the second, then, becomes a guiding force in shapingthe movement. The reading of a misalignmentbetween the structuraland thematic returns derives meaning from Laufer's analytical perspective, which flows from it, and would not have been consideredwithout it.14We turn now to the two Schubertmovements. TrioNo. 1 in Bb,D. 898 (op. 99), 1st Movement The broad tonal plan of the exposition follows the usual patternof major-modeworks, a progressionfrom I to V. It is answeredin the thematic recapitulation, however,by a motion from bVIto I. Figure 1 provides an overview of the two sections, chartingboth the opening theme and transitionthroughto the onset of theme two, and the corresponding passages from the restatement,beginning in m. 187. Several featuresof the design are represented: facilitate comparisonof the two sections, to the three passages having an individual and characteristicaspect that comprise the initial thematic area are designated "a,""b,"and "c";the instrumental assignmentof the melody in statementsof the main theme,
Placement of Melody Theme

Strings

Piano b 12 c 118 /V a (trans) b 137 V I C 149 > III# 159 I

ma
I
-

mm. V I
-

V 26
- V I

m=VII
I

I= 1M3rd
Placement of Melody Theme mm.

- -Vn > =St Vn Vc

Vn -IVc Vn> Vc
a

Piano a a (trans) 1211 I VI b 1222 I V I c 1234 I. > III [ 2 1244 I

Pi

ma
187

1198

VI

K1l
VI
I

v VVT

III
I
NM3rd

VI
I

NM3rd

Figure 1. Trio in Bb, D. 898: 1st Mvt. Overview of Theme 1 and Transition,and their Return 124

"a,"is indicated;and the basic harmonicplan of each section is set below its time line. The firstpresentation "a"closes in the tonic. When it is given by the of piano beginningat m. 26 it functionsas the transition,carryingthe music to local closure in the dominantat m. 37.15The corresponding statements in the repriseare at mm. 187 and 211. Havingthe firstof these statements close in the flat submediantwould not serve the movement'slarge-scale organization,as we will come to see; at the same time, the restatementat m. 211 ff., the transition,representsthe returnof the tonic harmony,and must now remain in the tonic. As the figure shows, Schubertmeets the new tonal requirementssimply by exchangingthe harmonicschemes of the two passages.16 Anotherdifferencebetweenthe two sectionsis thatthe materialof mm. 12-25 does not returnwith the restatement. signal tonalevent in these The measuresis the arrivalon a D-majorharmonyin m. 18. The approachto this harmony-a sequentialmotion in descendingthirdsleads throughan augmented sixth chord-ensures that it is heard as a dominant, an expected point of arrivalfollowing the opening tonic period.Indeed,our sense of havingreachedan important harmonicgoal is affirmed,as we sit on this dominantthroughthe next six measures.At m. 24, though, we learn that we have been deluded;here the D-majorchord-the "wrong" dominant,of course,V/vi-dissolves into the real dominantthatprepares the tonic of m. 26. Throughthis early ruse, Schubertbegins to foster formal uncertaintyfrom the outset of the movement. The significance of this-and of the specifictonallevel of this wrongdominant-will become only with the thematicreturnin bVIand delayedrecoveryof the apparent tonic. We noted thatthis music does not appearat the corresponding point in the reprise. Instead, in the later section, Schubertsubstitutesfor these measuresyet anotherpresentationof the main theme. This one is bound by a tonal design unlike that of any other statementin the movement;it begins in m. 198 on V/bVI,or bIIIof the mainkey, and ascendsby wholefor step to the subdominant,and on to the dominantin preparation the tonic arrivalat m. 211. Schubert's reasons for making this change are probably threefold. First, mm. 12-25 carrythe music up a fifth. Had this materialappeared at m. 198 ff., proceedingfrom the local Db tonic, it would have overshot the goal dominant.Second, a blurringof the formal boundarybetween is developmentand recapitulation surely what Schubertseeks here. The tonal level of the returnat m. 187 has alreadybegun this process; a thematic alterationfollowing the initial presentationof the melody adds to the uncertainty.Finally, Schubert'sfondness for carryinginto the recapitulationsome essential featureof the modulationscheme that shaped the exposition finds expression here. At the broadestlevel, as we have 125

noted, this does not occur in this movement:I-V is balancedby bVI-I. ascent of mm. 12-18 at However,the absence of the strikingmajor-third in the returncauses the major-third the corresponding motions that point do occur to be made all the more conspicuous-that from bIIIto V in m. 198 ff., but especially the broadermotion from the 1VI of the thematic returnto the arrivalof I at m. 211. Fromthe vantagepoint of the reprise, then, we come to see the exposition's early progressionfrom I to V/vi in a new light, as precursor the motionthatcarriesthe recapitulation of from its thematicto its tonal return. The thematicrepriseat m. 187 in Gb majoris a remarkable curiand ous feature of the movement.As I suggested above, I believe that this choice of key is linked to the underlying shape of the opening music. Example 1 shows a foregroundreadingof the firsttheme and transition, and, set beneaththe sketch,a stringof pitchesbeamedtogether.This bass of line, the harmonicunderpinning the main theme, is investedwith generativeimplicationsthat are realized at deep levels of the movement. In a numberof respects the focal point of this motivic line is its centralmember-that is, the fourthof its seven-notespan,6. This pitch-class is introducedin the first gestures of the piece, as an upperneighborto 5 within the initial tonic arpeggiation. The theme's drivingmelodic ascent from the opening bbthroughthe c of m. 6 createsan urgencyto reachthe primarytone, 3. When d is achievedon the final beat of m. 10 its striking metric deemphasis is paralleled by a substitutionin the bass for its expected tonic support-6 and submediantharmony.The approachto this bass tone introducesa furtherdetail of the motivic life of the movement, the interplayof b6and t6. The f on the downbeatis reachedvia gb, and then ascends to g~ throughft. At m. 18, the thirdof V/vi, ft, is approachedfromg in an innervoice. Whenthis D-majorharmonydissolves directlyinto the dominantof m. 24, f# settles back into ft, thus "answering" over a broaderspan the 5-#5-6bass ascent of m. 10.17 The sketch given as Example2 encompassesthe balanceof the exposition, which includes the second theme, at m. 59 ff., and closing material beginning at m. 77. The mixture of major and minor modes that and t6, is pervadesthe movement,taking its lead from the activity of b6 in evidence in this lattersection. The dominantharmony-prostrongly longed across the entire span representedin the sketch-is alteredto F minorat m. 81. This modalinflectionis deepenedby the subsequenttonicization of the local flat mediant,which pushes up to the dominantof F at m. 91. The motion of this harmonyback to the main dominant,then, concludes a section builtupon a bass arpeggiation the minordominant of triad. of The metricorganization this closing section also warrants mention. into units,the firstof whichis subdivided phrasesof Regular eight-measure four measureslength, begin at m. 77. These are indicatedin Example 2 126

