Carpenter - Grundgestalt As Tonal Function

Society for Music Theory
"Grundgestalt" as Tonal Function

Author(s): Patricia Carpenter
Source: Music Theory Spectrum, Vol. 5 (Spring, 1983), pp. 15-38
Published by: Oxford University Press on behalf of the Society for Music Theory
Stable URL: https://www.jstor.org/stable/746093
Accessed: 03-10-2018 02:04 UTC
REFERENCES
Linked references are available on JSTOR for this article:
https://www.jstor.org/stable/746093?seq=1&cid=pdf-reference#references_tab_contents
You may need to log in to JSTOR to access the linked references.
JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide
range of content in a trusted digital archive. We use information technology and tools to increase productivity and
facilitate new forms of scholarship. For more information about JSTOR, please contact support@jstor.org.
Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at
https://about.jstor.org/terms
Oxford University Press, Society for Music Theory are collaborating with JSTOR to
digitize, preserve and extend access to Music Theory Spectrum
This content downloaded from 130.39.62.90 on Wed, 03 Oct 2018 02:04:31 UTC
All use subject to https://about.jstor.org/terms
Grundgestalt as Tonal Function
Patricia Carpenter
In this paper I will explore one of the important functions of which its creator wanted to present."2 But he too uses the term
a musical idea-namely, how such an "idea" functions in a in its narrower traditional meanings of theme, melody, or mo-
tonal work to effect a coherent tonality of the whole. I use "mu- tive. By theme or melody he means a complete musical thought;
sical idea" in a sense taken from Schoenberg: that which a piece by motive, its smallest segment: "The features of the motive are
of music is "about." By Grundgestalt or "basic shape" I mean intervals and rhythms, with harmonic implications which com-
the concrete, technical aspect of the idea. I will clarify this no- bine to produce a memorable shape or contour."3 That memo-
tion by bringing together some of Schoenberg's statements con- rable shape is the Grundgestalt; the harmonic implications are
cerning the musical idea and by a brief sketch of his theory of its tonal function.
tonality as a network of tonal relations. Finally, I will elaborate Schoenberg struggled throughout his life with the concept of
the notion of the Grundgestalt by showing it at work in an ex- the musical idea, which served as center for the notions of co-
ample that Schoenberg used to demonstrate the unity of the herence, unity, and logic that pervade his thought about music.
horizontal and vertical implications of the idea-Beethoven's His use of the term took on a range of meanings as his concept
"Appassionata" Sonata, op. 57. changed and deepened, developing from the traditional mean-
I
ing of theme or motive, of which there were many in a piece, to
that of a single unifying germ. In 1939 he wrote of a previous
"In its most common meaning," Schoenberg says, "the article:term "Then I spoke of 'new motives,' while now I believe in
idea is used as a synonym for theme, melody, phrase, orthe mo-availability of only a single motive."4 And, more expan-
tive. I myself consider the totality of a piece as the idea: thesively,
idea in Fundamentals of Musical Composition, a product of
his lifetime of teaching and the most explicit published presen-
'The following works will be cited:
tation of his technique of motivic development: "Inasmuch as
SFH Structural Functions of Harmony (New York, 1954)
FMC Fundamentals of Musical Composition, ed. G. Strang and L.
Stein (Oxford, 1967) 2SI, p. 122f.
SI Style and Idea: Selected Writings of Arnold Schoenberg, ed. L. 3FMC, p. 8.
Stein (New York, 1975) 4Quoted by Bryan Simms in "New Documents in the Schoenberg/Schenker
HL The Theory of Harmony, tr. R. Carter (Berkeley, 1978) Polemic," Perspectives of New Music 16 (1977), p. 122.
16 Music Theory Spectrum
almost every figure within a piece reveals some relationship to tonality. Each work makes manifest a tonality in a particular
it, the basic motive is often considered the 'germ' of the idea. way. In a tonal piece, Schoenberg says, the idea has to do with
Since it includes elements, at least, of every subsequent musical tonal resolution and closure: "Every tone which is added to a
figure, one could consider it the 'smallest common multiple.' beginning tone makes the meaning of that tone doubt-
And since it is included in every subsequent figure, it could be ful. ... In this manner there is produced a state of unrest, of
