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Expanded tonality the treatment of upper and lower leading tonesas evidenced in Sonata "Undine," IV by Carl Reinecke
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Blizzard, Joshua
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Tonic substitution
Wedge
Prolongation
Delayed resolution
Chromaticism
Dissertations, Academic -- Music -- Masters -- USF   ( lcsh )
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bibliography   ( marcgt )
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Abstract:
ABSTRACT: In the Romantic period, expanded tonality offers a creative challenge to composers as they explore new ways of establishing the hierarchy of pitches and utilizing the chromatic and diatonic resources. Prominent compositional techniques of this period include the use of linear harmony with less clearly defined root movements, the structural placement of dominant function, new approaches that redefine tonal stability, motivic treatment that generates harmony and form, flexible treatment of rhythm and meter, and functional treatment of chromatic pitches. This study explores the ways in which characteristics of the Romantic period are influenced by the upper/lower leading tone and the effects of compositional treatment on the expansion of tonality. In addition, this study includes two supportive concepts: (1) the wedge and toggle switch by David Witten and (2) The Neapolitan Complex by Christopher Wintle. In describing techniques in expanded tonality, excerpts from compositions by Robert Schumann and Johannes Brahms (both prominent composers of the Romantic period) are used to establish the significance of these techniques. In the fourth movement of Sonata in E "Undine," by Carl Reinecke, the structural treatment of the upper/lower leading tones to tonic and dominant are very prominent features that contribute significantly to the development of the concepts in this study.
Thesis:
Thesis (M.A.)--University of South Florida, 2007.
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Includes bibliographical references.
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by Joshua Blizzard.
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Expanded Tonality: The Treatment of Upper and Lower Leading Tones As Evidenced in Sonata "Undine, IV by Carl Reinecke by Joshua Blizzard A thesis submitted in partial fulfillment of the requirements for the degree of Master of Music College of Visual and Performing Arts University of South Florida Major Professor: Ann Hawkins, M.A. Kim McCormick, D.M.A. David A. Williams, Ph.D. Date of Approval: July 13, 2007 Keywords: tonic substitution, wedge, prolongation, delayed resolution, chromaticism Copyright 2007, Joshua Blizzard

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Dedication To my wife for her tireless support of me both emotionally and monetarily, to my Aunt Susie who played a signi ficant role in my musical development from my youth, to my parents who worked to instill a sense of discipline in my studies, and, ultimately, to the glory of God, without whom nothing is possible.

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Acknowledgement A special thanks to Prof. Hawkins for all of her endless hard work and dedication in helping me to accomplish a task that seemed impossible.

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i Table of Contents List of Figures ii Abstract v Chapter One: Introduction 1 Discussion of Expanded Tonality 2 Characteristics of Maintaining Tonality 4 Significance of Carl Reinecke 5 Chapter Two: Two Recent Perspectives of Tonal Expansion 6 The Coda Wagging the Dog: Tails and Wedges in the Chopin Ballades by David Witten 6 The Sceptered Pall: Brahmss progressive harmony by Christopher Wintle 9 Chapter Three: An Adaptive Appr oach Concerning Tonal Expansion 13 Characteristics of Expanded Tonality 13 Compositional Techniques of Expanded Tonality 16 Chapter Four: Compositional Style of Ca rl Reineckes Sonata in E minor Undine, Op. 167, IV 29 Reineckes Background 29 Form of Sonata Undine 31 Treatment of Tonality 33 Analysis of First Theme 34 Analysis of Transition Section 41 Analysis of Second Theme 44 Analysis of Retransition 47 Analysis of Recapitulation 49 Chapter Five: Conclusions 51 List of References 55 Bibliography 56

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ii List of Figures Figure 2.1a The wedge concept in Nocturne in B Major Op. 32, No. 1 by Frederic Chopin 7 Figure 2.1b Use of upper/lowe r leading tones by Chopin 8 Figure 2.2 Toggle switch between single pitches 9 Figure 2.3 Double toggle swit ch between single pitches 9 Figure 2.4 Reduction of the first theme of Cello Sonata in E minor Op. 38 by Johannes Brahms 12 Figure 3.1 Harmonic reduction of Symphony No. 4 in E minor I, mm. 9-19 by Johannes Brahms 17 Figure 3.2 Prominence placement of the dominant prolonged by upper/lower leading tones 18 Figure 3.3 Duality of the tonic and dominant through equal treatment 19 Figure 3.4 Chromatic neighboring mo tion in conjunction with the upper/lower leading tones to the dominant 20 Figure 3.5 Wedge concept created by the resolution of upper/lower leading tones and tritones 21 Figure 3.6 Reduction of Sonata in A minor Op. 105, I, mm. 113-119 by Robert Schumann 22

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iii Figure 3.7 Reduction of Symphony No. 4 in E minor I, mm. 1-8 by Brahms 24 Figure 3.8 Further harmonic reduction of Symphony No. 4, in E minor I, mm. 1-8 by Brahms 25 Figure 3.9 Carl Reineckes Sonata Undine, mm. 1-4 25 Figure 3.10 Melodic reduction Reineckes Sonata Undine, IV, mm. 1-4 26 Figure 3.11 Primary motive of Sonata in A minor, Op. 105, I by Schumann 26 Figure 4.1 Thematic and tonal areas in Sonata in E minor, Undine, Op. 167, IV by Carl Reinecke 33 Figure 4.2 Melodic line of the first phrase of Sonata Undine, IV, mm. 1-11 34 Figure 4.3 Melodic line of the first phrase of Sonata Undine, IV, mm. 1-11 36 Figure 4.4 Reduction of the melodic line of mm. 1-11 in Sonata Undine, IV 37 Figure 4.5 Sonata in E minor Undine, Op. 167, IV, mm. 1-11 by Reinecke 38 Figure 4.6 Chords with toni c substitution potential 39 Figure 4.7 Harmonic reduction of mm. 1-11 in Sonata Undine, IV 40 Figure 4.8 Sonata Undine, IV, mm. 12-15 42 Figure 4.9 Sonata Undine, IV, mm. 16-25 43 Figure 4.10 Sonata Undine, IV, mm. 28-36 44 Figure 4.11 Harmonic reduction of Sonata Undine, IV, mm. 70-90 45

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iv Figure 4.12 Upper voice of piano in Sonata Undine , IV, mm. 101-107 47 Figure 4.13 Harmonic reduction of Sonata Undine, IV, mm. 135-147 48 Figure 4.14 Harmonic reduction of Sonata Undine, IV, mm. 147-160 49 Figure 5.1 Comparison of tonal areas to the first phrase of Sonata Undine. 53

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v Expanded Tonality: The Treatment of Upper and Lower Leading Tones As Evidenced in Sonata "Undine, IV by Carl Reinecke Joshua A. Blizzard ABSTRACT In the Romantic period, expanded tonali ty offers a crea tive challenge to composers as they explore new ways of esta blishing the hierarchy of pitches and utilizing the chromatic and diatonic resources. Promin ent compositional techniques of this period include the use of linear harmony with less clea rly defined root movements, the structural placement of dominant function, new approaches that redefine tonal stability, motivic treatment that generates harmony and form, flex ible treatment of rhythm and meter, and functional treatment of chromatic pitches. This study explores the ways in which characteristics of the Romantic period are in fluenced by the upper/lower leading tone and the effects of compositional treatment on the ex pansion of tonality. In addition, this study includes two supportive concepts: (1) the wedge and toggle switch by David Witten and (2) The Neapolitan Complex by Christopher Wintle. In describing techniques in expanded tonality, excerpts from com positions by Robert Schumann and Johannes Brahms (both prominent composers of the Ro mantic period) are us ed to establish the significance of these techniques. In the fourth movement of Sonata in E minor, Undine, by Carl Reinecke, the structural treatment of th e upper/lower leading tones to tonic and dominant are very prominent features that contribute significantly to the development of the concepts in this study.

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1 Chapter One Introduction In music, tonality within a composition provides a unifying similar to that of gravity holding the planets in orbit around the Su n. Each of the planets maintains a course surrounding the Sun with each having a gravit ational pull, but ultim ately, the center of the greatest pull is always the Sun. A definition of tonality is that it is the orientation of melodies and harmonies towards a referential (or tonic) pitch class. 1 Traditional tonality adheres to this concept by the specific empha sis that is given to single referential pitch identified as tonic. Expanded tonality howev er, departs from this concept by decreasing the emphasis on tonic and enhancing the signif icance of other pitches as alternate points of reference. The progression from traditional tonality to expanded tonality is accelerated during the Romantic period as composers ex plore the wide range of sounds and their timbral combinations. Basic characteristics of traditional tonali ty include a harmonic progression governed by predetermined root movements, a dominant anticipation of tonic, a structural emphasis on prominent chords, a melodic line generated by harmony, an emphasis on pitch with rhythm and meter, and a prominent use of diatonic pitches ornamented by chromaticism. In contrast, e xpanded tonality cont ains a linear harmony with less clearly defined root movements, an emphasis on the domi nant, a decrease of traditionally prominent chords, motivic patterns that generate form, a flexible treatment 1 Bryan Hyer. Tonality, Grove Music Online ed. L. Macy (Accessed 15 May 2007)