a) L a)

Anstieg

f--

-"' .,~~~~~~~~~~~~~~~~~~~~~~ 1.,

7--"1--v
I

3N

~~ ~
V-r
.

o~
^-~
-:ib)
Al

" _Vi.

r6
6

t rKt`
V43I
II

,rrf?t
r
r

165 V43 yi5 1-Yi I -

-'
IV
xV

7
V7

vi

f/'' I

;ar '-' I 7r[1 fl

r0 7

4)

Example 1. Trio in Bb, D. 898: 1st Mvt: Theme 1 and Tran

[V:] 1t-

I;

II

t_

IV

3t

'

Example 2. Trio in Bb, D. 898: 1st Mvt: Theme 2 and Closing Material by the numbersbetween the staves. At m. 91, which representsthe seventh measurein the second eight-barunit, the dominantof F is reached. At this point the prevailing hypermetricgrouping is suspended, interruptedby an interpolated eight-measuregroupthat carriesthe prolongation of the C-majorharmony. The interpolation followed by a full meais sure rest at m. 99, which one hears,I believe, as the final measureof the 128

main metric groupingtemporarilyabandonedat m. 91. It is worth considering whether one hears in this measure of silence an implied resolution to F of the prolongeddominanton C, or a furthercontinuationof of that harmony.One's interpretation this measure largely defines the characterof the gesture beginning in m. 100 (which, incidently,brings into prominencethe 5-4-5 neighbormotion to end the exposition-now had i-12-1in the key of the dominant-just as 5-^6-5 begun it). The developmentsection of this movementcontains a numberof remarkablefeatures,certainof which pose interpretive difficulties.Exam3 gives a foregroundreadingof the music. In Example 4 two differple

Example 3. Trio in Bb, D. 898: 1st Mvt: Development 129

/r\.

b)
t
J *,J

,bh'
112

139

^1
161 187

__

d
_

132

211

vj
V (5-

r-^

V:F

_
-7)

Readings Example4. Trio in Bb, D. 898: Middleground of Development of ent interpretations the basic voice leading are presented;we will turn to these shortly.As is typical of Schubert'sdevelopments,this one is cast in distinct sections. What is most atypicalis thatthe firstof these begins with theme one in the tonic, albeit the tonic minor.The f-gb-f neighbor figurethatechoes over the concludingdominantharmonyof the exposiin tion bridgesthe two sections, now appearingas 5-b6-5 the minor-mode version of the main theme. That the developmentsection begins on the tonic degree raises a basic interpretive question:does this Bb minorrepresent a returnto the tonic scale step, or is it ratheran illusory return,a tonic chord subsumedwithin some deeper-level harmony?The former view would imply one of two concomitants.Eitherone would hear the dominantthatconcludesthe expositionas a divider,andthe openingtonic prolongedacrossthatdominantareainto the development.Or one would assume a three-part fundamentalstructure,with interruptions occurring at the end of the expositionas well as at the end of the development.18 An interpretation the Bb-minorharmonyas a "real"returnis not of musically convincing, in my view. Rather, it occurs within the larger prolongationof the dominantthatextendsfromthe second partof the exposition throughthe development.Its presenceat the outset of the development section, along with a returnof the opening theme, is owed, I 130