considered the 'greatest common factor.' "5 Ultimately this se- imbalance which grows throughout most of the piece, and is en-
mantic range for the term idea-from the totality of the work to forced further by similar functions of the rhythm. The method
its smallest segment-designates for Schoenberg a single con- by which balance is restored seems to me the real idea of the
cept: the source of coherence in a work and the subject of the composition."8 And the same means, it seems to me, are those
musical discourse. I will demonstrate in this paper how these by which imbalance is produced.
two, element and whole, are two forms in which the Grundges- The function of the Grundgestalt in effecting a coherent to-
talt is made manifest. nality in a work is to make manifest that process by which insta-
I will explicate three technical features of the Grundgestalt: bility is brought about in a work and stability finally restored.
motive, harmony, and tonality. Motive, although analyzable When we comprehend the work, we understand that process,
into its elements of interval, rhythm, and harmonic function, is following it in the developing harmonic, as well as thematic, as-
a unity of all three: "A musical idea, though consisting of mel- pects of the Grundgestalt.
ody, rhythm, and harmony, is neither the one nor the other II
alone, but all three together. The elements of a musical idea are
partly incorporated in the horizontal plane as successive In 1934 Schoenberg wrote, "An idea in music consists prin-
sounds, and partly in the vertical plane as simultaneous cipally in the relation of tones to one another" and explicated
sounds."6 tonality as a network of such relations, referring "not merely to
Harmony, Schoenberg says, is the logic of music without its the relation of the tones with one another, but much more to
"motor," or motive.7 The motive is the motor because it "vital- the particular way in which all tones relate to a fundamental
izes" the appropriate voice of a progression or modulation. A tone, especially the fundamental tone of the scale, whereby to-
good musician, he says, will make a progression lucid by vitaliz- nality is always comprehended in the sense of a particular scale.
ing the crucial line, thereby illuminating the harmonic function ... If, however, we wish to investigate what the relation of
it carries. A theme, then, is not so much a figure against an har- tones to each other really is, the first question that arises is:
monic background as the surface of the underlying harmonic what makes it possible that a second tone should follow a first.
progression. Theme and harmonic progression are two sides of . . ? How is this logically possible?" Only, he says, because a
the same idea; therefore the developing Grundgestalt is made relation already exists between the tones themselves.9 By
manifest in its harmonic as well as its melodic function. "tonal function" I mean those preexisting relations among the
The logic of the harmonic progression is the expression of tones.
a
Tonality for Schoenberg is not merely a certain collectio
5FMC, p. 8.
6SI, p. 220. 8SI, p. 123.
7HL, p. 34. 9SI, p. 269f.
Grundgestalt as Tonal Function 17
pitches, a scale, but more importantly, a kind of centricity. All musical space. His conception of a musical space which is
pitches of a key-collection are related to a single tonal center, shaped and unified throughout by the idea is well-known: "The
each in a specific way. The function of a single tone is signified two-or-more dimensional space in which musical ideas are pre-
by the degree of the scale it represents. The function of a chord sented is a unity. Though the elements of these ideas appear
depends upon its root, which is, in turn, the scalar degree upon separate and independent to the eye and ear, they reveal their
which the chord is constructed. Tonality, then, is a set of func- true meaning only through their cooperation, even as no single
tions of scalar degrees. If we want to grasp the idea of a compo- word alone can express a thought without relation to other
sition that is "about" F, for example, we shall want to know words."10 Although this was formulated in regard to his
how each pitch that arises in the course of the piece is related to method for composing with twelve tones "related only to one
the tonic. another," it can be seen to apply as well to tonal music. Tonal
Schoenberg apparently saw organization by tonal hierarchy musical space is a network of all possible tonal relations. Such
