Harmonic Progressions and Prolongation in Post-Tonal Music

Author(s): Edward R. Pearsall

Source: Music Analysis, Vol. 10, No. 3 (Oct., 1991), pp. 345-355
Published by: Wiley
Stable URL: http://www.jstor.org/stable/853972
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EDWARD R. PEARSALL

HARMONIC PROGRESSIONS AND

PROLONGATION IN POST-TONAL MUSIC

The tonal basis of prolongationis well established(see Schenker 1979;

Jonas 1972; Benjamin 1981; Forte and Gilbert1982). Prolongationof the
bass is accomplishedby means of the 'ascendingbass arpeggiation',which
outlinesthe intervalof a fifth(Schenker 1979: 29). The bass arpeggiation
supportsthe fundamentalline (Urlinie)and in association with it forms
harmonic consonances. Together the fundamentalline and the bass
arpeggiationformthe fundamentalstructureor Ursatz.The musical fore-
ground is generatedfromthe backgroundby means of composing-out
techniques (Auskomponierung). These include neighbouring-noterelations
and registraltransfers,each of whichplays a prominentrole in post-tonal
music analysesinvolvingprolongation.
Schenkerassertsthat 'musical coherencecan be achieved onlythrough
the fundamentalstructurein the backgroundand its transformations in
the middlegroundand foreground'(Schenker 1979: 6). In Schenkerian
analysis,the tonal centre is as inflexibleas the fundamentalstructure.
Harald Krebs (1981) disagreeswiththismonotonalconceptionof tonality
and demonstratesthat real modulations do take place in some early
nineteenth-century music. Others have suggestedthat the applicabilityof
the fundamentalstructureis limited or have rejected the fundamental
structureentirelyin favourof more general definitionsof tonality.For
example, David Neumeyer (1987) demonstratesthat there is room for
interpretative regardingthe Urlinieand showshow the ascending
flexibility
Urlinieconformsto Schenkerianmethodologyin all respects except its
melodic direction.Felix Salzer (1952) advocates Schenkeriananalytical
schemes but maintainsthat any chord can be prolongedand applies the
theoryto non-traditional literature.Salzer makesno mentionofthe Ursatz.
While Schenkerassignsgreateststructuralimportanceto the tonic and
dominant notes in the fundamentalstructure,triadic functionsare not
defined. Since Schenker maintains that harmony grows out of
counterpoint,the structuralemphasis given to the tonic and dominant
notes is presumablya resultof dissonantintervalsresolvingto consonant

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 EDWARD R. PEARSALL

In thisparadigm,
intervals. harmonic progressiveness is determinedbythe
consonantand dissonant intervalsthatoccurcontrapuntally betweenparts.
Therefore,harmonyis bound to the tonal vocabularywhichidentifies
consonancesand dissonances.It seemsunlikely thatwhenthevocabulary
is nottonal,harmony and consequently prolongation can be definedbythe
tonalUrsatz.
The questionofwhether or notalternative hierarchical systemsmaybe
establishedwellenoughto promotea senseofprolongation has notbeen
widelyaddressed.Schenker'sbasic premiseis that prolongations are
accomplished byvoice-leading techniques. For instance, theprimary note
'combineswithinitselfa mentalretention, thatis, a motionless state,and
an actualmotionof the linearprogression' (Schenker1979: 38). There-
fore,in spiteof Schenker'srelentless assertionof the superiority of the
Ursatz,his basic definition of prolongation requiresonlythata potential
existfor a dualityof interpretation based on voice-leading techniques
whereprimary notescan generate a linearprogression whilebeingmentally
retainedin a motionlessstate.It remainsto be demonstrated whether
voice-leadingtechniquesin post-tonalcompositionslead to similar
conclusions.Regardless ofthecontext, however, a hierarchy ofnotesand a
well-defined systemof consonanceand dissonancewould appearto be
indispensable forcreating thecircumstances necessary forprolongation.
The ineffectiveness of thetonal Ursatzin delineating a prolongational
background for atonal music has been demonstrated by severalauthors.
For example,in his analysisof Berg'sOp. 2, No. 2, CraigAyrey(1982)
showshow perfect fourths are projectedlinearly in thebass to producea
progression that appears to outline tonic-dominant opposition.This is
accomplished by means of a succession ofFrench sixth chordswhoseroots
are associatedwithtwo interlocking whole-tonescales separatedby a
perfectfourth (Fig. 1):
Fig. 1 (fromAyrey1982: 197)