believe, to two factors. First, it respondsto the large arpeggiationof the minordominanttriadupon which was constructedthe closing section of the exposition, and in so doing, as we have noted, brings the 5-6-5 version of the main theme's neighbor motion into prominence.Second, it sets in motion a hugely expanded statement of the motivic bassline describedearlier. The minortonic of m. 112 ff. pushes up throughDLand Ebto F at m. 132, which functionsas a back-relating dominant,prolongingthe initiatThe music continuesthroughan augmented-sixth chord Bb harmony. ing to the C majorof m. 134, which, in turn,prolongs the F harmony.From here, a passing-tonebLleads to an Ab-major harmonyat m. 139, and the beginningof the development'ssecond large section.At the deepest level of motion, then, Bb falls to Ab. A strategyonce again typical of Schubert'sdevelopments-an arpeggiation in majorthirds-prolongs the Ab harmony.Here, a fragmentof the exposition's second theme begins in Ab major and is carried by sequence down throughE majorand C majorbefore arrivingat the main dominant in m. 161. This dominant is extended for some twenty-five measuresbefore being transformedinto a Db6 chord in preparation for the thematicreturnin bVIat m. 187. The meaningof this GL,of course, is a centralinterpretive issue. From a voice-leading perspective, this returnmust be viewed as part of the development;indeed, it gives rise to the development'sthird and final section. The structural returntakes place only with the recovery of the tonic at m. 211-with music thatbegan life as the exposition's transition section. The coincidence of bVIandthe thematicreturnoccurs, I believe, as partof the movement'smotivic design. This becomes clear when one compares the bass voice excerpted from the main theme and given as Example lb with that as shown in Example4a (to facilitatecomparison, these two examples have been simplifiedand given togetheras Example 5). The seven-note motive occurs intact, spanningthe ninety-ninemeasures from the beginning of the developmentto the outset of the structural recapitulation.The emphasis on 6, which derived from its having been chosen to supportthe arrivalat the primarytone in the opening theme, is mirroredat this deeperlevel by its alignmentwith the thematic reprise.In its firstoccurrence6 appearsas gl and supportsthe minorsubmedianttriadwithin the opening presentationof the main theme. In the expanded copy of the bass motive, however, 6 carries the returnof the main theme, and thereforemust supporta majortriad.Scale degree 6 is representedhere, then, by b6, and the major bVI triad that it supports. When consideredin this light, the motivic alternation g and gb that so of the music takes on deeper significance. pervades Two readingsof the developmentsection were shown in Example 4. The principaldifferencebetween them turnson theirrespectiveinterpre131

112

132 132

139 139

161 161

187 187

211 211

426. /

"-'

,T. N
v _~~~~~~~~~~
==_

Example 5. Trio in Bb, D. 898: 1st Mvt: Theme 1 and Development tationsof the dominantharmonyreachedin m. 161; the configurations of their uppervoices reflect the changing statusof this dominant.Example 4a views the section as being shaped by a stepwise bass descent that The bass-toneF at m. 161 springsfrom its openingtonic-minorharmony. is understoodto derivefrom the Ab harmonyof m. 139 ff.; its functionis to introducethe Gbof m. 187. All of this, of corse, takes place within the largerdominantprolongationextending from the second partof the exposition, but in this readingthatdominantis not actuallyrecovereduntil just before the entranceof the main theme in the tonic at m. 211. Exambass descentthatguides the ple 4b does not acknowledgethe tetrachordal firstreading,andinsteadviews the F harmonyof m. 161 as the mainpoint in of tonal articulation the section. In this interpretation Gbof m. 187 the is understoodas an upperneighborto this dominant,and it, along with the thematicreturnthat it carries,is heardvery much as a parenthetical insertionwithin the development'sprolongeddominant. As we have seen, the readinggiven as Example4a portraysthe developmentsection such thatit mimics the opening twelve-measuretheme to a remarkabledegree. In the theme, the dominantof m. 10 preparesthe submediantthatfollows; later,the dominantof m. 161 preparesthe low132

Theme 2

^2
)(as eme 1)

3 2 3_
(as 244-53)

:Closing (as 77 ff)

Example 6. Trio in Bb, D. 898, 1st Mvt: Recapitulatio

ered submediantof m. 187. In the theme, vi supportsthe primarytone; later,bVIsupportsthe thematicreturn.In the theme, the opening phrase moves to a back-relatingdominant in m. 4; later, the opening tonal motionfromthe tonic minorat m. 112 moves to a back-relating dominant in m. 132. It is almost as thoughthe developmentis an expansiveecho of the main theme. Example 4a, then, emphasizesthe motivic kinship between the main theme andthe development,and,I feel, providesa compelling accountof Schubert'schoice of tonal level for the thematicreturn.As a readingof the voice-leading structure, though,I favorthatshown in Example4b. To the dominantharmonyof m. 161 ff. is the principalgoal of the my ear, development'stonal motion. Once achieved, this dominantis sustained for twenty-fourmeasures,giving way to the Db6chord that preparesthe Gb returnonly at the latest possible moment. In this way, Schubertcreates the sense of IVI as an interpolation temporarily that disruptsthe constructural dominant,andensuresthatthe listeneris awarethatthe trolling thematicreturnhas occurredaway from the tonic. Before we take leave of the PianoTrio,Example6 supportsa final observation.Here is representedthe movement's recapitulationand coda. The music throughthe closing material at m. 262 ff. is similar to the exposition, and calls for no furthercomment.But the coda, beginningin m. 293, does requirea word.As is immediatelyapparent fromthe sketch, this music is structured upon anotherexpandedstatementof the sevennote bass motive.And this one carriesits resemblanceto the main theme beyondeven what we observedin the developmentsection. The top voice ascends by step to 3, mirroringthe movement's initial Anstieg; once again, it is supportedby submediantharmony.It then descends quickly to closure,just as occurs in the opening theme. In fact, Schubertborrows the cadentialgestureof thatmain theme to underlinethe parallel. No. Symphony 4 in C minor,D. 417; 1st Movement We turnnow to the opening movementof the FourthSymphony,the one works com"Tragic,"19 of a series of multi-movementinstrumental in March-April,1816. Collectively, the pieces composed during posed this period suggest a time of experimentation with large-scale tonal design; nearly all of their sonata-formmovementspresent an overarching tonal organizationnew to Schubert'swork.This is so of the symphony's opening movement,whose exposition follows the two-key scheme i-VI. thanthis novel design, however,is thatof Altogethermore extraordinary the recapitulation,which begins in the dominantminor, and progresses v-III. That is, the tonal plan of the recapitulation transposesthat of the to the upperfifth. The music does not end in the mediant,of exposition course;III gives way to I to close the movementtonally.An overview of the movement'stonal organizationis given in Figure 2. 134