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2 of rhythm and meter, and an increase in the use of chroma ticism. During this period, the disparity between traditional and expanded t onality are evident w ithin the melodic, harmonic, and rhythm of the musical fabric. Discussion of Expanded Tonality The concept of the upper/lower leadi ng tone influences the presence of chromaticism due to the natural outgrowth of chromatic pitches in relationship to other pitches, creating an even furt her departure from traditional tonality. The natural result of emphasizing the tonic and dominant with the upper/lower leading t ones is the placement of chromatic pitches in a se quential setting, thus emphasizing other pitches and further creating harmonic ambiguity through the st ructural placement of these non-diatonic pitches. The concept of the upper/lower leading tone also appears as a motivic pattern and generates different types of harmonic progr essions that delay a nd prolong structural resolutions to tonic or dominant. The melodi c treatment as a neighbor group, for example G-A-flat-F-sharp-G, might appear initially in melodic line and be supported by harmonies that contain some, but not all, of these pitches. These melodic patterns become increasingly separated from th e linear unfolding harmonies that appear beneath them. The chord members related to the progressions may gradually appear, adding to the ambiguity of the local harmony. The combination of th ese asynchronous events further expands the perception of tonal clarity. The leading tone and its half step ascending resolution create the clearest perception of a pitch as tonic in traditional tonality. In expa nded tonality, the concept of the lower leading tone also applies to the upper leading tone and both are used to

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3 emphasize the dominant as well as the tonic. This compositional technique, coined by David Witten as a wedge, plays a significant role in the transition toward expanded tonality. With the use of the wedge concept in relation to th e tonic and dominant, both pitches and their respective chords have a sim ilar potential in establishing tonal structure. While this concept is melodic in origin, it also has the important function of generating harmonic material. As composer s seek new ways to modify traditional practices, they assign the function of leading tone to both diatonic and chromatic pitches. The treatment of an upper/lower leading tone to both tonic and dominant, is a technique that creates a framework in which t onality can retain some of its traditional stability and extend this role to other dimensions of the musical fabric. The emphasis on tonic as well as dominant within a phrase places these two functions on a more equal basis and allows both of them to partic ipate in extending the tonal structure. The function of tonic plays a less pervasiv e role in defining mu sical structure. A compositional technique that contributes to this effect is the substitution of an expected tonic chord with a different chor d that shares the same pitche s, such as the relationships that occur in third-related chords. For example, in the key of e minor, a resolution that would normally progress to the tonic (E-G-B) might instead progress to the submediant (C-E-G). This substitution is effective, becau se the harmonies share two identical pitches (E-G) and the voice leading that is needed to complete the ha rmonies is only a half step from B to C. This type of alternative chordal resolution is coined by David Witten as a toggle switch and is described as a series of incomplete chords in which the pitch needed to complete the chord is sustained in a ma nner similar to a suspension. When that pitch finally resolves by step, the other notes have moved on to another incomplete chord. The

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4 series of resolutions for these incomplete c hords create a type of deceptive resolution in which the root of the chord assumes a secondary function to that of the chord member. The role of the dominant is increased from a secondary role to one that is often comparable to that of the tonic. A compos itional technique that contributes to this prominence is the placement of the dominant pitch or chord at the beginning of the phrase and its prolonged treatment within the phrase. The increased emphasis on the dominant chord and especially the distinct function of the lead ing tone shifts the hierarchy of certain pitches in traditional tona lity, as well as their expected resolutions. Characteristics of Maintaining Tonality By the middle of the nineteenth cen tury, the predictable progressions of traditional tonality lack elements of spont aneity, a component th at is essential to creativity. Some composers dealt with this challenge through the expansion of tonality rather than its dissolution. By expanding tona lity, composers use diffe rent techniques that create an increased sense of harmonic ambi guity, departing further from the tonic. Despite this departure, all of the music th at expanded tonality still carry with it characteristics to keep some sense of pull towa rd the tonic, even if it was very slight. One of the ways in which tonal characteristics are maintained in music is by the continued use of associative resolutio ns of chromatic pitches, even ones that are prolonged. In addition, melodic references to the tonic triad are em bedded, and often appear unaligned within the basic harmonic structure, but retain their associative relationship. The bass line also replaced the whole harmonic pr ogression by creating a goal towa rd a particular cadential point, thus directing motion toward a harmoni c goal. This technique creates a sense of counterpoint by moving contrary to the sopr ano voice, which is a practice that is

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5 significant in tonality. While phrase treatmen t is modified in expanded tonality, the elements essential to the construction of phrase remains. As long as pitches and harmonies anticipate other sonorities, a hierar chy of pitches persists and thus expanded tonality is still tonality, but now the tonic does not have as much of the prominence that it has in traditional tonality. Significance of Carl Reinecke In this study, works by composers of the Romantic period are used to show the developing characteristics of expanded tonality. The finale movement of Sonata in E minor Undine (1882) by Carl Reinecke (1824-1910) contains frequent appearance of characteristics that demonstrate techniques th at are prevalent within expanded tonality. Critics of Reinecke have accused him of writing music that has very little invention as well as demonstrating a cold classicality. 2 Although this trait may be true for some of his music, Undine contains many characteristics that represent a departure from the conventions of traditional tona lity and the inclusions of othe r techniques that expand the boundaries of a tonal stability. In addition, Undine has a longstanding position in the standard flute repertoire for over a hundred ye ars, and it continues to be associated with literature by other Romantic composers. 2 J.A. Fuller Maitland. Masters of German Music Boston: Longwood Press. 1977, 205-206.

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6 Chapter Two Two Perspectives of Tonal Expansion The discussion of concepts related to t onal expansion provides valuable insight concerning the compositional treatment of tona l expansion. Two article s that contribute to perspectives discussed in this thesis are The Coda Wagging the Dog: Tails and Wedges in the Chopin Ballades 1 by David Witten and The Sceptered Pall: Brahmss progressive harmony 2 by Christopher Wintle. In both articles, the uppe r/lower leading tones to the tonic and dominant provide impor tant insight into the treatment of expanded tonality. This chapter of the thesis will include a discussion of concepts of the wedge and the toggle switch in the article by Witten, and the Neapolitan complex developed in the one by Wintle. The Coda Wagging the Dog: Tails and Wedges in the Chopin Ballades by David Witten The article by David Witten includes a discussion of the wedge and the toggle switch as well as the ways in which they infl uence the voice leadi ng of linear harmony. The author uses various Ballade s by Frederic Chopin to illustrate and contextualize these concepts. The wedge is a result of an upper/lower lead ing tone, whose persistent presence creates a gravitational pull toward a significant pitch. The other main concept, the toggle 1 David Witten. The Coda Wagging the Dog: Tails and Wedges in the Chopin Ballades. Nineteenth-Century Piano Music: Essays in Performance and Analysis ed. David Witten. (New York: Garland Publishing, 1997) 2 Christopher Wintle. The Sceptered Pall: Brahmss progressive harmony. Brahms 2 ed. Michael Musgrave. (Cambridge: Cambridge University Press, 1987)

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switch is the fluctuation of one note of a particul ar chord to another no te of a chord while the other pitches in the chords are identical. This concept is discussed in more detail later in this chapter. During a discussion of Nocturne in B Major Op. 32, No. 1 by Frederic Chopin, Witten refers to a description that contains four appearances of the 6 throughout fifty measures prompting the emergence of a rais ed fourth scale degree in m. 62, creating a wedge a half step above and below the domin ant (Fig. 2.1a). These pitches serve as upper/lower leading tones that emphasize structural pitches. In addition to these leading tones that appear before the dominant, the wedge serves to accentuate the tonic, in both a melodic and harmonic context. In the diagrams below (Fig. 2.1b), Witten illustrates examples of the wedge within the Ballade, and briefly discusses the conflict between the upper/lower leading tone. This study will expand on this concept by discussing the competition between the tonic and dominant, as well as the harmonic implications created by the wedge Figure 2.1a The wedge concept in Nocturne in B Major Op. 32, No. 1 by Frederic Chopin (Cited from Wittens article on p. 124). 7

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Figure 2.1b Use of upper/lower leading tones by Chopin (Cited from Wittens article on p. 125). In this article, Witten discusses Chopins use the toggle switch This term is most frequently derived from progressions of third related chords, such as moving from the submediant triad to the tonic triad. An example that he uses to descri be this technique is, The distance between the roots of F ma jor and A minor is, or course, a major third, but Chopin was apparent ly intrigued with an alte rnate perception of these sonorities as nearly identical chords. Two of the chord tones, A and C, are common to both; the third tonics either F or E, separated by only a half-step. In terms of the scale degrees of the A-minor scale, this F-E toggle switch is 6-5. 3 3 David Witten. The Coda Wagging the Dog: Tails and Wedges in the Chopin Ballades. 8 Nineteenth-Century Piano Music: Essays in Performance and Analysis ed. David Witten. (New York: Garland Publishing, 1997), 140.