as an attempt to stave off an ultimate state of disintegration. relations in tonal music constitute the preexisting structure of
The centripetal function of a progression is exerted by stopping the musical space, by means of which a particular work takes
the centrifugal tendencies, that is, a tonality is established shape and is comprehended.
through the conquest of its contradictory elements. Contradic- As early as the Harmonielehre Schoenberg uses the analogy
tory elements (in the simplest sense) are of two kinds: ambigu- of a space in which the tonal conflict takes place: tonality is th
ous diatonic pitches (those which a key has in common with large region in whose outlying districts less dependent force
others) and pitches that are foreign to the diatonic pitch collec- resist domination by the central power. If this central power en-
tion of the key. The "conquest" of such elements is their assimi- dures, however, it then forces the rebels to stay within the circl
lation into the tonal whole in such a way that defines the specific of its sovereignty, and all activity is for its benefit.
function of each.
We can assume that tonality is a function of the fundamental tone
Ultimately, in Schoenberg's thought, the structure of a to-
that is, everything that makes up tonality emanates from that tone
nality may be extended to include all possible elements and re- and refers back to it. But, even though it does refer back, that which
lations. The diatonic pitch collection may be enriched by tones emanates from the tone has a life of its own ... it is dependent, but to
borrowed from other tonal areas and substituted for the
a certain degree also independent. What is closest to the fundamental
diatonic scalar material. Such substitutions may form has
new the most affinity with it, what is more remote, less affinity.
simultaneities ("transformations" of the diatonic triad) and
If, roaming over the domain of the fundamental, we follow the trace
elaborations of new but related key areas. Such elaborated seg-
of its influence, we soon reach those boundaries where the attraction
ments of the basic tonality are called "regions." Borrowed
of the tonal center is weaker, where the power of the ruler gives way
tones, no matter how far-reaching their span of influence-
and the right of self-determination of the half-free can . . . provok
single tone, harmony, or extended area-must be related to the
upheavals and changes in the constitution of the entire structure.11
scalar degrees for which they are substituted in order to be as-
similated into the hierarchic structure of the tonality, thereby How is relationship determined in this space? In the Harmo-
nielehre Schoenberg says that the circle of fifths expresses th
enlarging and extending it but preserving its integrity as well.
Schoenberg's concept of tonality as (ultimately) monotonal-
l?SI, p. 223.
ity provides for a technical explication of the nature of tonal
"HL, p. 151.
relationship of two keys only to a certain extent; hence he will lations are alternately by parallel major/minor (based on a
not use the circle exclusively for determining the relationship of common dominant) and relative major/minor (based on a com-
two keys, but rather for measuring their distance one from the mon pitch content). Further regions are related by "propor-
other.12 In Structural Functions of Harmony he elaborates this tional" relations, e.g., as submediant (a) is to tonic (C), so tonic
notion, constructing a chart of regions that indicates their dis- minor (c) is to flat mediant (Eb), and so on. When I speak in
tance from and relation to the tonic (Figure 1).13 In the chart Part V of this paper of "analogy of tonal function," I draw on
two relations are at work-the fifth relation and the major/ this kind of relationship.
minor relation. In the regions representing the core of the chart Schoenberg did not consider tonality to be an end in itself
these basic relations are presented: vertical relations are by but rather a means to an end: it is one of the technical resources
fifth (upper clockwise, lower counterclockwise); horizontal re- facilitating unity in the comprehension of tone-progressions.
Its function begins to exist if the phenomena that appear can
Figure 1 without exception be related immediately to a tonic. Its effect
lies in the result that everything that occurs in the harmony is
CHART OF THE REGIONS
accessible from the tonic, so its internal relationships are given
MM b'mvM
Mm 'mvm suitable cohesion.14 How does the Grundgestalt work to clarify
m
v 6MD 6mv 6mvSM
M
MSM the manifested tonality?