Exposition Introduction trans 0 10I5- - link

Development retrans

Recapitulation trans

30

39--

67

89

97

135

1161

1771186

i1 ,vii,VIV4 i
-

*v/

VI
VI

(iVI

vI>vi

vi)
I I

L~~~~~~vi9VI v i,i
V)/ vA ,v 6 a,
same as exposition 1t mt. O

I/

III III

I
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Schubertdevises a most distinctivestrategyto regainthe tonic late in the movement.Withinthe second key area of the exposition, controlled by VI, orAbmajor,the music moves througha strikinglyodd passagethat advances sequentially by descending major thirds. Each stage in the sequenceprolongs a single majortriad.ThusVI gives way to III,which descends to It and on to VI. At this point the sequence is discontinued, dissolving into the closing materialthat maintainsits final key. Having progressed through the complete major-thirdchain, of course, results triad;here, the Ab3-Ab2octave is simply in an extension of the departure divided into three equal parts.The second key area in the recapitulation is controlledby the mediant,Ebmajor.At the point corresponding the to onset of the exposition's sequence, Schubertpries the music up a semitone in orderto route it throughthis same major-third chain, beginning on III,an E-majortriad.The firststage in the sequencecarriesthe music to It, where it is immediatelybroken-that is, the stage that in the exposition led the music on to VI is omitted-and the closing material is graftedon. In short,since the keys thatclose the exposition and the recapitulationare a majorthirdapart,Schubertis able-and takes pains-to use the same major-third chain in both sections, and to treatit essentially like a trafficcircle, departingat the exit appropriate each case. Now, of to course, it prolongs and concludes the movement in the tonic-but the tonic major, a striking concession for the opening movement of the "tragic" symphony. An extraordinary connection exists between the music that generates this series of descendingmajorthirdsand the initial gestureof the movement's main theme. This theme is uncommonlyubiquitousin the work. While development sections frequently begin with their movement's and of openingmaterial,the treatment thatmaterialis usuallyfragmented short-lived.Here the full theme is stated,following which its characteristic opening gesture continues to be present, shaping virtually every measureof the section. Seemingly,then,the movement'sonly relief from the music of the opening theme is provided by the second tonal area, which is comprisedlargely of the sequentialmajor-third descent. Exam7 sets the openinggestureof the maintheme abovethe bassline of this ple passage (only the passage in the exposition is given; the one in the recapitulationis similar).As the example illustrates,the formerappearsto be presentin the latteras well, albeit manifestedin a most unusualfashion. The figurerequireslittle comment;bracketednumbersindicateintervals in half-stepsbetween successive pitches in the melodic gestureand successive downbeatpitches in the sequence.It is interestingto listen to that later passage while imagining superimposedupon it the opening thematic gesture.The strikingease with which this is accomplishedis perhaps the strongestevidence of theircommon origin. Figure 2 also summarizesthe basic harmonicmotion of the remark136

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Example 7. Symphonyno. 4, D. 417: 1st mvt: Comparisonof Theme 1 Openingand MajorThirdChain able twenty-nine-measure introduction,and the intervallicrelationships between corresponding sections of the expositionandrecapitulation. The dotted lines leading from the two internalmembersof the former's deto scending tetrachord the dominantare meantto indicatethatthese harmonies arerealizedas prominent areaswithinthe largertonalscheme; key is the introduction exploredin detailbelow.To outlinethe latter:the opening part and bulk of the recapitulationis a transpositionof the corresponding section of the exposition at the upperperfect fifth; this is followed by the reappearance the descendingmajor-third-chain of material at the same pitch level as it occurredin the exposition; the major-third chain is exited in the recapitulation IFrather at thanatVI, makingthe final section a transposition the uppermajorthird.This tonaldesign is effecat tive in a dramaticsense in severalrespects.Both the relationship between successive keys, andthe pattern modalquality-motion downby major of third,from a minorto a majorharmony-are preservedfrom exposition to recapitulation.This produces a deep sense of formal balance, if not large-scaleresolution,perhapsmitigatingto some degreethe effect caused by the absence of a reestablishedtonic. In this same vein, thatthe majorthird chain reappearsin the recapitulationat the same pitch level as it occurredin the exposition, and that its discontinuationis effected by a majorharmonyin both sections, strengthensthe parallelbetween opening and closing sections. Structural of interpretation the movement as a sonataform, however, is terribly problematic.The development section does not prolong or progressto the dominantof the main key, so therecannotbe an interruption-at least not as it normallyoccurs-at this point.And since the thematic recapitulation begins away from the tonic, neithercan one understand the usual reestablishmentof the primarytone to take place at the 137