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Figure 2.2 Toggle switch between single pitches (Cited from Wittens article on p. 140). This is an interesting example illustrating the important role of the upper leading tone and the dominant in Chopins music, as well as its significance in creating tonal ambiguity. In addition to having a single pitch that functions as a toggle, two pitc hes can also assume the same function joined by a singl e common pitch. The concept of the toggle switch in third-related harmonies creates the opportunity for the use of substitute chords, by providing progressions similar to those that re flect deceptive resolutions. The tonality of a piece becomes increasingly ambiguous when the tonic becomes a member of a chord instead of the root. The upper/lower leading tones also contribute to tonal ambiguity by acting as a toggle switch creating harmonies that are more linear, and less vertical, and thus contributing to expansion of tonality. Figure 2.3 Double toggle switch between single pitches (Cited from Wittens article on p. 144). The treatment of voice-leading in the toggle switch is expressed in the prolongation of pitches that emphasize traditi onally structural pitches. Witten discusses 9

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the use and prolongation of the submediant in or der to delay the structural dominant in a composition by Chopin. Motion from the sixth to the fifth de gree is an essential element not only melodically, but on every structural level; it occurs in the melodic contour of the themes, it strengthens various secondary dom inants, and it plays the major role in preparing the structural dominant. 4 This frequent voice-leading device of 6-5 is a significant stylistic characteristic that Witten designates as a distinguishing characte ristic of Chopin's compositional style. The upper leading tone to the dominant assumes a structural role in the harmony of these compositions and when it is extended in time, it prepares a more structural role for the dominant instead of the tonic. A technique that reflects Chopin's style is composing a four-measure phrase to cadence on V or within the ar ea of V, rather than I. 5 This technique is very important to the concept of the expanded harmony, because the placement the dominant in a structural position offsets the prominence of th e tonic, creating tonal ambiguity. The Sceptered Pall: Brahms s progressive harmony by Christopher Wintle Christopher Wintle discu sses the concept of the Neapolitan complex in his article. This concept describes the func tion of the half step as an upper leading tone. The author uses excerpts from compositions by Johannes Brahms and Franz Schubert to illustrate this concept. Wintle discu sses the function of the upper leading tone to tonic and dominant (minor mode) and its use in the context of key areas to emphasize thematic material. An important concept to note is th e difference in treatment of the upper leading 10 4 Ibid., 120. 5 Ibid., 121.

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tone within the major and minor modes. In th e minor mode, the submediant is naturally a half-step above the dominant, and therefore needs no modi fication; however, the major key requires the lowering of the submediant from its natural wholestep disparity from dominant The half-step above tonic requires a modi fication in both modes to create an upper leading tone above the tonic. Wintle quotes James Webster to describe Franz Schuberts use of the Neapolitan complex in sonata form by saying, When the first part of the second group appears in VI or vi, the subsequent move to the dominant mimics a move from the Neapolitan ( II) to a major tonic. 6 Neapolitan relationships of the key areas in the exposition and recapitulation of Schuberts Octet reinforce this concept: Exp: F D flat C Recap: F G flat F (Np I) In this example, the exposition contains a Neapolitan relationship between the VI and V, while the recapitulation contains the same relationship a fifth down from II to I. Interestingly, in minor modes, the Neapolitan complex creates an allusion to the pre-tonal Phrygian mode through the half-step relati onship between scale degrees 1 and 2. In addition to harmonic relationships, the Neapolitan complex also applies to motivic passages as well. Wintle uses an excerpt from the Sonata Op. 38 by Johannes Brahms (Fig. 2.4) to demonstrate this idea. The example below is a reduction of a passage containing a principal motive (B-C-B), which is duplicated at the fifth in mm. 6-7. The 11 6 James Webster. Schuberts sonata form and Brahmss first maturity, 19 th -Century Music 2/1 (1978-9), 27

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Figure 2.4 Reduction of Brahmss Cello Sonata in E minor Op. 38, first theme (Cited from Wintles article on p. 206). Neapolitan complex is very important to the study of the expanded harmony, because of the structural position of the upper leading tone to both the toni c and dominant creating greater tonal ambiguity through the equal treatment of both functions. 12

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13 Chapter Three Compositional Treatment of Expanded Tonality The musical environment that influences compositional activity in the Romantic period is both traditional and innovative. The dates that frame this activity in the narrowest sense are from 1825 to 1900, a nd in the broadest sense 1790 to 1910. 1 Composers that represent a variety of nationa l origins that include German, Italian, and French, carr[y] the traditions and idioms of the Classical period to the threshold of the Romantic. 2 In the transition between the two musi cal periods, composers retain the structural techniques that cont ribute to structural stability; however, they modify the context in which they are developed. This chapter is divided into two sections: (1) a discussion of characteristics that represen t expanded tonality and (2) compositional techniques of expanded tonality in se lected musical example and excerpts. Characteristics of Expanded Tonality In the Romantic period, tradi tional elements of tonality are retained as composers explore other techniques that modify the treat ment of pitch organization. Changes in the hierarchy of pitches affect the structure of melody, harmony, rhythm, meter, texture, tone color, and form. Harmonic instability is th e result of the additi onal use of chromatic pitches and the delay in their resolution w ithin linear progress ions. The melodic line 1 Rey M. Longyear. Nineteenth-Century Romanticism in Music (Englewood Cliffs, New Jersey: Prentice-Hall, Inc. 1969), 3. 2 Homer Ulrich and Paul A. Pisk. A History of Music and Musical Style (New York: Harcourt, Brace & World, Inc. 1963), 425.

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14 contains short, intervallic motives with wi der leaps, along with [a] greater emphasis on chromaticism and thematic transformation (char acter variation), leadi ng at one extreme to extraordinary lyricism. 3 The modified treatment of tonality affect s other aspects of the musical fabric. Melodic phrases are frequently asymmetrical due to the cumulative development of motives that unfold independently of the ha rmonic progression. The treatment of rhythm and meter are expressed with greater freedom and changes in tempo and time signatures occur more frequently. Compositions contain richer, fuller chords and constantly changing textures. 4 The texture of music experien ces significant changes in density, independent thematic activity, and less harmoni c congruity. Changes in tone color are the result of additional timbral resources that become available with the expansion of the orchestra and the wide range of dynamics used to produce dramatic effects. The external treatment of form continues to be a framework for the musical content; however, the internal content is progressively modified. Some of the modifications include the fragmentation of th ematic material into smaller theme groups, the expansion of the coda as a second deve lopment section, and the use of third related keys that define structural tonal relationshi ps. In addition, tonal areas are no longer the primary focus for formal divisions, but are replaced by motivic material as a primary determinant of form. The pitch content of harmonic progressions in the Romantic period is generated more by linear rather than vertical motion. In traditional tonality, tertian chord structures 3 David Poultney. Studying Music History (Upper Saddle River, New Jersey: Prentice Hall, 1996), 205. 4 Ibid., 204

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15 progress by predictable root movement that provides a sense of t onal structure. The traditional analysis that uses Roman numerals to indicate harmonic structure requires additional methods to explain the structur al significance of these progressions. In expanded tonality, the chord stru cture often consists of line ar step progressions, and the half-step is used provide a gr avitational pull to a certain pi tch. The frequent appearance of a pitch in a harmonic progression establishes its significance, regardless of its function as a root or a as a chord member. The supremacy of tonic in establishing mu sical structure is now shared by both tonic and dominant. In expanding tonality, toni c continues to appear frequently, however it is often shares the stru ctural function of defining phrases with the dominant. Tonic subsitution in which the tonic pitch becomes a chor d member rather than the root of the chord, weakens the prominence of the tonic. In addition, the dominant no longer functions exclusively as anticipation for tonic; instead, it assumes a more stable function that does not need a resolution. The strength of the dominant is due to its prominent placement at the beginning and ending of a phrase, and the techniques that prolong its presence, as well as delayi ng its need for resolution. The upper/lower leading tones to the t onic and the dominant contribute to the strength of these two functions, and their treatment in melodic and harmonic materials contributes to the expansion of tonality. The additions of th ese leading tones create more chromaticism when pitches are altered to achieve a half-step relationship. The tritone, in conjunction with the leading tones creates a strong gravitational pul l to a significant pitch, similar to the wedge concept discussed earlier. The appearance of these chromatic pitches in prominent harmonic positions se rves to delay, and sometimes even avoid

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16 resolutions. The harmonic structure that cont ains these upper/lower le ading tones is most evident in the German sixth and Neapolit an chord; however, secondary dominants, diminished seventh chords, and the minor submediant also assume leading tone functions. The linear texture is characte rized by stepwise motion and neighboring patterns that are frequently used to prol ong these upper/lower lead ing tones. The linear unfolding of harmonic progressions delays th e resolution of these leading tones, and consequently this technique often leads to harmonic ambiguity. While stepwise motion creates ambiguity in harmonic progressions, it is the stepwise motion in the bass line that directs the motion towards a stable pitch center. Melodic development is affected by the appearance and treatment of leading tones. The expansion and repetition of motives is a characteristic technique of the Romantic period, and many of these motivic fragments contain pitche s with leading tone potential that are realized later in the composition. Some motives contain leading tones that resolve immediately with in the motive, while others are delayed through various techniques of linear unfolding. A sense of c ounterpoint is created in the texture using imitative motivic fragments and the inde pendence established by contrary motion between the melodic line and the bass. Compositional Techniques of Expanded Tonality In this portion of the chapter, musical examples (originally composed) and excerpts (from the standard literature) will be used to illustrate many of the compositional techniques that have been previously discu ssed. The first three examples demonstrate the changing roles of the tonic and dominant, th e techniques of the uppe r/lower leading tone, and the treatment of tonic substitution that contribute to these functions. The additional