Msm 6mvsm
SMM III
ImM
SMm ti Mbh?I
6m 6mm
bm bmSMbm
SMSM Let us turn to the example, Beethoven's piano sonata, op.
SMsm 6msm 57, the "Appassionata."
S/TM 'smM In Figure 2, I have constructed a circle of fifths from the
S/Tm 6smm
tonic of the sonata, F minor, incorporating the relative minor
S/TSM
S/r dor
sd 6SM bsm 6smSM relations. This results in a two-track circle, which I use for both
S/Tsm
S/Tsm 6smsm
Np minor and major tonalities, rather than Schoenberg's some-
ABBREVIATIONS what awkward chart of regions in minor. There are certain dis-
T means tonic Np means Neapolitan crepancies between the relations to the tonic laid out by the cir-
D dominant dor Dorian
cle and the chart of regions, which we will see as we follow the
SD subdominant S/T supertonic
tonic minor M "
tonal "adventures" of the Grundgestalt. Here the circle will
t flat mediant major
sd subdominant minor 'SM flat submediant major serve as a map of the musical space of the sonata.
v five-minor ,MD " flat mediant major's dominant
sm submediant minor m " flat mediant minor
m mediant minor ,sm flat submediant minor Example 1. The basic tonality: tonic minor/mediant major
SM " submediant major ,mv
flat mediant minor's five
M
The Grundgestalt can be expressed in its most essential form
mediant major
as a major third (A/bC) with its upper semitonal neighbor (Db)
'2HL, p. 154.
3SF, p. 20. Reprinted by permission. 14SI, p. 261.
Figure 2. The tonality of Beethoven's op. 57, first movement The two intervallic elements of the Grundgestalt, the third
and its neighboring semitone, can each define the tonal func-
tion of the other. Given that third as established in F minor or
Ab major, the semitone functions as either b6-5 or 4-3. Con-
versely, the semitone b6-5 can serve to relate such a third to its
tonic, and in an essential way: as one of the operative pitches of
the diminished seventh chord. Schoenberg, following his Vien-
nese tradition in the theory of harmony, considers the dimin-
ished seventh to be an incomplete dominant ninth chord. I
spoke of the defining function of the b6-5 semitone as "essen-
tial" because the necessary resolution of the ninth-that is,
66--completes the dominant, thus establishing the triad to
which the ambiguous third is to belong (Example lc).
Beethoven strongly emphasizes this function in the striking
three-note figure of the first theme, Db/C.
I take this procedure-the reinterpretation of a major third
by means of the reinterpretation of a diminished seventh
chord-to be the primary harmonic implication of the
Grundgestalt. By means of it the basic tonal contrast, tonic mi-
nor and mediant major, is achieved.
The difference between these two tonal areas, F minor and
Ab major, consists of two cross-related pitches: Dtlb and Etb.
The reinterpretation of the third involves the latter, requiring
the enharmonic change of Et to FlS, the b6 of the mediant Ab
(Example la). Now the interesting thing about a single third, in (Example ld). Beethoven placed the enharmonic change at
triadic tonality, is its ambiguity. And one of Beethoven's games that point in the bridge where he lets go of the thematic mate-
in this piece is a play with thirds. The basic tonal contrast of this rial of the first theme and introduces the bridge theme, exhibit-
first movement involves a reinterpretation of the Ab/C third: it ing in an instant both the transformation of the function of the
is made to represent 3-5 in F minor in the first section of the semitone D6/C from b6-5 to 4-3 and the transposition of the
exposition and 1-3 in Ab major in the second. The initial the- function 16-5 to the mediant, F$/Eb. Notice the elegant return
matic material of these two sections presents those two possibil- in the recapitulation of this crucial point (Example le): the re-
ities, first placing that third within the F octave and relating it voicing of the motive in relation to the harmony places it a fifth
then to Eb (Example lb). In this example I have designated the (not third) higher, forcing the underlying semitones to ascend.
main themes of the two sections of the exposition A and B, and Here Beethoven reminds us that reckoned by straightforward
the intervallic motives as T (the ambiguous third) and T (the fifth-relation, Ab 's affinity is with Db, not F. I shall return to this
defining fifth or fourth). implication of the Grundgestalt.
Example 1. The basic tonality: tonic minor/mediant major
- i ,
(a)
Z7 0b 0 6o 11 0 o 1 i 0 11
6 5 7 8
4 3 2 3
a L a I a
b
A I I
2 *.. I-*-. opI