outset of that section. In fact, the unfoldingof the tonal design so delays the recovery of the tonic harmonythat readinga divided structureat all seems untenable.We have seen that the broad modulationplan of the exposition, a descending major third from i to VI, urges the similar This is the movement'sfundamotion from v to III in the recapitulation. mental tonal architecture.It does not involve the recovery of the tonic harmony.The tonic is reintroducedonly after the main tonal dramahas been played out, to provideclosure. Example 8 gives a middlegroundreading of the movement that proceeds from an acknowledgmentthat a single sweeping tonal motionaway from the tonic in the exposition,back to the tonic in the recapitulais tion-rather thanthe usualtwo-partstructure fundamental the piece. to An immediately strikingfeature of the sketch is its contentionthat the minor dominantthat carriesthe thematicreturnarises as the result of a motion within a governingBb harmony. Thatharmony, procontrapuntal is the developmentandinto the recapitulation, eventually longed through from minorto majorto allow its local function as dominant "corrected" of the mediantthat supportsthe second theme. A particularly interestingdetailof Schubert'scompositionalplantends to bear out this interpretation the minordominantthematicreturnas a of low-level harmonicevent.As we notedearlier,the development relatively section is dominatedby the movement'sopening theme, the initial statement of which, in Bb minor, is treatedin precisely the same sentential rather form as occurredin the exposition and recursin the recapitulation, than in the more discursivemannertypical of developmentsections. As a result, the sense of returncarriedby the statementof this theme in G minorat m. 177 ff. is weakened;because it is heardin relationto thatearlier statement,it is perceived more to mark a parallel event within the which it actudevelopmentthanto signal the onset of the recapitulation, does. One remainsquite uncertainthatthe recapitulation begun, has ally in fact, until the transitionleading to the second theme makes that clear. Thatthe music at m. 177 ff. is heard,then, more as a continuationof the
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is developmentthanas the opening section of the recapitulation reflected in its interpretation here as a contrapuntal extension of that earlier section's controllingharmony. Example 8 also illuminatesa strikingresemblancebetween the broad tonal organizationof the movementand thatof the twenty-nine-measure Adagio that precedes the main Allegro. The movement's slow introduction is punctuatedby thefortissimo arrivalin m. 10 of a majortriad on Gb-a tritone removed from the tonic!-whose articulationparallels that of the unison C's of the opening measure.In m. 21 the dominantis in reached,andis extendedthroughthe balanceof the introduction preparationfor the tonic downbeatof the exposition properat m. 30. Example 9 simplifies the musical surface of the Adagio by normalizingregistral and rhythmicdisplacements,and by restoringto single unbrokenlines those individual voices that the music distributesamong two or more This simplificationrevealsan essentiallythree-voicetexture instruments. constructed froma single stepwisedescendingline counterpointed against itself at staggeredtemporalintervals.The Gbchordof m. 10 partitions the measures into two phrases, the second of which is a opening twenty slightly variedrestatementof the first at the lower majorsecond. An interpretation the voice-leading appearsbelow as Example 10. of Here the similarities with the reading of the full movement given in the Example 8 come into focus. In both of these interpretations, successive 5-6 contrapuntal motions over the bass tones C and Bb are the prevailing events. In addition, both are shaped by descents from 5 as the principalupper-voicetone. Thus the 5-6 progressionsresult from prolongationalmotions involving this principalmelodic line, as the tones G and F move to their upper neighbors (in the body of the movement the upperneighborto F is G; in the introductionit is Gb).Beyond this, both interpretations provide highly atypical supportfor 3 before reaching 2 and the dominant. The most unusualfeatureof the readingof the movementgiven as Exof ample 8 was the interpretation the G minorof m. 177 ff. as being subsumed within the prolongationof a deeper Bb harmony.This G-minor harmony,after all, carries the thematic recapitulation,one of the few points of articulationessential to the sonata'sformal coherence. In supwe port of this interpretation observed the uncommon treatmentof the firsttheme at the outset of the developmentsection, whose repeated,full sentential statement effectively depletes any dramatic sense of return embodiedby the later G-minorstatement. It is the harmonicorganizationof the introduction,though,that lends the most compelling supportto this reading. Example 9 demonstrated how the opening twenty measures are generated:the three-voice imitative web leads into m. 10, which sets off the sequentialrestatement the of imitationat the lower majorsecond.Yet the counterpart the firstmeato 139

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sure of the piece, the chord in m. 10, is on Gb-that is, a tritone,not a whole-tone, removedfrom the tonic. A glance at the two 5-6 indications beneathExample lOb clarifiesthis incongruity.Measures2 ff. and 11 ff. are parallel,but m. 1 and m. 10 actually are not. The Bb harmonyfrom which the second stage of the imitativecomplex springs-the harmonic parallelto m. 1-sounds half a bar earlier,in m. 9. The Gb chord in m. 10, then, derives from the Bb harmonythat precedes it just as the Ab of m. 2 derivesfrom the openingtonic. Both arise as a resultof similarcontrapuntalmotions above the governing bass tones. Consequently,there exists in this introductiona misalignmentbetween the metric-melodic design and the harmonicorganizationthatis precisely analogousto that which obtains in the movement proper between the thematic-formal design and the tonal structure. Example 11 illustrates.The much smaller scale of the introduction makesits misalignmentmore immediate,and in that sense, much more forceful: the arrivalof the Bb harmonythat initiates and is prolongedby the second 5-6 motion is completely obscured by the phrase structure,being buriednear the end of the opening large motion, set by phrase;conversely,the Gl derivativeof that contrapuntal a restatementof the emphaticopening of the movement,could hardlybe announcedby a more insistent articulativegesture. Their counterparts within the movementproperinitiatethe developmentand the recapituladerivativeof the prolonged Bb tion, respectively.Here the contrapuntal

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142

harmonyis the G minorthat supportsthe thematicreturn.The organization of the introductory Adagio, then, rehearsesthe novel design of the largermovementto follow.
* * *