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excerpts contain other significant compositiona l techniques that appear in selected compositions by Johannes Brahms, Robe rt Schumann, and Carl Reinecke. The retention of tonic as a pitch in various harmonic contexts and the emphasis created by upper/lower leading tones are tec hniques that are desc ribed in the figure below. Figure 3.1 is a reduction of an excerpt from mm. 9-19 of Symphony No. 4 by Brahms. In this excerpt, toni c (in the key of e-minor) freque ntly appears in a variety of harmonic contexts to assert its structural presence. It shou ld be noticed that the tonic pitch E is emphasized by its lower and upper l eading tone; however, it is not always the root of the chord. The presence of the tonic pitch within various harmonic contexts creates a sense of tonic stability, while the vertical stability that is indicated by the Roman numerals expresses harm onic tonal ambiguity. In the figures below, the shaded notes indicate upper/lower leadings, as well as tonic and dominan t when appropriate. Figure 3.1 Harmonic reduction of Symphony No. 4 in E minor I, mm. 9-19 by Johannes Brahms. The use of the upper/lower leading tones to the domi nant pitch elevates the significance of the dominant to a role similar to that of the tonic. In traditional tonality, the dominant functions as a preparation for th e tonic, however in expanded tonality the dominant assumes a role of great er tonal stability similar to th at of the tonic. In Figure 17

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3.2, an original example in C-major illustrate s how the upper/lower leading tone is used to establish the stability of the dominant. The bottom voice of the progression emphasizes this neighboring effect of the upper/lower leading tones. It sh ould also be noted that the pitches F-sharp and A-flat are lower and upper neighbors to the root of the dominant chord, while the pitches C and E-flat are uppe r neighbors to the third and fifth of the dominant triad, B and D respectively. Figure 3.2 Prominence placement of the dominant prolonged by upper/lower leading tones (An original example). The technique described in the previ ous paragraph is defined as dominant prolongation. This term refers to the extended presence of the dominant by its upper/lower leading tones. In the treatment of dominant prolongation, the dominant pitch appears as a chord members until it achieves a more prominent role as the root of the chord. 18 The use of leading tones in order to em phasize the tonic as well as the dominant redefines their dual roles in esta blishing tonal stability. With this treatment, the structural use of leading tones produces an expanded harmonic context that alters the traditional harmonic progressions, and extends the mel odic line through delayed resolutions. Figure 3.3 is an original example that illustrates tonic and dominant duali ty by using upper/lower leading tones to emphasize both pitches. The techniques of tonic substitution and dominant prolongation allow for th e frequent appearances of th ese two pitches within this progression. The tonic chord in this progression is followed by secondary harmonies that

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contain the tonic pitch, which f unctions as a chord member instead of the root. In mm. 4 and 5, the secondary diminished and dominant seventh chords contain the tonic pitch as a chord member rather than the root. These tw o secondary harmonies provide references to the tonic pitch and at the same time create an embellishment for the dominant. In these measures, there is a sense of tonic and domina nt duality, since the tonic pitch within these chords is used to enhance the dominant. In this passage, upper/lo wer leading tones of both tonic and dominant appear in their characteristic neighb oring motion in order to add stability to both functions. Figure 3.3 Duality of the tonic and dominant through equal treatment. The use of the upper/lower l eading tones and their effect s on voice-leading greatly influence harmonic progressions in expanded tonality. Various compositional techniques create a sense of stability by us ing step progressions of chord roots in order to replace the emphasis on roots of chords, which are promin ent in traditional tonality. The appearance of tonal instability is often obscured by chromatic neighboring mo tion in voice-leading, the addition of the tr itone enhancing the wedge concept, the emphasis of chromatic harmonies that delay and sometimes avoid re solution, and stepwise linear motion in the bass that appears in both a diatonic and chromatic context. The recognition of these techniques as modifications of traditional practices provides an insight into the transitional role of tonal func tion in the Romantic period. In the following paragraphs, the com positional treatment of the upper/lower leading tones within harmonic and melodic text ures is discussed. The intention of this 19

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discussion is to indicate a type of struct ural presence that is achieved through these techniques. Chromatic neighbori ng motion is often the voice-lead ing that results from the use of upper/lower leading tones. In the eminor example below (Fig. 3.4), the German sixth chord precedes the tonic chord. In this progression, E and G are retained in a similar manner to the toggle switch technique, while the A-sharp and C generate a half-step wedge motion to the dominant pitch. The neighboring motion that follows provides stability for the ultimate statement of the tonic triad. Figure 3.4 Chromatic neighboring motion in conj unction with the upper/lower leading tones to the dominant (Ordering of pitches shown non-traditionally for sake of clarity). The wedge concept is often the result of the use of the upper/lower leading tones in conjunction with the tritone. The added tritone can be eith er natural to the vertical structure of the German sixth, or it can aris e in a linear manner characteristic of the chromatic neighbor pattern. In the e-minor example below (Fig. 3.5), the German sixth chord contains both the upper/lower leading tones to the dominant pitch, as well as a tritone. In addition to the resolution implied by upper/lower leading tones to the dominant, the presence of the tritone between the root and the diminished fifth also demands resolution. This combination creates a strong gravitational pul l to pitches of the 20

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dominant triad. It should be noticed that C and A-sharp, the augmented sixth interval, traditionally expands to the pitch B, the root of the dominant chord. In the tritone A-sharp to E, the pitch A-sharp traditionally contracts to B, however, the pitch E is delayed before resolving to D-sharp in the third chord. The reso lution of the pitch G is also delayed in its resolution to F-sharp. In the third chord, th e pitch C arises from the characteristic neighboring motion from B. The third chord th at results from the linear motion resembles a D-sharp diminished chord without the fift h, but more important is the presence of another tritone, F-sharp to C. When this tritone resolves in a traditional manner to G and B, it is accompanied by the pitch F, crea ting another tritone between B and F that commands a traditional resolution to C and E. A reference to the upper line of this harmonic progression contains a double neighboring motion, D-sharp and F to E, creating a linear wedge to this tonic pitch. Figure 3.5 Wedge concept created by the resolution of upper/lower leading tones and tritones (chord placed in n on-traditional ordering for clarity). In harmonic progressions, the implied re solutions of upper/lo wer leading tones are often delayed. In Figure 3.6, the harm onic reduction from an excerpt by Schumann illustrates this technique. In the first measur e, the secondary dominant of the dominant sets up the traditional expectation for a resolution to dominant. While this dominant pitch 21

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does occur in other chords, it is disguised due to its function as a chord member rather than the root of the chord. The upper/lower leading tones appear al ternately to provide the intended resolution to the expected dom inant triad earlier in the progression. The deceptive resolutions occur when some of the chord members resolve. The lack of a complete resolution occurs for such a length of time, that when the chord finally appears, it no longer has an audible association with the previously unresolved chord. Figure 3.6 Reduction of Sonata in A minor Op. 105, mm. 113-119 by Robert Schumann. Delayed resolution to the dominant is created in part by the use of upper/lower leading tones. In Figure 3.6, the upper/lower leading tones create step progressi ons that delay the appearance of the major dominant triad, which causes a degree of tonal instability within the harmonic progression. A sense of tonal direction is provided by the stepwise chromatic descent in the bass line. This conti nuous half-step descent provides a sense of tonal stability that is created by the goal -directed motion leadi ng to the dominant. The function of the melodic line in trad itional and expanded t onality provides a framework in which to express and develop thematic ideas from pitches in the harmonic background. In traditional tona lity, the thematic ideas are often immediately associated with their local harmony. In expanded tonal ity, thematic fragments frequently delay harmonic resolutions that are realized later in the progression. Another feature of the melody in expanded tonality is its independe nce from the harmony, due to the repetitive nature of the motive, and its cont rary motion from the bass line. 22

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23 Motivic fragments containing pitches w ith leading tone potential expand and repeat throughout the course of thematic development. Some of these pitches are resolved within the motivic statement, while others are delayed until later in the phrase. Motives containing a pitch with leadi ng tone potential occur naturally within the harmonic minor scale, as either a lower le ading tone to tonic or upper leading tone to dominant. Composers may also give struct ural significance to pitches with leading tone potential through its structural placement within motivic material. In the development of thematic material, motivic fragments consist of intervallic patterns that are suggestive of different tona lities. These patterns are repeated, expanded, and combined to later reflect a form of tonal clarity. An example of this motivic treatment is presented in the first movement of Symphony No. 4 in E minor by Brahms (Fig. 3.7). This example features a two-note motivic fr agment, that of a descending third and an ascending sixth, which become the source of fu rther thematic development within much of the composition. The identical rhythmic pattern of this fragment reinforces its contribution to the evolving thematic material, and the sequence that follows immediately expands it into a four-note motive. The fou r-note motivic pattern created by the rhythmic qualities of the motive disguises the descendi ng tonic triad in the first measure, causing harmonic ambiguity within the melodic line. The isolated two-note fragments give an initial impression of harmonic ambiguity. In the sequential treatment of the four-note pattern, a D-sharp diminished triad provides clarity to the harmonic implications. This example also illustrates the structural placem ent of the lower leading tone, D-sharp in measure three, and the upper leading tone of the dominant in measure two. In the first four-note motive, the pitch C does not reso lve to the dominant until the four-note