I I I I I I
B% E A GI C F
I I

Thus, the foregroundbass refersto the tonic-dominantoppositionrepre-

sentedby the ascendingperfectfourthroot progressions.Ayreymaintains
that interveningatonal structuresin the backgroundof the piece obscure
thesetonal relationships.For instance,the prolongedB%bass is dividedby
an F? forminga tritonewhichis registrallyemphasizedabove the bass B%in
of the linearbass projectionin
the fundamentalline due to a verticalization
the music.

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 HARMONIC PROGRESSIONS IN POST-TONAL MUSIC

Ayrey'sanalysisprovidesseveralinsightsthatcan be used as a guide for

helpingto determinethe rationality of prolongationalmodels whichdo not
conformto Schenker's Ursatz.One of these insightsis the importanceof
registralattributes.While Schenker's registralsensitivityis demonstrated
by the obligatory octave, register serves only to emphasize pitch
relationshipsratherthan to definethem. JosephN. Straus (1987) points
out that while registralattributes,along withtimbre,metricalplacement,
dynamicemphasisand articulation, may associate elements,theycannotin
themselves provide an adequate foundation for tonal prolongations.
Pitches take pre-eminencein the context as a result of their inherent
relationshipsratherthanas a resultof associationaldevices.Straussuggests
that four conditions are necessaryfor prolongation.These are: 1) the
presenceof consonance and dissonance; 2) a hierarchyof scale degrees;3)
embellishmentbased on the structuralweightof notes; and 4) harmony
and voice-leadingconditions.
The firstthreeconditionsare relatedby theirdependence on intervallic
varietywithin tonal pitch collections. Richmond Browne (1981) has
demonstratedthat the uniqueness of intervalsin tonal collectionsallows
progressionsto be unambiguouslydefined since each pitch retains its
identityin relationto all otherpitches in the scale. David Butler (1989)
partiallyconcurs but demonstratesexperimentally how the determination
of a hierarchyof pitch relationshipsin tonal music is not based solelyon
the tonal context(major or minorscales) but also on the orderin which
pitchesare presented.Intervallicuniqueness among pitchesin tonal con-
texts apparentlygives rise to consonance and dissonance as well as the
hierarchicalarrangementof scale degrees and the potentialforembellish-
mentbased on the structural weightofnotes.
Straus admitsthat'in post-tonalmusic,some sonoritymightbe defined
contextuallyas a consonance', thus permittingsmall-scaleprolongations,
but maintainsthat'the most significant post-tonalmusic does not seem to
do so' (Straus 1987: 4). While publishedanalysesofpost-tonalpieces have
not provided tenable hierarchies,I mightpoint out that neitherhas this
been the intentionof these analyses.Attemptsto describeprolongationin
atonal music have in most cases centredon the tonal Ursatz,as in Ayrey's
analysis. However, the identificationof a hierarchicalarrangementof
pitches that is unique to each atonal composition may lead to more
successfulresults.
It is possible to imagine a universeof post-tonalcompositionswhere
each compositiondefinesits own harmonicstructuresand pitchhierarchy.
As George Perle (1977: 162) states:

There are no precompositional

principlesthatcomparably regulate
and progression
simultaneity in atonalmusic.The 'rightness' of a
note dependsnot upon its possiblecontainment
particular withina
harmonicunit,as it does in tonality,
pre-established but upon larger

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 EDWARD R. PEARSALL

factorswhosemeaningmustbe discovered
compositional withinthe
workitself.