These two movementsunfold tonal designs without precedentin the sonata literature,whose most distinctivefeaturesare their off-tonic thematicreturns. While the tonal levels of these returnsareintegratedwithin the largertonal architectures theirmovementsthroughsimilarcompoof sitional strategies,nevertheless,the designs that resultrelate very differently to the structural voice-leading normsof sonataform. In the symphonySchubertforgoes the structural stabilitythatattaches to the "doublereturn" (the coordinatedrecoveryof both principaltheme and tonic key), as the tonic is regained late in the recapitulation,only afterthe essential motionof the movement'stonal structure unfolded. has The work's novel key scheme, then, precludesthe operationof a normative voice-leading structure.From a Schenkerianperspective, at least, duringthis period Schubertwas indeed, in Tovey's words, "pressinghis way towardsnew forms." In the trio, however, the recovery of the tonic occurs relatively soon afterthe thematicreturn,early in the recapitulation. as Further, we noted, Schubertfosters uncertaintyaboutthe formalboundary,in effect signaling to the listener at the thematic returnthat the fundamentalpoint of articulationis yet to come. That is, the recovery of the tonic, though delayed, is articulatedin such a way that it is heardas the essential initiatorof the section's tonal motion.WhatSchubertachieves in this movement, one might say, is an ingenious combination of two seemingly incompatiblerecapitulatory strategies:his tonal innovationencompasses the level of the thematicreturn,and yet he retainsthe powerful articulative force of the double return.From a design perspective,the recapitulationbegins away from the tonic; from a structural perspective,it begins in the tonic. As evidenced by this work, then, the renewed activity of Schubert'slast years carrieswith it a new integrationof innovativetonal design and normativesonata-formstructure.

143

APPENDIX EdwardLaufer

REVISED SKETCHOF MOZART,K. 545/I AND COMMENTARY This movement whichperhaps ariseout presentsmanyunusualfeatures, of Mozart'swish to make the movementvery compactand-psychologiThe cally-short andquick.Mozartrushesone sectioninto another. motivic as suggestedby the brackets(e.g., the initial c2-b1 becoming continuity,
d2-c2-b1, becoming d3-b2 of the second subject), is one aspect of this com-

to Thereis "notime," it were,to waitfortherecapitulation begin as pactness. has on the I: the motivicreturn startsoff beforethe development ended,on a IV, foreground which,as my sketchesshow,is enclosedwithinthe composing-outof theV. (TheV reachedat m. 11, beforethe secondsubject,is to be understood composed-out as rightup to m. 71.) speed of Perhapsin keepingwith the concisenessand "psychological" of line this movement thereis no stopping,no interruption a fundamental in the 5-. Indeed,the5 is thestrictestsense (no 5-4-3-2//); situation rather, is, 3-2 in unabated and maintained throughout, the background, in fact does not line below). reallydescendat all in the sense of a fundamental (as explained Whatdoes thismeanwithregard Schenker's to as conceptof interruption a basic characteristic sonataform?For those movementsin which the 5 of remainson top while an innervoice proceeds3-2 (viz. 5-), such as this 3-2 Clementi's or movement, K. 333, Beethoven's 14/I,SeventhSymphony, op. example-the contrasting phrase(mm.9-12) of the op. 36/4, or-a shorter in Themeof Mozart'sK. 331, one would not speakof an interruption the And strictestsense, since the uppervoice remainson top in the background. sonata yet the above instances(not K. 331, of course) are all indubitably In whenthe2 overtheV is reached, be folto movements. this5- situation, of a lowed by a freshassertion the 5 supported the I, thereis undeniably by as that orderof interruption, kinshipwithinterruption 5-4-3-2; is, a different but not specificallydescribed Schenker, alludedto by Oster.In recognizby order"of interruption, must acknowledgethat one such a "secondary ing of of as Schenker's principle interruption a basicfeature sonataformremains valid. in closes withan auxiliary cadence(starting m. movement Thisparticular 144

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cadenceconcerns 59). One idea behindSchenker's conceptof the auxiliary the withholding arrivalof the main chorduntil the end of the progression (here,m. 71). Thus,I at m. 59 is evaded-its being withheldparadoxically lending the movementa furthersense of conciseness,as the pace of the is the movement therebynot held backor drawnout by presenting I bothat cadenceis not a background mm. 59 and71. Since the auxiliary procedure, line. for thereis no background support the descentof a fundamental Thus, of one shouldspeakherenot of a fundamental butrather a descending line, in rewith 5th-progression, the middleground, the g2,the top note of the 5th, is the a 5th-progressionthe reasonwhy,as notedearlier, 5 maining.(Reading The is to be understood beingmaintained as the throughout movement. same commentwouldapplyto entirepieces builton an auxiliary cadence,suchas Chopin'se-minorPrelude,or Brahms'sop. 118/1 or op. 116/5:these show or but 3rd- 5th-progressions, not actualfundamental lines.)In K. 545 it is as if the apparent of m. 59 were reachingbackinto the realmoccupiedby the I6 V, previous a V whichwill only proceedto therealI at m. 71. On sucha large scale this auxiliarycadence is a most unusualprocedurefor Mozart(alof K. simithoughthe slow movement the PianoConcerto 467 is somewhat I shouldlike to thinkthatin thetwentyyearssincemy larin certain respects). K. 545 sketchto which ProfessorSly refers,I may have come to a clearer of cadence;andhencemy understanding Schenker's conceptof the auxiliary revisedreading. somewhat