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sequence in measure four. In the second sequenc e, the resolution of the pitch D-sharp is also delayed until it resolves to the tonic on the downbeat of the measure five. Figure 3.7 Harmonic reduction of Symphony No. 4 in E minor I, mm. 1-8 by Brahms. This two-note motive is the generating factor within this composition. In the original score, the harmonic cont ent that supports this melodic line is expressed within an arpeggiated context In Figure 3.8, however, the texture has been reduced to block chords in order to show the full harmonic conten t that supports these motivic gestures. It is also interesting to note the initial complexity of the harmonic function when using Roman numerals. A furthe r reduction of this progression reveals the 24

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delayed resolutions of the upper/ lower leading tones, F and Dsharp, to the tonic, as well as the upper leading tone C, to the dominant. Figure 3.8 Further harmonic reduction of Symphony No. 4, in E minor I, mm. 1-8 by Brahms. The lower and upper leading tones to the tonic emphasize the tonic pitch within this melodic passage. A similar treatment in the development of motivic fragments appears in the melodic line from the first phrase of Sonata Undine by Reinecke (Fig. 3.9). The appearance of a potential leading tone within the motive, and its delayed resolution is very evident in the development of this phras e, and is discussed in more detail in the following chapter. The example is included here to show the independence of the melodic line and its contrapuntal implications in ot her places within the musical texture. In the melodic line, a sense of contrary mo tion emerges between th e ascending pitches of the anacrusis in each of the motivic fragments and the descending bass line. The Figure 3.9 Sonata Undine, mm. 1-4 by Carl Reinecke. The melodic line moves in an ascending motion contrary to the bass line, which moves in a descending motion. 25

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polyphonic nature of the melodic line implie s two voices, as illustrated by Figure 3.10. The anacrusis to each measure outlines the tonic triad until its de scent in the fourth measure, while the leading tones to the domin ant and tonic receive structural significance through their metrical placement on the strong pa rt of the beat, as well as by duration. All three lines have varying degrees of independence due to the textural distinctions created by varying rhythmic patterns. Figure 3.10 Melodic reduction of Sonata Undine, IV, mm. 1-4 by Carl Reinecke. The next example (Fig. 3.11) contains a pr imary motive in the first movement of Sonata in A minor Op. 105 by Schumann. In this motive, the upper/lower leading tones to the dominant are expressed within in th e motive. This primary motive contains a resolution of the upper leading t one (F) to the dominant pitch (E). The resolution of the lower leading (D-sharp ) is interrupted by a repetition of the motive (see upper bracket). The pitch E provides a temporary resolution in the immediate repetition of the motive. The initial appearance of the neighbor group is embedded in the repetition of the motive (see lower bracket of the example). It is interesting to note the metric displacement that occurs when the rhythm of the motive and it s repetition does not appear on the primary beat of the measure. Figure 3.11 Primary motive of Sonata in A minor Op. 105, I by Schumann. 26

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27 In this chapter, originally composed examples and excerpts from the standard literature are used to illustrate various trea tments of the upper/lowe r leading tones within melodic and harmonic contexts. The modified tr eatment of leading tones to the pitches of the tonic and dominant provide another pers pective to pitch stab ility during a period where composers are extending traditional functi ons and exploring new resources in pitch organization. The primary and supporting role s of tonic and dominant respectively are modified, giving both more of an equal status Tonic substitution is the frequent presence of the tonic pitch as a chord member, appeari ng in a variety of contexts and replacing its traditional role of tonic in framing melodi c and harmonic motion. The secondary role of dominant as a preparation fo r tonic is enhanced through its prolongation and significant placement within the musical structure. In harmonic progressions, the upper/lower leading tones appear in a linear context, and are used to emphasize pitches through neighboring voiceleading. The use of the tritone in conjunction with the leadi ng tones creates strong linear harmonies and enhances the wedge concept. The inclusion of these chromatic pitches within the harmonic texture and their delayed or avoi ded resolutions provide a sense of tonal instability. Stepwise linear motion in the bass line of this harmonic texture often creates a projected motion that helps to defi ne a more stable tonal goal. In addition to harmony, the upper/lower l eading tones strong ly influence the melodic line of a composition. The expansion and repetition of motives is a concept central to the Romantic peri od, with fragments containing pitches with leading tone potential that are later rea lized. Motivic fragment contai n leading tones that resolve immediately and others that are delayed th rough various techniques of linear unfolding.

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28 A notable feature of the melody in expande d tonality is its independence from the harmonic line through the different rhythmic and textural features that contributes to its distinctive qualities. The use of the upper/lo wer leading tones in melodic, harmonic, and textural contexts creates new approaches to the treatment of tonality.

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29 Chapter Four The Compositional Style of Carl Reineckes Sonata in E minor Undine, Op. 167, IV Compositional techniques of the Romantic period begin to reflect more innovative approaches to pitch structure as the restrictiv e principles of traditional tonality decline. These techniques become more prevalent in the last two decades of the nineteenth century. In the previous chapter, general musi cal characteristics of the Romantic period are described in reference to the ways that they modify the practice of traditional tonality. In addition, prominent composers of this pe riod are referenced in regards to their approach to these modifications by using th e upper/lower leading tone. The concept of the upper/lower leading tones to the tonic and dominant pr ovides a framework in which tonality can be modified and expa nded from traditional concepts in Sonata in E minor, Undine, Op. 167, IV by Carl Reinecke. Reinecke uses this concept as a pervasive structural feature in this composition, and consequently, a more detailed analytical discussion appears in this chapter. Reineckes Background Carl Reinecke was a German composer, teacher, pianist, and conductor born in Altona, Germany on June 23, 1824. In his early years, his father, J.P. Rudolph Reinecke, was responsible for a significant portion of his initial music education. He was court pianist in Copenhagen in 1846, and in 1851, he moved to Cologne to teach counterpoint

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30 at Hillers conservatory. In 1860, he became a teacher at the Leipzig Conservatory where he eventually became director in 1897. Carl Reinecke died in Leipzig on March 10, 1910. 1 As a composer Reinecke was best know n for his numerous piano compositions, representing virtually every musical form of the time and, despite being influenced by Mendelssohns melodic style, was stylistically nearer to Schumann. 2 Many critics have accused Reinecke of bei ng a traditional composer and teacher with a preference for the conservative f oundation provided by the works of composers such as Bach and Palestrina. 3 At the same time, he was productive in his compositional activities with early Romantic influences from both Robert Schumann and Felix Mendelssohn. 4 In addition to influences from his predecessors, his contemporary professional circle contained many friends who were accomplished musicians and composers, the most notable being Johannes Brahms. Reinecke was also a piano teacher whose students included the da ughters of Franz Liszt. In 1898, Reinecke wrote a cello and piano sonata To th e memory of Brahms, 5 revealing a familiarity that they had with one another. The compositions of Reinecke are nume rous, many of which are chamber and piano music. His sonata for flute and piano, Undine is his most frequently performed work 6 and remains a part of the standard flute literature to this day. This sonata, more 1 Reinhold Sietzr, Carl Reinecke, Grove Music Online ed. L. Macy (Accessed 2 July 2007) 2 Ibid. 3 Maurice Hinson, Guide to the Pianists Repertoire (Indianapolis: Indian University Press, 2000), 640. 4 Ibid., 640 5 Michael Musgrave, The Cambridge Companion to Brahms (United Kingdom: Cambridge University Press, 1999), 296. 6 Reinhold Sietzr, Carl Reinecke, Grove Music Online ed. L. Macy (Accessed 2 July 2007)

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31 formally known as Sonata in E minor, Undine, Op. 167, is a programmatic composition based on the 1811 novel by Friedric h de la Motte Fouque, which tells the story of the sea nymph Undine who falls in love with a mortal man that later scorns her. 7 The sonata consists of four movements: I: Allegro, e-minor; II: Intermezzo, b-minor; III: Andante, G-major; and IV: Finale, e-minor. The following analytical discussion of the fourth movement provides insight into the us e of upper/lower leadi ng tones to the tonic and dominant as a structural determinant. This discussion includes an overview of the thematic structure, a chart that summarizes the formal scheme, a description of expanded tonal techniques in the first 35 measures of the exposition and other selected passages that occur at structural points within the movement. Form of Sonata Undine The Finale movement in e-minor contains characteristics that are indicative of sonata-allegro form. The three traditiona l sections are the exposition (mm. 1-114), development (mm. 115-159), and recapitulati on (mm. 159-317). In the exposition, a twonote motivic gesture characterizes the first theme (mm. 1-46) with a descending skip from an anacrusis to a sustained strong beat The first theme in e-minor is followed by a transitional passage which prepares for the arrival of the second theme (mm. 53-89), in G-major. A similar motive from the first them e characterizes the second theme, with an ascending skip rather than a descending one The tonality of G-major lasts for 21 measures and then changes to the dominant of B-major. This key overlaps four measures into the closing theme (mm. 91-114) as it modulates temporarily for eight measures back to e-minor (mm. 96-103). The motive in the closing theme, when compared to the first 7 For more detailed information on the story of Undine, visit