Thus each atonal compositionmay be understood to generate its own

structural foundation. Structurallyprominent aggregate subsets are
frequentlyidentifiedin post-tonalcompositions.These sets are extracted
fromlocal contextswherethereis a uniqueness of intervalcontentamong
adjacentpitches.Harmonicunitsas well as a structural hierarchyofpitches
may thereforebe identifiedby narrowing scope analysisto aggregate
the of
subsets.
Consonance could be definedfora specificpost-tonalcompositionby
identifying those intervalswhich occur consistentlyin chords. Owing to
techniquesof combinatoriality, however,thisapproach may not alwaysbe
effective;as Ayreyhas demonstrated,lineareventsin post-tonalmusic are
oftenprojectedvertically.Therefore,chords do not necessarilyrepresent
harmonicunits.Furthermore, of consonantstructuresin
the identification
a composition does not in itself provide a means for establishinga
structuralhierarchyofpitches.For instance,in his analysisof Schoenberg's
piano piece Op. 19, No. 2, Roy Travis (1966) identifiesthe minorthirdas
a basic harmonicstructurein the piece on the basis of the sheernumberof
0-3 dyads presentedchordally.As Straus points out, however,thereis no
clear evidencethatthesethirdsare treatedas consonancesin thetexture.
The establishmentof a hierarchyof pitchesbased on the contrapuntal
resolutionsof dissonanceand consonancereliesultimatelyon voice-leading
practices, a subject which Straus raises in his fourthcondition. Straus
suggeststhat while linear progressionsin atonal music may mimic tonal
gestures(e.g. motioninto an innervoice), theydo not necessarilyadhereto
prolongational voice-leading conditions. Straus maintains that only
associational devices such as registralemphasis can be used to create
prolongation in post-tonal music and remains critical of analytical
approachesto such music thatattemptto use tonal definitionsto describe
prolongation.
Baker (1990) provides an interestingchallenge to Straus's ideas by
assertingthatpost-tonalvoice-leadingpracticesmay be used to emphasize
pitches structurally.Baker shows how voice exchanges between dyad
pitcheshighlight the connectednessof the pitchesregardlessof the set class
that includes them, especially if these exchanges are rearticulatedat
temporallydistantlocations in a piece. Baker's analysisof Schoenberg's
Op. 19, No. 1 showshow the D#-Edyad in b.1 maybe associatedwiththe
D?-E dyad that concludes the piece. These dyads are encircledin Ex. 1.
Baker's definition of voice leading in atonal music is based in part on
repetition. When some intervallic relationship is emphasized through
repetition, it gains structural supremacy. Baker himself admits that the
grouping tendencies of dyad pitches provide no evidence that any of the
pitches receive structural emphasis. Therefore, the voice exchange in

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 HARMONIC PROGRESSIONS IN POST-TONAL MUSIC

Schoenberg's Op. 19, No. 1 could be viewed simply as a device for

extendingmusic in time ratherthan a device for definingstructurally
emphasizedpitchesthroughvoice-leadingtendencies.
Ex. 1
Leicht,zart
(

moltorit.

-
-11 IT[&
pp.

owners,UniversalEditionA. G. Wien - all rightsreserved.

Reproducedby permissionof the copyright

However, unlike Travis, Baker does not confine his analysis to the
identification
of dyadic groups but goes on to explain how some pitches
may receivestructuralemphasisin the textureby means of neighbouring-
note relations. For example, Baker shows how B% (also spelled A#)is
groupedboth withByand withA? and resolvesalternately to both pitches.
Two of these resolutionsare shownin Ex. 2. These circumstancescompel
Baker to speculatethatA? and B? in this example are structurally
stronger
than theB%whichmediatesbetweenthem.He consequentlydemonstrates
how pitches associated with traditionalharmonic structures(e.g. tonic-
dominant)emergewithstructuralpredominancein the piece. Specifically,
Baker statesthatthe structurallyhighlightedB? functionsas the dominant
of E?, a functionwhich is highlightedby its participationin the voice
exchangewithD#.
While Baker's voice-leading ideas seem tenable, they are not well
supportedin his analysis.For instance,the A#lowerneighbourhe refersto
in b.3 is transformedto Bb before resolvingto B . Furthermore,the
melodic progressionin b.3 seems to outline A#and B% as structurally
prominentnotes, with B? functioningas an upper neighbour. Baker's