(b)
[4):j - 1.2~ I -to rILL - I 1 1
^L_ ~b 1 I
b
rbl aI I
B 3 _. -10 - _
4):,/b I-ir F r I r rr ,* I rI 11
I ;
I A
b6 -5
(c) J J
, . I, , I k I_ I
(d) 6a W ? nO lw~~I R_11 _- _ ____ _ --_ _|

1 o0 o I ? II
0
oT r
b6 - 5
tj 11 J * J i^
(e)
Fbl
't
b
b6 5
. 1a bd_
Example 2. Thefirst tonal extension: major/minor interchange here in working out the harmonic implications of the motive, I
shall separate two aspects of its intervallic components: specific
There is a second procedure expressing the harmonic impli-
pitch and tonal function. Either can be manipulated. The tonal
cations of the Grundgestalt which I take to be also basic to this
function can be maintained and transposed to another pitch, or
work: the major/minor interchange. The b6-5 relation is a func-
the specific pitch can remain constant and transformed in func-
tion of the minor mode. Schoenberg's notion of "borrowing"
tion. This bridge, as we have seen, must accomplish both: the
allows the substitution in the major mode of that function of the
b6-5 function is transposed to the mediant as F /Eb; Db/C is rein-
lowered sixth degree, on the basis of the "interchangeability of
terpreted.
major and minor" by virtue of their common dominant. By this
Exploiting the region from which the new b6-5 function is
means Ab minor is acquired (Example 2a). Again, this relation-
borrowed, the bridge approaches the contrasting region
ship is expressed by the thematic material: the second theme of
through its own minor, firmly establishing Fl as against E . The
the contrasting section (B') is indeed a reduction (in the minor
material of the first theme (Example 2c) is first reduced to semi-
key) of the first (Example 2b). I have designated the minor
tones, given as those crucial to the minor, and finally liquidated
third 7. To complete the tonal picture we must add the possi-
to a motivically uncharacteristic semitonal descent, spanning
bility of F major. In the recapitulation tonic minor and major
the linear third which will characterize the next thematic sec-
are juxtaposed at the beginning of the bridge in lieu of a modu-
tion. In the closing theme (Example 2d), the bridge material is
lation; and of course the B theme is in F major, reaffirming the
reduced to its simplest form.
analogy between tonic and mediant.
The major/minor interchange takes us one quarter of the
circle of fifths clockwise or counterclockwise. Notice that this Example 3. The second tonal extension: The Neapolitan region
relation of parallel minor/major, "close" in the chart of regionsLet me now return to the opening statement of the first
and achieved in a single step, projects the motion quite far theme. I want to begin to formulate the problem of this move-
along the circle, opening up possibilities for easy entry into ment, which will have to do with how imbalance is produced
more far-related areas. and how balance is restored.
In regard to Schoenberg's theories one might speak of the For Schoenberg a theme is an hypothesis. He distinguishes
structural function of motive as well as of harmony, for he pre- theme from melody on this basis: "Every succession of tones
scribes specific procedures for both in the articulation of tonal produces unrest, conflict, problems. One single tone is not
form. Such procedures are especially clear in transition pas- problematic because the ear defines it as a tonic, a point of re-
sages. A bridge, which introduces a new tonal area, shows by pose. Every added tone makes this determination question-
motivic analogy how that area is related to the old. The work ofable. Every musical form can be considered as an attempt to
a bridge is twofold: motivically, it neutralizes old material intreat this unrest either by halting or limiting it, or by solving the
preparation for the new, while harmonically, it introduces theproblem. A melody re-establishes repose through balance. A
new pitch content and transforms the function of the old. Moti- theme solves the problem by carrying out its consequences.
vic intervals can be used in straightforward motivic ways: in real The unrest in a melody need not reach below the surface, while
and tonal transpositions, strict forms of inversion and retro- the problem of a theme may penetrate to the profoundest
grade, and free forms of variation. But because I am interesteddepths." A melody, then, can be compared to an aphorism,
Example 2. The first extension: major/minor interchange
(a) tLbb b0o l1 I , bi II

v - 'Pv I h-, 'Ii II
,Iv-
b3 a3
a, a'
[B'] F51 i- , I
(b) *)1: .b F; ^_:rrr-F
r F MLIr
a __
I Am I a I E
Bt V I- I I -r I I 1111 1
B F _. --- _ a _,
-):,.b, /--^ I r, I r I f r r . 11
I =
II
a a
.,L.I1 1-n I I i * -F
(4bW
O) I
-f -": J ' - W r - Il X b--
-- - I I
(c) p ff . p b "
; ,,. , ... A
(?5b I I .): h?lM I' I 1 I- - l J*rf:rffff rfI f 1- Y f fffMfr
v -
'I I -- -L-9- Iv II
30bI
4 t7
(4 ^X 1^ - -YIN ^ ^- V I STr- ,
) bVI i * - M [I
Y)
I iffbwww Jnmrnr
..I_ '1J, I l I_11 1
_=kw 6mi(
Example 2 continued
i s r XbI b *1 ~ j ' J* :' ' i-

dim. 1
(c) dim. pp
cont'd.
1U I l I I L I I i I I I I I I I I I I L
pp
[30] a'
b6 --- 5
n I . L_ [63]
fbh V - tlr # b1lbj 111 V% + bh O , || j b Vb Vt 111 8 Iti ||