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32 and second themes, contains a distinct contrast with the absence of an anacrusis and the frequent use of triplets within the rhythm pattern. In measure 104, the tonality changes again to the third-related key of c-minor (mm. 104-114), which is strengthened by the German sixth chord that emphasizes the dominan t pitch within this key. This tonal area ends in the closing theme at measure 115 with a short transiti onal section to the development (mm. 120-159), as well as a retu rn to the key of B-major (mm. 120-134). The development section begins with a traditional treatment of motivic development from the previous thematic materi al and includes a transitory progression to various tonal areas. This section rema ins in the dominant key from mm. 135-147, modulates to the key of G-major, and th en progresses through a tonally ambiguous passage (mm 148-159) to the recapitulation. In the recapitulation, the first theme (mm. 159-186) returns in the tonic key of eminor as is typical of sonata-allegro fo rm. The second theme (mm. 187-225) modulates to the parallel key of E-major, and con tinues with a seemingly uncharacteristic modulation to A-flat-major from measures 212-228; however, this key is an enharmonic equivalent of G-sharp-major, the mediant of E-major. The end of this section contains a closing theme (mm. 229-246) that alternates between a D-sh arp diminished chord and an E-flat-major chord. These two chords contain pitches that are also enharmonically equivalent, with the E-flat chord functioning as the dominant of the previous key of Aflat-major. A transitional section to the coda occurs at measure 246 with the return of the first theme in the original tonic key of e-minor. In measure 278 of this transitional section, a mutation occurs from e-minor to E-ma jor, which anticipates the key of the coda

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in m. 279. The diagram in Figure 4.1 provides a summary of the formal and tonal plan of the movement. Figure 4.1 Thematic and tonal areas in Sonata in E minor Undine, Op. 167, IV by Carl Reinecke. Treatment of Tonality The treatment of tonality in this move ment is modified in the melody, harmony, rhythm, and texture. The traditional emphasis on pitches within the tonic, subdominant, and dominant triads are replaced by occasional references to pitches from the tonic and dominant triads. The tonic pitch appears fre quently to establish its presence; however, it is disguised in other harmonic contexts. In more frequent situations, the dominant assumes greater significance when it appears at the beginning of the phrase, is prolonged, or its resolution to tonic is avoided. The stru ctural significance of pitches from the tonic and dominant triad are given greater emphasi s by the use of upper/lower leading tones. Additional significance is given to this leading tone treatment by its use in motivic patterns, as well as rhythmic and metrical emphasis. In harmonic progressions, the linear 33

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voice leading contains chromatic neighbor moti on that is reflective of the upper and/or lower leading tone treatment. The vestiges of tonality are most evident in the formal design of the composition. An interesting feature to note is the relationship between the first thematic material and the tonal areas of the composition. Figure 4.2 co ntains the order of key areas in this movement and their relationship to the melodic line in the fi rst phrase. The key areas at the beginning of this movement express an e-minor triad and the key of c-minor follows shortly thereafter in the second half of the closing theme where it may be interpreted as an upper leading tone to the dominant, in a manner similar to the melodic line in mm. 34. The next part of the tonal progression creates an interrupt ed descending e-minor triad similar to the melodic material in measure four. In the following analysis, phrases from structural points in the movement are used to illustrate the ways in which the upper/lower leading tone and other com positional techniques expand the boundaries of traditional tonality. Em GM BM Em Cm BM Bm GM Bm Em Figure 4.2 Comparison of tonal areas to the first phrase of Sonata Undine. Analysis of First Theme The motivic development of thematic mate rial is repeated and expanded within the phrase structure. This material is divided into two phrases, mm. 1-4 and 5-11. In Figure 4.3, the first phrase is assigned to the flute. The rhythmic treatment of the first phrase creates a strong sense of metric instab ility when the two-note motive in the first 34

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35 three measures appears as an anacrusis to a strong beat. The repetition of this motive becomes a generating factor throughout the co mposition. The fourth and final measure of the phrase augments the feeling of syncopa tion from the first three measures with a delayed resolution of the anacrus is. These features of instabil ity, as well as the allegro molto tempo, contribute to the general feeli ng of tension in the first phrase. The second phrase of the theme begins in measure five The two-note grouping of the motive in the first phrase is now extended to three and four notes as the thematic material develops. The continuous development and expansion of the motive extends the second phrase to seven measures, creating an asymmetrical relationship when compared the four measures of the previous phrase. In the melodic line, the vestiges of traditional tonality are quite evident. Pitches related to the e-minor triad initiate the twonote motives at the beginning of the phrase, they are followed by a descending and ascending tonic triad in mm. 4 and 8, respectively, and the tonic is prominently placed as a clim actic pitch in mm. 9-10. The first and second anacrusis of the first phrase is on E with th e following anacruses on G and C. The pitch C becomes an upper leading tone to the dominant when it resolves immediately to B. In this progression, the tonality of e-minor is reta ined in the ascending e-minor triad expressed in the span of three measures, followed by a rapid descent in the following measure. The absence of the traditional dominant-tonic support by the harmony creates a less stable tonality. The lower leading tone emphasizes the pitches of the e-minor triad; however, their resolutions are often delayed, creating a sense of tonal instability.

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Figure 4.3 Melodic line of the first phrase of Sonata Undine, IV, mm. 1-11. Arrows indicate the resolution of the upper and lower leading tones to the tonic and dominant. The appearance of a chromatic pitch with leading tone potential in the motivic line is indicated by arrows in Figure 4.3. In these phrases, the potential of these pitches contains a delayed realization. Figure 4.4 illustra tes this melodic line in a reduced format, which helps to reveal leading t one relationships. In this diagram, the shaded notes are the leading tones, while the white notes are pitches of the e-minor triad. It is interesting to note that every pitch that is not a part of the tonic triad is a leading tone to the tonic or dominant, with the exception of the A-flat, an upper leading tone to the mediant. The pitch D-sharp is delayed in its resolution to E at the end of the descending e-minor triad. In the second phrase (the second bracketed grou p in the figure), the pitches F-natural and E are emphasized on strong beats in successive measures, creating a de layed resolution to E. These pitches occur again in the next two measures, and are preceded by an anacrusis. An ascending e-minor triad follows in measur e eight, leading to the climax pitch of E. The function of pitch C as an upper leading tone to the dom inant appears clearly in the first phrase with its immediate resolution to the domina nt. In the second phrase, a reference to the second bracket shows that th e pitch C appears early in the phrase, is delayed, and is later followed by the lower l eading tone, A-sharp, befo re resolving to B, 36

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the dominant pitch. The treatment of these de layed leading tones c ontributes greatly to the expansion of tonality. Figure 4.4 Reduction of the melodic line of mm. 1-11 in Sonata Undine, IV. The texture that supports this melodic line enhances the elements of expanded tonality. A reference to Figur e 4.5 illustrates the independent roles of the bass line and the arpeggiated harmony. The stepwise progression in the bass begins on the pitch C and creates a goal of directed motion that ends on the pitch G before it skips back to the pitch C. When the C appears again, it resolves to the dominant pitch, B, functioning as an upper leading tone to the dominant. This de scending step-wise motion moves contrary to the ascending motion of the tw o-note motive in th e melodic line, creating a contrapuntal motion of independent voices. 37

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Figure 4.5 Sonata in E minor Undine, Op. 167, IV, mm. 1-11 by Reinecke. In the harmonic progressions, the char acteristics of expanded tonality are prevalent in the use of tonic substitution which obscures the immediate presence of harmonic stability. In this ar peggiated harmony (mm. 1-11), p itches of the e-minor triad are retained by their presence in other chords. This treatment of tonic substitution appears in the opening German sixth chord as the pitches E, G, and B gradually unfold through 38

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stepwise motion in the form of the toggle While the dominant harmony does not appear in this passage until the cadence, the German sixth chord in the first measure provides anticipation to this chord th rough the presence of the upper/ lower leading tones to the dominant. The prolongation of these lead ing tones through the unfolding harmonic progressions creates a wedge to their eventual resolution at the end of the phr ase. In this linear harmony, the chord structures are ofte n unclear when they are identified with traditional Roman numerals. Figure 4.6 is an original harmonic progre ssion that has been created to show chords containing at least two notes in co mmon with the tonic triad, and the influence that these chords have on the progression wh en other notes are added. It may be noticed that when Roman numerals are added to repr esent these chords in a traditional manner, they do not indicate tradi tional root movement. Figure 4.6 Chords with tonic substitution potential In the harmonic progression, it is interesting to note that the presence of the tritone in addition to the upper/lower leading tones also contributes to the expansion of tonality. Measures 1-11 begins with a Germ an sixth chord, which contains the tritone, along with the upper/lower lead ing tones to the dominant, creating a greater need for resolution. Two different treatments of the re solution of the tritone appear within this 39

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passage. The first type appears in mm. 1-2 wh ere the leading tone to the dominant (Asharp) resolves while the tonic pitch is retain ed in both chords. The second type occurs in mm. 3-4 where the pitch A resolves to G while the leading tone resolves to tonic. The inherent potential of the tritone and the l eading tone to resolve creates a stronger gravitational attraction to the note of resolution. Figure 4.7 Harmonic reduction of mm. 1-11 in Sonata Undine, IV. The delaying of structural harmonies in mm. 1-11, particularly the dominant, is created by the frequent use of upper/lower leading tones, which expand and modify harmonic progressions. When the German sixt h chord appears in the first measure, it makes its traditional resolution to the i6/4 in the second measure, but instead of resolving to the dominant chord, the progression moves deceptively to a diminished seventh chord in the third measure. Nine measures dela y this resolution to the dominant until the reappearance of the German sixth, which resolves directly to the dominant in a cadential statement. An important concept to note he re is Reineckes frequent use of harmonies with deceptive qualities to delay resolution. The treatment of the dominant and toni c using upper/lower leading tones is similar throughout mm. 1-11, causing a greater equality of both pitches. In the first measure, the upper and lower leading tones to the dominant (C and A-sharp) appear and 40