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 EDWARD R. PEARSALL

Ex. 2
etwas z6gend. . . . . . . . . . . . . . . . . . fliichtig

wr
pp
tr

analysis falls short primarilybecause he remains convinced that tonal

harmonyprovides the best explanationfor prolongationin the piece in
spite of his admonitionthat while his analysis of Op. 19, No. 1 may
conformin some respectsto the Schenkeriantonal Ursatz,the approach
'differsfromstrictSchenkeriantheoryin thatit is based on the contextof
the individualworkand assumes no normsforthe behaviourof the pitches
ofthe chromaticscale withregardto one another'(Baker 1990: 197).
Baker and Straus agreethateach post-tonalcompositiondefinesits own
parametersin termsof its linearand verticalmotivicstructures.However,
Straus discounts the attemptto uncover plausible consonant/dissonant
structuresin post-tonal music, and Baker is only partly successful in
supportingthe unique voice-leadingpracticeshe revealsbecause he does
not identifysimilaruniqueness in the harmonicelement. If each atonal
compositiongeneratesits own organic structuralmaterial,then it seems
likelythateach atonal compositionmay also generateits own voice-leading
characteristicsand harmonicbackground.
In orderto illustratethispoint,I have selectedWebern's Bagatelle Op.
9, No. 2 for analysis.In this analysis,octave equivalence will always be
assumed. This assumptionpresumablycorrespondsto a similarsensitivity
on the part of the composer. By assumingoctave equivalence, I do not
mean to imply that octave equivalence is necessarilydescriptiveof the
listener'sperceptions,but ratherthat octave equivalence characterizesthe
compositionaluniversein whichtheworkitselfwas conceived.
A relatively briefscan of the piece (see Ex. 3) revealsa saturationof the
texturewith 0-1 dyads. While these dyads may be seen to functionas
membersof largersets, forexample the [0, 1, 4, 5] set delineatedby the
firstfour notes of the piece, no apparent consistenciesamong pc-sets
emergewhich are as strongas the ic 1 relationship.All the pitchesin b.1
have ic 1 correspondents,which in turn produce 0-1 dyad sets. Sets of
isolated0-1 dyads are easilydelineatedbecause theirelementsalwayshave
non-ic 1 relationshipswith the pitches that are near them in the music.
This is shownin Fig. 2:

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 HARMONIC PROGRESSIONS IN POST-TONAL MUSIC

Fig. 2
I I
E? A?-G# F?-F#-G A#-B?
Two of the elementsfound in b.1 do not have an ic 1 relationshipwith
either an adjacent linear pitch or a chord pitch. These are the E? that
beginsthe piece and the B? harmonicfoundin the cello part.The E? in b. 1
has an ic 1 correspondentrelationshipwhen combined with the F?
harmonicin the viola part on the fourthbeat of the bar; B? has an ic 1
correspondentrelationshipwithA#on beat five.
While ic 1 correspondencemay not constitutea clear case of con-
sonance withinthe piece, it may at least provide a reasonable qualitative
descriptionof the texture.Therefore,pitches that do not have an ic 1
correspondentmay be understood to operate essentiallyas dissonant
sonoritiesin the textureseekingic 1 correspondence.Bar 2 contains an
even more strikingexample of this prolongationaldissonance. The A?
pizzicato harmonicin the second violin findsno ic 1 correspondentuntil
the end of the bar, where the A? is reiteratedin a lower octave and
emphasized in the textureas a momentarysolo before its ic 1 corres-
pondent, the B% harmonic in the firstviolin, is articulated.A kind of
prolongationof dissonancewas also seen in Ayrey'sanalysisof Berg's Op.
2, No. 2 with regardto the tritonedivisionof the bass and its registral
emphasisas partofthefundamentalline.
As I statedpreviously,the identification of consonance and dissonance
does not alone reveal a structuralhierarchyamong pitches. This is
especiallytrue in this analysis,since no specificdissonantintervalshave
been identified.In each case, the prolongeddissonanceis shown to occur
because the dissonantpitch anticipatesor impliesits ic 1 correspondent.
Pitches which are registrallyor temporallyproximate but whose ic
relationshipis a non-ic 1 relationshipare largelydissociated and exhibit
strongerrelationships withtheiric 1 correspondents in the texture.
In all cases thereare two pitcheswhichformic is withany singlepitch
that is identified.However, where two pitches are separatedby an ic 2,
theysharean ic 1 correspondent.This can be seen in b.2 ofthe piece. The
outside voices, D? in the firstviolinand C? in the cello part,are separated
by an ic 2. Their common note ic 1 correspondentis C#foundin the viola
part. It can thereforebe seen that 0-2 dyads in the piece require special
consideration.Where an 0-2 dyad occurs, the potentialexistsforthe gap
between the two dyad pitches to be filledby a single pitch. This single
pitchcreatesic 1 associationsforboth pitches.The tendencyto fillin the
gap of the 0-2 dyad provides a basis on which to build a definitionof
harmonicgravitation withinthepiece.
As I have alreadynoted, 0-1 dyads are oftenassociated withother0-1
dyads,but the sets formedby thesedyadicgroupsdo not seem to conform

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 EDWARD R. PEARSALL

Ex. 3
Leichtbewegt( = ca 120 )
n t.
I ohne
Dm 3 spicc.
2
tempo

________ m SteL
ohnem
Damprer _o
PP
p 3 .

ohneDlmpfer 3
picc

PP ---------- tempo

p P mS
:

___arcop - ppc
L . .

FPP

mSt tempo = ca 192

6 - t. 7 accel 8 a
pizz

PP -P
1k
z- Imf -'

P 7j!'PP
p Spp:
a

pin
sg -r p

P
p
TEN.f
p.

, fimf- if ---

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Reproducedby permissionofthe copyright