I I I vr
b6-- 5
(d) dim.PP
4i : d-^ "'--1 4. - 4 sfp -IV-W- .- .-
while a theme resembles

mensions ofa scientific
the musical space. The semitone (I shall hypothe
call it mo-
convince without a number
tiver ), appearing as the of
three-notetests,
figure Db/C to which withou
the
proof.15 material of the first theme is ultimately reduced, is given first as
Schoenberg used the theme of this sonata as an example of a an immediate tonal contrast between the tonic and its Neapoli-
motive explicated as both linear interval and harmonic rela- tan, the bII (F/Gb). The musical space is unified here, I main-
tion, manifesting, that is to say, both horizontal and vertical di- tain, not simply by the appearance of two semitones in two di-
mensions or at two hierarchical levels; rather, the motivic
'5FMC, p. 102. analogy potentially indicates the preexisting tonal relation of
the foreign Gb. How is the II related to the tonic and therefore juxtaposed, a "shadow" following the first theme, projected
available in the tonality and how will this relationship be made from Db, the tonic b6. The work of this movement will be to
clear?
clarify the borrowed F/Gb semitone by means of motivic analo-
According to Schoenberg, the II is related through the sub- gies that will make the derivation, the relation to the tonic, ex-
dominant minor, as its bVI. In example 3a I have applied the plicit and at the same time demonstrate how the extension of
two basic procedures-the reinterpretation of the third and the this relation to other regions allows for the coherent extension
major/minor interchange-to the subdominant minor in tonic of the tonality.
and mediant, thereby acquiring Gb, and Bbb, analogous to it in I have said there is no hint of the derivation of the bII. Per-
the mediant. The move to the subdominant minor extends the haps this is not so. Notice that in the tonic and dominant forms
tonality two fifths counterclockwise around the circle to Db mi- the two corresponding neighbor-note exchanges are not spelled
nor. The same move from the mediant projects us seven fifths in a corresponding way. In the dominant form A~ does indeed
away, to F, minor, a region classified in the chart as remote. indicate the proper derivation of II from the subdominant mi-
The nondiatonic "contradictory" tones acquired from this re- nor, Bb minor. In Example 3b I have respelled that diminished
gion are only distantly related to the tonic; their assimilation seventh chord so that it is motivically analogous, as V of V in
constitutes a problem. the Neapolitan region. As such, an applied dominant to Db, it
The construction of the first theme (Example 3b) not only yields Bbb, b6 of the submediant. I think the solution to the
presents the elements of the Grundgestalt but also illuminates problem of how the many relationships presented in the exposi-
the procedures they imply. This theme conforms to what tion will be brought together and assimilated into the basic to-
Schoenberg calls a sentence: a thematic model embodying im- nality lies in this Db and the functions that accrue to it. That
mediate repetition and reduction in its statement. Both har- solution will not be clear until the coda.
monic and motivic procedures work together to articulate the
components of the structure: an initial phrase (the "tonic
Example 4. Theflat submediant (with major/minor interchange)
form"), its immediate contrasting repetition (the "dominant
form"), reductions, and further reductions leading to the ca- The crux of the work lies, then, in the flat submediant, the
dence. The tonic and dominant forms of the theme (mm. 1-4, 5- simplest harmonic implication of the Grundgestalt (Example
8) present the second tonal contrast of the work. The phrase of 4a). Notice that the flat submediant, Db major, lies only one
the first theme is in two parts: an arpeggio placing the ambigu- fifth counterclockwise from the tonic, but on the "outside,"
ous third in its F octave and a diminished seventh interchange major track. The effect of the basic harmonic procedure, the
expressed as a neighbor-note configuration around the domi- reinterpretation of the major third (in this case, Db/F), is to
nant. The reductions (beginning in m. 9) pick up the second bind these two regions, relative minor and major, into a single
part of the phrase, reducing it to the diminished triad and the place on the circle. The first fifth counterclockwise, then, in a
defining b6-5 function (Db/C) stated as both linear rhythmi- minor tonality locates not only the flat submediant major but
cized motive and chord progression (Example 3c). also the subdominant minor, the source of the Neapolitan. The
There is no indication here of the function of the Neapoli- exploitation of this relationship is built into the Grundgestalt,
tan. I mean by this that there is no reference to its derivation as so to speak.
bVI of the subdominant. Rather, the dominant form is simply The derivation of the bII, although suggested in the first
Example 3. Second extension: Neapolitan region
b2 -1 b6--5 b2- 1
n,
(a)
Tonic: IV Mediant: IV
b3
(b)
a a
' A I 1I
3:b~b o Sd I I
continued
theme, is not made explicit until the contrasting section in theminor interchange in the mediant. In the recapitulation of this
mediant major. Note the first appearance of Bbb (2 of the me- passage (Example 4e), the II is finally assimilated into the
diant) in the little link between major and minor themes of thattonic.
section (Example 4b). It is introduced, conforming to Schoen- A curious treatment of Bbb adumbrates harmonic proce-
berg's construction of the network of tonal relations, as b6 of dures Beethoven will use in the development; they are derived
the subdominant minor, Db minor, thus effecting the major/ motivically from this link (Example 4c). Notice how he has al-
Example 3 continued
- (b) ' - r 7 -
6 7
?J b -;- k'
i711 ta a
'PII
x
x
tb6- 5
k8bba It .
Reductions
f, ,. 9 i:
4 qk I%o%l .1---, 10 11 I - Lef
_ ^ 17
8V
(C) ---
poco ritar- -
I , .I
a Tempo
dan- do,
^bl-b $ mY' z 7- Ii ?&7jI -