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41 resolve through linear unfolding in the second measure. In the third measure, the lower leading tone to tonic (D-sharp) appears and resolves in a similar manner in the fourth measure. The upper leading tone to tonic (F) ap pears in measure five and its resolution in measure six is delayed by an escape tone. The upper and lower le ading tones to the dominant appear again in the tenth meas ure and resolve in the following measure similarly to the beginning of the phrase. The similar treatment given to both the tonic and dominant modifies their traditional roles in establishing tonality. The previous discussions of expanded t onality in the fourth movement have focused primarily on the first eleven measures. In these measures, the treatment of the upper/lower leading tones appear in melodic, harmonic, and textural materials, and they greatly influence an expansion of tonality. Th e related concepts that are discussed in the third chapter also appear in these measures to form the framework for the remainder of the movement. The discussion that follows id entifies the use of these concepts in passages that appear in tradit ional sonata-allegro form. Analysis of Transition Section The transition section in mm. 12-35 is di vided into three sections (mm. 12-15, mm. 16-27, and mm. 28-35). In the first phrase of this transition (Fig. 4.8), the lower voice of the piano continues the development of the twonote motive from the first theme. One of the primary features of this segment is the emphasis that is given to the dominant harmony. In this passage, the dominant harmony is resolved deceptively and then embellished by a secondary diminished chord. Within this pr ogression, pitches of the upper/lower leading tones to the dominant pitch as well as the lower leading tone to the tonic pitch provide a dual reference to bot h pitches. Within the phrase an underlying

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arpeggiated tonic triad appear s in the lower voice of the piano, which gives the tonic a sense of tonal stability. Figure 4.8 Sonata Undine, IV, mm. 12-15. The second segment of the transition in mm. 16-27 (Fig. 4.9) assumes a dual function of emphasizing the dominant and antici pating the tonic in the melody, as well as in the harmony. One of the most prominent features of this segment is the linear unfolding of the dominant seventh chord with in the melodic line. The segment begins with an ascending skip of the dominant pi tch, followed by underlining chromatic motion with intervening neighbor motion to the pitch D-sharp. The harmonic support for this portion of the melodic line contains a ha lf-diminished seventh chord. The dominant seventh chord is then completed by two asce nding skips from D-sharp to F-sharp and Fsharp to A, supported harmonically by a fully diminished seventh chord. The placement of these final three pitches on the strong beat of each measure contributes stability to the metrical structure. While the dominant is emphasized throughout th e phrase, the very nature of the dominant seventh chord anticipates tonic, especially in conjunction with the diminished seventh harmonies that support it. 42

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Figure 4.9 Sonata Undine, IV, mm. 16-25. In the third segment (mm. 28-35), the tw o-note motivic skips are reminiscent of the opening thematic motive, and alternate between the upper voice of the piano and the flute (Fig. 4.10). The descendi ng intervallic skip of a tritone is imitated in different registers before resolving in the upper voice of the piano to E-G (mm. 33-34), which are members of the tonic triad that appear in the context of a an unrelated diminished seventh chord. At this point of resolution, the pitch A-sharp creates anot her tritone between Asharp and E, which is also repeated and imitated. The traditional resolution of this tritone is avoided and these pitches instead become members of the German sixth chord (Asharp, C, E, and G) in preparation for the return of the first theme. 43

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Figure 4.10 Sonata Undine, IV, mm. 28-36. Analysis of Second Theme The second theme begins at m. 54 in the key of G-major. A second statement of this theme at m. 70 in the key of B-majo r features the prominent placement of the dominant and its prolongation. A harmonic reduction of this passage is illustrated in Figure 4.11. In this figure, the first measure containing the C-sharp half-diminished chord represents mm. 70-76 because of its sustained presence. This figure is used to describe the techniques of dominant prolongation, tonic substitution the dual treatment of tonic 44

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and dominant, and the toggle switch Within this passage, the dominant harmony is emphasized because of its prominent placement and its prolonged treatment throughout the phrase. When the tonic chord does occur, it functions as either a tonic 6/4 or V7/IV utilizing the technique of tonic substitution Another feature that disguises the tonal function is the initial presence of the ii7 chord that preced es the dominant prolongation. Figure 4.11 Harmonic reduction of Sonata Undine, IV, mm. 70-90. The reduction of this passage in Figure 4.11 illustrates the dua l treatment of the tonic and dominant pitches. The passage begins with a suggested refe rence to the key of B-major when in the bass line, the pitches C-sharp, F-sharp (sustain ed), and B suggest iiV-I in B-major. A return to the dominant (F-sharp) in the last four measures reinforces this. The reduction also shows that the pitc h E (tonic of the movement) emerges as a descending E-major scale that is furt her emphasized by neighboring motion. The 45

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46 structural appearance of the pitch E in this B-major passage allows both tonic and dominant pitches to coexist. The compositional technique of the toggle switch contributes to the lack of tonal clarity within this reduction. The retenti on of pitches that are common to their surrounding chords decrease the chords vertical stability and consequently weakens their root identity. These chords beco me more linear in nature as some pitches are retained and others resolve as step progr essions. Figure 4.11, shows this technique as the white notes are tied and the shaded notes progress in stepwise motion. The progr ession in mm. 77-80 is a good example of the toggle switch because of the altered treatment of the tonic chord. When the tonic chord appear s in second inversion in bot h mm. 78 and 80, the listener may perceive this chord as an unresolved dom inant tonic. The result of this process creates double pivoting between the A-sharp and C-sharp in the dominant seventh chord and the B and D-sharp in the tonic chord. The F-sharp in the bass line sustains the dominant function of these chords. The frequent use of the toggle switch in these harmonic progressions creates a sense of t onal structure that may be described as harmonic ambiguity when interpreted from a traditional perspective. In the closing theme of the exposition, the delayed melodic resolution of the leading tones is prevalent. This concept is evident in mm. 101-107 (Fig. 4.12) where leading tones emphasize the members of the eminor triad. In the first measure of this example, the lower leading tone, D-sharp, resolves to E in the next be at. In the first beat of the second measure, the D-sharp does not resolve to E until the second beat of the measure three. This delayed resolution that emphasizes th e tonic pitch with the upper leading tone also appears in the fourth, fifth, and sixth meas ures. The A-flat that appears

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in the second beat of the sixth measure is also delayed for two beats when it repeats and finally resolves to G, a chord member of the e-minor triad. Figure 4.12 Upper voice of piano in Sonata Undine , IV, mm. 101-107. Analysis of Retransition The retransition in mm. 135-159 contains techniques of tonal expansion as it prepares for the return of the first theme. This passage, in the key of the dominant (bminor) is divided into two segments, (1) mm.135-147 and (2) mm. 148-159. In the first segment, a phrase with modified fragments from the second half of the first theme appears three times in b-minor, G-major, and b-minor respectively (Fig. 4.13). In the first phrase, references to the key of b-minor a ppear in the melodic line (upper voice of the piano), especially with the unf olding of the b-minor triad. Th is figure shows that in the upper voice a neighbor pattern em phasizes the pitch E of the ii chord in the key of bminor. A similar treatment continues in th e two repeated phrases of G-major and bminor. It is interesting to note that in the thr ee statements of this phrase, the first one in bminor contains an emphasis on the pitch E, as well as the other two phrases in G-major and b-minor, creating an underlying reference to e-minor, the predominant key of the movement. 47

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Figure 4.13 Harmonic reduction of Sonata Undine, IV, mm. 135-147. In the second segment of the retransi tion (mm. 148-159), a projected motion is created toward the recapitulation. The them atic neighboring motion now appears in the melodic line of the flute while the stepwise motion of the bass line provides a guided motion to the penultimate chord before th e recapitulation. The arpeggiated harmonic progression in the upper voice of the piano comple tes this textural a lteration, which also anticipates the texture of the recapitulation. Figure 4.14 provides a reduction of the harmonic progression in the second segment (mm. 148-159). In this segment, the t onality continues in b-minor and gradually progresses to the recapitulation in the key of e-minor. One of the more prominent techniques that contribute to this passage is the use of the toggle switch The first two chords are indicative of this concept where both chords shar e the pitches B and D, while the F-sharp ascends to G-sharp in the upper voice and the lower voice descends a halfstep to E-sharp. An interesting feature with in the first three chor ds is the neighboring motion in the outer voices sim ilar to that of the first segm ent. The upper voice continues this motion by a descending half-step, whic h creates an upper/lower leading tone emphasis F-sharp, on the dominant of b-minor. The toggle switch is also very prominent between the final chord of the segment and the German sixth that begins the recapitulation. Both chords share three notes, A-sharp, E, and G, while the C-sharp to Cnatural functions as the toggle switch 48