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 HARMONIC PROGRESSIONS IN POST-TONAL MUSIC

to any particularrecurringpc-set. When two 0-1 dyads appear together

and are separatedby some intervalotherthan ic 2, the two dyads may be
understoodto be in a stable state.On the otherhand, when two 0-1 dyads
are separatedby an ic 2, the pitchthatfillsthe gap betweenthemmay be
strongly impliedin a way similarto the 0-2 dyad. Two 0-1 dyads separated
by an ic 2 formthe pc set [0, 1, 3, 4]. The most striking exampleof the [0,
1, 3, 4] set in Op. 9, No. 2 begins in b.4 on b3 in the second violinpart
progressing to c4 in the first
violin part and ending on b2. Each of these
pitches has an ic 1 e4-E, d3-e?,b2-b?).The D? thatfills
correspondent(b3_-c,
the gap betweenthesedyads is presentedat the end of b.5 (viola), whereit
is articulatedalong with its ic 1 correspondentC? (second violin), and
again in b.6 wherec#2is associated withc'1.The pitchesB , C , D? and E?
are reiteratedin b.7, re-emphasizingthe [0, 1, 3, 4] sonoritybeforethe
prominentC#returnsin the second violinpartjustbeforethefinalchord.
It may be significantthat wheneverC? and D? appear togetherin the
piece theyare harmonizedby C#exceptwhen theyoccur in the [0, 1, 3, 4]
set foundin bs 4 and 5. Examples of the Ch-CP-D?trichordcan be foundin
b.2, beat 1, and in b.8. C? and D? togetherwithC#may be understoodto
forma fundamentalstructurein the piece with C#acting as a mediator
betweenC? and D? in a way similarto Baker's conceptof a mediatingpitch
in Schoenberg'sOp. 19, No. 1. This fundamentalharmonicunitis derived
fromthe apparentharmonicassociationof both C? and D? withC#in the
texture.Of course, other 0-1-2 trichordsalso appear in the piece. It is
thereforenecessaryto turnto voice-leadingattributesin orderto demon-
stratea hierarchyofpitches.
The particularidiosyncraticresolutiontendenciesof the 0-2 dyad and
the [0, 1, 3, 4] set have alreadybeen noted. C#mediatesbetween C? and
D? in the piece and is momentarilyemphasized when C? and D? are
articulatedas partof the [0, 1, 3, 4] set in bs 4 and 5. On the otherhand,
C#is associated withthe B? in b.7 as part of a structurally dissonant0-2
dyad which implies C? in the final chord of the piece. The overall pro-
gressive developmentof these pitches seems to be from the C -C#-D?
trichordin b.2 to the C#-C?dyad in b.5 back to the C -C#-D?trichordin
b.8. C? may be the best candidatefora tonal centre,partlybecause of the
factthatit is the ic 1 correspondentthatfillsthe gap in the dissonantC#-B?
0-2 dyad whichprecedes it in b.7. In addition,C? is isolatedin the texture
in both b.2 and b.8. A finalclue to the originof C?'s prominencein the
textureis thevoice exchangewhichspans the entirepiece and occursin the
C -D? dyad betweenbs 2 and 8.
The presenceofA? and C in the finalchordis not problematic,since it
does not exhibitany strongresolutiontendencies.The Abis separatedby
an ic 4 fromCi, and theGC is separatedby an ic D4. 5 from Therefore,Al
and Cj may help to outline the prominence of Cp and Dp in the texture by
means of their symmetricalposition in the chord.
On the basis of these observations a fundamental structure may be

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 EDWARD R. PEARSALL

adduced forWebern's Op. 9, No. 2. This appears in Fig. 3. While C? does

not appear in the bass in the final chord, it is emphasized through
of the composerto octave equivalencefurther
articulation.The sensitivity
diminishesthe importanceof registerin the delineationof a tonal centre.
For this reason, a fundamentalstructurehas been adduced which shows
how the voice exchangeof C? and D? occurs withC#actingas the medium
throughwhich the exchange occurs. The C# forms an 0-2 dissonant
structurewithB? in the finalmomentsof the piece and preparesthe final
chord like a kind of cadential structure.This furtheroutlinesthe special
relationshipof C#to C?.

Fig. 3
D C

C#-B

Attemptsto outlineprolongationin atonal music oftendevelop around

the tonal Ursatz,withlimitedsuccess. Straus stronglyimpliesthat where
intervallicvarietyis not presentin a pitch collection(e.g. aggregatesets),
prolongationcannot occur, at least not in the traditionalsense. Yet Straus
and others(principallyPerle 1977 and Baker 1990) suggestthatthe poten-
tial existsforuncoveringa unique contextcontainingintervallicvarietyin
each atonal composition. Others may have shared my suspicion that
prolongationor the mentalsustainingof some pitch (or group of pitches)
may be accomplished in ways which are based on the unique pitch
relationshipsfoundin a particularatonal composition.Because each post-
tonal compositioncontainsunique structuralattributes,the identification
of consonance and dissonancein post-tonalmusic necessarilyleads to new
definitionsof harmonyand voice leading. My analysisof Webern's Op. 9,
No. 2 demonstratesthat the formulationof new definitionsof harmonic
organizationin atonal music may lead to analyseswhich reflectnot only
the compositionalcontentof individualatonal compositionsbut also their
perceptualimpact.

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