146

NOTES * This paperis a continuation workbegunwith my dissertation, Emerging "An of and of (Ph. Symbiosisof Structure Designin the SonataPractice FranzSchubert" D. Dissertation, Eastman of School of Musicof the University Rochester, 1994), whichwas advisedby DavidBeach.I shouldlike to acknowledge deep influhis here. ence on the ideaspresented
1. D. F. Tovey, "Franz Schubert" (Music and Letters, 1927), rpt. in Essays and Lec-

tureson Music(London: OxfordUniversity Press, 1949): 122 and 124. 2. See "Sonata Formin Schubert: FirstMovement the G-Major The of StringQuarin CriticalandAnalytical tet, op. 161 (D. 887),"trans.ThiloReinhard, Schubert: of Frisch(University Nebraska Studies,ed. Walter Press, 1986):1. return otherthanthe tonic key has in 3. Schubert's practiceof castinghis thematic in been chronicled variouswritings,includingMalcolmBoyd, "Schubert's Short MusicReviewxxix (1968): 12-21; DanielCoren,"Ambiguity Schubert's in Cuts," Musical Quarterlylx (1974): 568-82; and James Webster, Recapitulations," SonataFormandBrahms' FirstMaturity," 1, 19th-Century "Schubert's Pt. Music II (1978): 18-35. Collectively, theirworkidentifies severalorganizational tendencies andprocedures, arranges and so-defined rubric. pieces underone or another 4. Foran overviewof the sonatascomposedduringthe Springof 1816, anddiscussion of the firstmovementof the Violin Sonata,D. 408, see the author's,"The Architecture Key andMotivein a Schubert of Sonata," Integral9 (1995):67-89. in 5. Inthiswork,therecapitulation beginsneither thetonicnorwiththemovement's For of see openingmaterial. a discussion its tonalandthematic organization, David in and Journalof Music Beach,"Harmony Linear Music," Progression Schubert's Theory38.1 (Spring,1994):1-20. 6. Theexactdateof thework'scomposition unknown. is believedto be theSpring is It
of 1828. See New Grove Dictionary of Music and Musicians, s.v. "Schubert,Franz

J. (Peter)," Maurice E. Brown. by 7. See Free Composition, trans.and ed. ErnstOster(New York:Longman,1979): 136-37. Schenker's to to approach musicalformconsiders voice-leading be determinate.Sonataformarisesfroma two-part and fundamental structure, the sole reof and sectionsare those that serve this quirements development recapitulation division:the impulsetoward closureis interrupted structural followingthe arrival of or prolongation 2 and dominant a of harmony; recommencement thatmotion the ensues,this time carrying musicto closure.It is the recoveryof the primary toneandthetonicscalestepatthepointof recommencement-rather thereapthan of thematic material-thatforSchenker definestheonsetof the pearance principal recapitulation. WhileSchenker's ideasin thisareahavehadanexiguousinfluence thelarger on musicalcommunity's aboutform,I invokethemherebecauseof my conthinking viction thathis structural allows uniqueinsightsinto the formalprocapproach esses of individual to pieces: the honed approach sonatacompositionfound in laterworksthatis the subjectof this paperis, I wouldargue,illumiSchubert's nated preciselyby the conceptionof the role of the recapitulation peculiarto Schenker's Schenker's Formenlehre generally is to understood be incomthinking. and withinconsistencies. its Nevertheless, promise-a pletelyformulated fraught of rather thanan structure, conception formas an imageof a work'sfundamental 147

musicalparameter-is compellingfor manymusicians,andhas atautonomous tractedclose scrutinyin a numberof recentarticles.The most far-reaching is An Charles Smith's"Musical J. FormandFundamental Structure: Investigation of Schenker's MusicAnalysis 15/ii-iii (1996):191-297,whichtakes Formenlehre," in an enormousstep toward the treatment remedying inconsistencies Schenker's of the topic.A completeformulation Schenker's of conceptionfaces severalreas mainingdifficulties, Smithhimselfconcludes. 8. Perhaps most vexingdifficulty a Schenkerian for the theoryof formis the reconwith ciliationof the fundamental and structure, its tonic-dominant orientation, the adventurous tonaldesignsthatso characterize offSchubert's Schubert's practice. tonicreprises a but the represent central problem, thereareothers,including comuse secondtonalareakeys in his expositions, and, poser'sfrequent of uncommon of course, his well-knownthree-keyexpositions.For a thoroughdiscussionof structural see these, and other,featuresthatdefy Schenker's approach, Smith's of Formenlehre." "Investigation Schenker's 9. Figure47,1 in theSupplement FreeComposition. to Figures88,c and 124,5ashow sectionsof the expositionin greater detail. 10. Edward Reviewof HeinrichSchenker, Free Composition, Music Theory Laufer, 3 of Spectrum (1981): 158-84. Discussionof the openingmovement the C-major sonataextendsfrompp. 173-76. 11.This is foundin Oster'swell-knownfootnoteto Schenker's discussionof sonata form(FreeComposition, 139).His description the structure as follows: of is p. is found,yet nevermentioned Schenker, thefollowing:in a Quitefrequently by sonatamovement startson 5, the uppervoice does not descendvia 4 and3 that to the2 attheinterruption would(Figs.24-26). Thismeans point,as it normally thatthe compositionis not based on the interruption principlein the strictest of resemblesthe voice-leading of sense.The background the expositionrather line Fig. 152,4,measures1-4: the tone thatwouldbe the2 of the fundamental thirdof thetonicharmony, it must and (b' in m. 4) comesherefromthechordal be tone. In such a sonataexpositionthis therefore consideredan inner-voice In tone is thencomposedout in the usualway,by meansof a fifth-progression. the meantime 5 is extendedtill the end of the expositionandfromthereto the thebeginning therecapitulation;only descendsto 1as lateas theendof this of it section. 12. Laufer, Reviewof Free Composition, 173. p. 13. Ibid. 14.Anotherarticlethattakes up Schenker's readingof this sonatais John Snyder, and of "Schenker the FirstMovement Mozart's Sonata,K. 545:An Uninterrupted Sonata-Form Movement?," Theoryand Practice 16 (1991):51-78. It is unfortunatethatSnyderfails to cite Laufer's review,sinceit anticipates manyof his arguthe of mentsconcerning interpretation the piece, includingthe appealto Oster's in contrasted of structural modeldescribed note 11. In fact, the authors' readings of the piecederivefromtheirverydifferent interpretations thatmodel.In Laufer's fromthat a modelnotfundamentally different view,Osteris suggesting structural the whichSchenker defines-a derivative thatearlier of modelthatarisesthrough of the textural inversion the upperandan innervoice. The 5 thatis held through expositionand developmentsections is that which in normalsonatastructure into wouldbelongto an innervoice, butis hereprojected the uppervoice. Mean148