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Fi g ure 4.14 Harmonic reduction of Sonata Undine, IV,mm. 147-160. Another technique in the second segment of the retransition is the use of stepwise motion in the bass line that progresses toward a directed goal. This stepwise directed motion occurs in mm. 148-153 from E-sharp up to A-sharp with a final skip of a third to C-sharp. The pitch C-sharp becomes an upper ne ighbor to the C, initiating the descending motion to the return of the first theme in the recapitulation. The majority of the harmonies that occur within this stepwise motion antic ipate F-sharp, the domina nt of b-minor. This anticipation creates a significant delay in th e harmonic resolution of the line. When the dominant harmony appears, it is a minor triad that prepares fo r the return of the key of eminor. This anticipation of the predominant key occurs through th e chromatic motion in the bass line from G-sharp to A to A-sharp, the latter of which is the root of the secondary diminished chord of the dominant in e-minor. Analysis of Recapitulation In the recapitulation, a mutation occurs when the key of E-major replaces the predominant tonality of e-minor. In the middle of the second theme (mm. 212-228), a modulation to the key of A-flat-major occurs providing an enharmonic equivalent to Gsharp, the major third of the tonic key. The a ppearance of this A-flat/G-sharp key area 49

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50 enhances the quality of the E-major mode w ithin the predominant e-minor mode of the movement. In the following measures (mm. 229-246), the closing theme appears with a change to the key signature of E-major. In a portion of this pa ssage (mm. 229-232), a Dsharp diminished seventh chord in E-major is outlined in the arpeggiations of the piano. This chord is then followed by an E-flat-major triad, which functions as the dominant of the previous key of A-flat major, and is further outlined in mm. 233-234. These alternating chords are enha rmonically equivalent; however, the notation gives the appearance of two different key areas. This enharmonic competition continues until m. 242 when e-minor finally returns and is firmly established in m. 247. The upper and lower leading tones to the tonic and dominant generate and contribute to many techniques that expand tonality. This concep t is quite pervasive within Sonata in E minor, Undine, Op. 167, IV by Carl Reinecke where the leading tones create harmonic ambiguity with an emphasis of both the tonic and dominant. This duality of traditional function inspires new approaches to the establishment of tonal structure.

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Chapter Five Conclusions Tonal expansion represents a transitional period in which the techniques of pitch organization shared by composers in the Bar oque and Classical periods are transformed into more individual styles by composers of the Romantic period. During this transition, certain principles of traditional tonality are modified and others replaced by newer techniques of unity and organization. In order to clarify this process, it is necessary to identify some of the traditional principles that contribute to tonal stability and the ways in which they are modified in expanded tonality. Traditional tonality is achieved throu gh the hierarchy of pitches and their prominent placement as well as a predetermined order that governed the function of each chord. A strong sense of tonal stability is established when the interv al of the tritone in the dominant seventh chord resolves in a tr aditional manner to intervals of the tonic chord. The significance of the dominant and to nic function is emphasized in rhythm and meter as these functions retain a structur al position within the musical phrase. In expanded tonality, a hier archical arrangement that indicates the prominence of the tonic pitch continues to be an essentia l component of tonal unity. In addition, the dominant continues to reinforce tonic at larg er structural points, however its progression within phrases is often expande d to equal the treatment of tonic. The dominant pitch or chord appears prominently at the beginni ng of the phrase, and it is prolonged by compositional treatment that delays its re solution. As the dominant becomes more 51

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prominent, the tonic loses its prominence as a root-generated chord. The term tonic substitution is used in this thesis to identify the treatment when the tonic pitch is retained as a chord member instead of its traditional function as a chord root. These characteristic of expanded tonality create more equali ty between the tonic and dominant, and consequently, the presence of two tonal cen ters create a sense of tonal ambiguity. The treatment of upper/lower leading t ones to tonic and dominant enhances the duality of these two functions and it generate additional pitches that assume significant function in expanded tonality. The half-step relationships that occur from these leading tones create additional chromaticism that app ears in structural positions within melodic lines and harmonic progressions. The chro matic neighboring motion of voice leading appears frequently within the linear harmonic progressions to reinforce the prominence of pitches that are related to the tonality. Th e delayed resolutions of these leading tones result in incomplete chords when the sust ained pitches are dissonant within tertian harmony. A lack of harmonic clarity occurs when the leading tones are delayed, and this treatment affects a lack of tonal clarity. The German Sixt h chord, with its upper/lower leading tones to the dominant, and the N eapolitan chord, which contains the upper leading to the tonic, are trad itional harmonies that are tran sformed from a vertical to a linear treatment in expanded tonality. The a ddition of the tritone to the upper/lower leading tones creates greater harmonic tension, resulting in a wedge towards structural pitches In the melodic line, the appearance of the upper/lower leading tones often assumes a motivic identity during the process of thematic development. A motivic fragment that contains a chromatic pitch ma y resolve immediately or it may be repeated, 52

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imitated, and later resolved. In addition to its motivic prominence, the melodic line maintains an independence with the bass line when its contours appear in contrary motion. It is often in this c ontext that the upper/lo wer leading tones in these outer voices create a wedge which culminates at the end of a phrase on certain structural pitches. The treatment of the upper/lower leadi ng tone is pervasive within the fourth movement of Carl Reineckes Sonata in E minor, Undine, Op. 167. Unifying features within the movement are achieved with the appearance of this technique in the melodic, harmonic, rhythmic, and textural materials and also in the key schemes that define some of the tonal areas. It is interesting to note th at the structural pitches in the melodic line, reflects significant tonal areas in the movement. In Figure 5.1, the first ten tonal areas that appear from the exposition to the beginning of the recapitulation are set above the first melodic phrase (mm. 1-4). The ascending e-minor triad that appears in the melody is very similar to the succession of tonal areas. In addition, the upper leading tone pitch (C) to the dominant, appears similarly in both the t onal areas and the melodic line (m. 3), and it resolves to the dominant pitch (B) in melodic line and later in the succession of keys. The descending triad at the end of the melodic ph rase also appears in the succession of the tonal areas with some modification. Em GM BM Em Cm BM Bm GM Bm Em Figure 5.1 Comparison of tonal areas to the first phrase of Sonata Undine. The treatment of tonality in the Romantic period involves modi fied approaches to pitch organization that extend the bo undaries of traditional concepts. Traditional practices 53

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from previous periods are inherited and modi fied by composers of the nineteenth-century, and those modifications provide a point of departure for composers in the twentiethcentury. Some of the compositiona l practices that characterize the nineteenth-century are an emphasis of motivic development, linear harmonies, and a more flexible ordering of pitches. The eventual dissolution of tonality and its association with formal elements in melody, harmony, texture, rhythm, and meter crea tes new structural dimensions that are defined by the creativity of individual composers. 54

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55 List of References Hinson, Maurice. 2000. Guide to the Pianists Repertoire Indianapolis: Indian University Press. Hyer, Brian. 'Tonality', Grove Music Online ed. L. Macy (Accessed [15 May 2007), Longyear, Rey M. 1969. Nineteenth-Century Romanticism in Music Englewood Cliffs, New Jersey: Prentice-Hall, Inc. Maitland, J.A. Fuller. 1977. Masters of German Music Boston: Longwood Press. Poultney, David. 1996. Studying Music History. Upper Saddle River, New Jersey: Prentice Hall. Ulrich, Homer and Paul A. Pisk. 1963. A History of Music and Musical Style New York: Harcourt, Brace & World, Inc. Webster, James. 1978-9 Schuberts sonata form and Brahmss first maturity, 19 th Century Music 2/1 Wintle, Christopher. 1987. The Sceptred Pall: Brahmss Progressive Harmony. Brahms 2, ed. Michael Musgrave. Cambridge : Cambridge University Press. Witten, David. 1997. The Coda Wagging the Dog: Tails and Wedges in the Chopin Ballades. Nineteenth-Century Piano Music: E ssays in Performance and Analysis ed. David Witten. New York: Garland Publishing.

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56 Bibliography Lawrence Kramer. 1981. The Mirror of Tonality: Transitional Features of NineteenthCentury Harmony. 19th-Century Music Vol. 4, No. 3. (Spring), pp. 191-208. Meyer, Leonard B. 1991. A Pride of Prejudices; Or, Delight in Diversity. Music Theory Spectrum Vol. 13, No. 2 (Autumn), pp. 241-251 Musgrave, Michael. 1999. The Cambridge Companion to Brahms United Kingdom: Cambridge University Press. Newman, 1954. William S. Musical Form as a Generative Process. The Journal of Aesthetics and Art Criticism Vol. 12, No. 3 (March), pp. 301-309.


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ABSTRACT: In the Romantic period, expanded tonality offers a creative challenge to composers as they explore new ways of establishing the hierarchy of pitches and utilizing the chromatic and diatonic resources. Prominent compositional techniques of this period include the use of linear harmony with less clearly defined root movements, the structural placement of dominant function, new approaches that redefine tonal stability, motivic treatment that generates harmony and form, flexible treatment of rhythm and meter, and functional treatment of chromatic pitches. This study explores the ways in which characteristics of the Romantic period are influenced by the upper/lower leading tone and the effects of compositional treatment on the expansion of tonality. In addition, this study includes two supportive concepts: (1) the wedge and toggle switch by David Witten and (2) The Neapolitan Complex by Christopher Wintle. In describing techniques in expanded tonality, excerpts from compositions by Robert Schumann and Johannes Brahms (both prominent composers of the Romantic period) are used to establish the significance of these techniques. In the fourth movement of Sonata in E "Undine," by Carl Reinecke, the structural treatment of the upper/lower leading tones to tonic and dominant are very prominent features that contribute significantly to the development of the concepts in this study.
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