l~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ lo
I I ' ' 'p -7

lowed us the illusion that he carried Bbb up to 0d, gathering it IV
into the ascending linear motion, transforming the ordinarily

descending 2 into an ascending motion. Example 5. Two transitions
In the event that we missed the ascending b2 the first time
around, Beethoven gives it to us again in that second contrast- In the development I particularly want to show how the mel-
ing theme (B'), this time condensed to become two transforma- ody vitalizes the crucial line of an harmonic progression, look-
tions of the second degree, preparing the dominant (Example ing especially at the role played by the variant of the Grundges-
4d). The link to the development uses this ascending variant of talt, a third plus an ascending semitone. Its simplest harmonic
the motive to throw us into the remote region of the flat subme- implication is also tonic/flat submediant. Two transitional pas-
diant of the mediant minor (Ft), four fifths counterclockwise sages exploit this variant of the motive to achieve harmonic mo-
from the tonic. This completes the material of the Grundgestalt tion: the first is the link from the end of the exposition to the
as set forth in the exposition. beginning of the development; the second, the liquidation of
Example 4. The flat submediant (with major/minor interchange)
(a) 6W b pb I ?12 bo I It I l(lAi

v u
Mediant
IV bII I bVI
minor:
b a'
. . I -a- 1 .1 . I_-" * 1%1%in
Jo/ ,i. ' _ -'- I I /

(b) _P f f p P
., i. b ,ffl ... 8-s: i'2 l .8-: U
5 b- 6 b6-5
-0- ~0
)('x / t- o
(c) a2 I
I bib b --v b
continued
Example 4 continued
(:b?qb I CCCLCCLLJLLLLLJLLLLL.J LI -LLLL

(d) < ff Sf
bb 660 _ 3i A-^ II i-I
<
-4: 6~Lj'6 L V t~Gi~bt I I I 1
I I I
blI II V
A I E_ I I . I
ff -1 I W. -1 -a,h~
) m m r m bo I . o I
- I rio "' -' ?i -'I II X,, - . v '--
.- - . ' I L.
the material of the development from the II at

pivot onits close
that to the
third to F,. Here Beethoven
dominant that marks the beginning of thether,
retransition.
applying a major/minor interchange, a
The first (Example 5a) effects, in the Notice
mediant,
how afar
motion
this twist to the motive has ta
counterclockwise
from that tonic minor to its flat submediant (Fb) byfrom the tonic. Beethoven
applying an rewrites this as E
ascending semitonal function to the common third, Ab/C,. This
minor and condenses the whole procedure, which becomes the
was foreshadowed in the second contrasting theme
first model (B') by
and sequence of theits
development.
The second transition (Example 5b) is a straightforward us again the tonal function of the II, he produces its own Nea-
model and sequence, utilizing an obvious harmonic implication politan, Abb. By an enharmonic change to G~ this becomes a
of the variant, 36 , leading from bII to V, GS to C. It seems so second transformation of II, catapulting us to the dominant.
simple! Yet because of what we now know about the b II, we see I have summarized both these procedures (in the tonic) in
that Beethoven is beginning to pull things together: in showing Example 5c.
Example 5. Two transitions
L _ 66 L_ ,
(4 9 ?r-Q- ~ nj r rt _i; J .r^r

( -6): 6'6 r- il -64 t -h - J a.,) -1 - 6 --w I-, M- 4
'-
to -h
(a)
11 _--,k.4 .h3. .h, A /, .
( ^:b jb j j;.1 ,JInCg'r T ""Tt 1 'a*r' ,e
Mediant
minor: I bVI III bVI
b3
i^ '* J- --
tV
1bV 6s8
Neapolitan: I
Tonic: bll continued
Example 5 continued
A . I . I I I
(b)
cont'd. LAbwb t'- d -J bJ- ^-_.
77l7 J I t 7 i -7 7-
j bib Hbn Jb U [e-R tl