while, the descentto 2 does occur,but it has now becomepartof an inner-voice that motion.The interruption follows the 2 in the usualsonatastructure, then,in effect also occurs.It resides,however,in this innervoice as well, and therefore does not appearin the Ursatzmodel, which of courseconsists only of the two that outervoices. This view accordswith Oster'scharacterization the structure "in lacks an interruption the strictestsense."Laufer'sreadingof the movement (see "Reviewof Free Composition," 175, example 22) shows 5 prolonged p. areas,acrossthe develthroughthe exposition'stonic- and dominant-controlled tonicof therecapitulation, whereit finallydescends opment,andintotheregained to closure.Meanwhile, descentto 2 overa structural the dominant occurs harmony in an innervoice. In Laufer'sview, it is the subdominant return the opening of for themeat m. 42 ff. thatprovidessupport thatdescent:thef4-c4-f3 in thebass at mm. 42, 53, and 54 supports melodic stretchf5-e5-d5,or 4-3-2 . All of this the to dominant is in forcethrough section.(Profesthat the occursinternal the larger sor Laufercommentson this structural at the end of this paper.His remarks type his formpartof the commentary a sketchreflecting mostrecentviews concernto some revisionsince the 1981 article,he ing K. 545, which, havingundergone wishedto makeknown.) and By contrast,Snyder'sanalysis(see "Schenker Mozart'sK. 545," p. 68, structure: thereis no internal structural example9b) sets fortha trulyundivided descentto 2 andsubsequent and dominant, thusno background-level interruption buriedin an innervoice. The stemmedg's in the lower voice at mm. 8 and 57, V's alongwith the indicated at the sameverticallevel, suggestthatthe dominant is understood extendacrossthatspan.But as the notation to this clearlyindicates, dominant subsumed or servesto prolong, openingtonic,whichis in force is the by, the sections,andwell intotherecapitulation. through expositionanddevelopment It supports full expanseof the5, givingway only withtheonsetof themelodic the descentoverthe finalcadence.Thisis surelyincorrect: heartof sonataformis the its tonal-dramatic tonal contrastestabstructure, expressedby the background The lished in the exposition-development. principleof large-scaleinterruption this WhatSnyder failedto recognizein Oster's contrast. has emphasizes dramatic modelis the illusionof continuation createdas 5, a member boththe tonicand of thedominant bothattheclose of thedevelreceivesconsonant harmonies, support But opmentandat the beginningof the recapitulation. it is no morethanan illusion: the recoveryof the tonic still signals a recommencement. 5 thatconThe cludesthedevelopment not the same5 thatbeginstherecapitulation: former is the dominant the tonic. harmony, latterto the regained belongsto the structural is fromthispointthrough 15. As will be shown,the dominant the harmony prolonged balanceof a 111-measure who normally exposition,most unusualfor Schubert, relativelylate in the exposition.This tonalorganiprefersto reachthe dominant zationis moretypicalof Beethoven. the 16. Thereexists some confusionin the literature regarding relationships among Felix Salzersays thatthe return m. 187 "begins thesethematic statements. at just as it had in the exposition,both thematically harmonically" and ("Die Sonatenform bei Franz Schubert,"Studien zur Musikwissenschaft 15 (1928): 123). Coren

("Schubert's 581) Recapitulations," suggeststhatthe two passagesare not quite texture-the violin and 'cello play in parallel,citing the thinnerorchestrational at rather thanin octaves,as theyhadat the beginning-and alternation the return, 149

weakpreparation bVI,callinginto questionits stabilof pointingto the relatively Webster that takesissuewithCoren,andannounces "the ity as a tonic.Meanwhile, sectionbeginning Gb, in placesthe melodyin the strings,andthuscorresponds to the beginningof the movement this but (otherdetailssupport interpretation); the of is Bb statement a literalrepetition m. 26" (pp. 32-33). Coren'spointsarewell the of return mustfigtaken,particularly secondone;thepreparation thethematic urein ourinterpretation thetonalstructure. of Salzeris correct thetwophrases that harmonic beginin similarfashion,buthe fails to note theirdifferent goals.Webster'sevaluation the passageignoresthe harmonic of goals of bothstatements. 17. The workof StevenLaitzidentifiesi6 (or #5)and t6 in combination with 5 as a music.His insightsinto the orsourceof motivicactivityin Schubert's principal of the ganization manyof Schubert's songs through lens of this motiveare presentedin his "Pitch-Class Motivein the Songs of FranzSchubert: SubmediThe antComplex" D. Dissertation, of Eastman Schoolof Musicof theUniversity (Ph. Rochester, 1992). of 18. Fora detailedinvestigation this issue of interpreting sectionsthat development "TheTernary-Sonata Form,"Journal Music beginin thetonic,see JackAdrian, of Theory34.1 (Spring,1990):57-80. himself. 19.The workwas giventhis titleby Schubert

150