IV bll
b II V
(c)
oaPSl IL
i __, 8 ? !8
Example 6. The development: expansion of the mediant as dom- on descending thirds) to GS, which sets off the retransition (Ex-
inant of the flat submediant ample 6a).
The model of the first section is a condensation of the device
The development consists of two main sections, which sum- used in the preceding link, utilizing an ascending semitone to
marize and simplify the motivic harmonic procedures. The link reinterpret a common third (G/B). The important melodic mo-
and first set of model and sequences unfold an AN octave by tion (E/F) is that original motif r , 1-'2; the b2 resolves as
means of descending major thirds: the Ab becomes V of the flat 4 to b3, effecting a major/minor interchange (Example 6b).
submediant, preparing a second sequential passage (also based The reduction of the sequence demonstrates that this semitone
(14-2) is analogous to 5-b6, here presented as B6b/Ab and func- Now let me summarize what I take to be the tonal structure
tioning to transform Ab into the dominant of the flat subme- of this particular piece of musical space. I have traced the path
diant. In this instant Beethoven reveals the connection of the through the network of relations on the circle of fifths (Figure
two statements of the semitone motif 7 in the first theme, Db/C 2). I want to show how Beethoven twice reaches the same outer
and Gb/F. Hence, this is a crucial moment in this first move- limit of the tonality.
ment, for it assimilates the contradictory element Gb into the
basic tonality by demonstrating its analogy to the tonic b 6. This 1. The basic tonality is F minor/ Ab major, achieved by rein-
point also starts the motion back toward home, taking us to the terpreting the common third Ab/C by transforming the function
first fifth counterclockwise. of its adjacent semitone from b 6-5 to 4-3.
The second section of the development is a straightforward 2. A major/minor interchange acquires Fi and projects the
version of the same cliche progression of descending thirds, motion a quarter of the circle counterclockwise.
carrying out as harmonic progression the Neapolitan "domi- 3. The b6-5 function is transposed to the subdominant mi-
nant form" of the opening theme, clarifying for us in a simple nor, taking us one fifth counterclockwise and generating the
tonal way the connection between Db and Gb through the sub- second fifth as the Neapolitan Gb. This procedure in the medi-
dominant minor, Bb-the connection that is not made explicit ant pushes us to the fifth fifth counterclockwise, Db minor/FI
in the initial statement (Example 6c). major, generating the sixth fifth (Bbb major) as its Neapolitan.
Example 6. The development: expansion of the mediant as dominant of the flat submediant
Dev I Dev II Retransition
(a)
43 6II11
bi10-
bb&Iilasw0 ??.?o " II ~~ 0 Vt ~II
0 ~~~~~\O
V bll V
Mediant minor Submediant Tonic
Development I
[t>^wmwm rm-[E 79
[1
f
9 e 7 g _ ___ __0 _ d_ _ _ ` r _
- S _* .5 flif f A5 5_I_
J
i- II__ _ 1_ _ ____ - 5
Model
I
1 ----b2
continued
Example 6 continued
C -.,. . ..
I C: Ucit-cI \IACUULt lull
' I I!
I I II
r~~~~y btl~~~~b bH - 17E-N - - b' " o --,

v - b:: bbO - -:
1 b2 5 -- b6 - 5
NB
Development I Development II
{4 ? J jbd b bo
jibb 2 llr'i d ,2bo

4 1 4 J l o
: 6:dp?r r r f bo
Development II 114
lib H j: g^.~ ~~~~ f? jJ JJ-ij I-

'~r-.~ I cresc.
1 T mm lH^fju^
(c)
/Q:Sib~~6 if F ]
_ , o 7 _, _ I _- ,L - --
L- I 1 I I L I I i I I
I hb.__
continued
Example 6 continued
')bbbb 1 M r I
9:bib~~ ~~~~ I6 9 - @
I II ?1i IT Ir
f]% ti 0t
4. The development emphasizes theV importance of t

submediant: First from the mediant minor, a reinter
of the AS/d? third carries the motion to its flat subm
Example 7. Analogies of tonalfunction
major. A major/minor interchange projects the motio
seventh fifth counterclockwise How was the imbalance(FV created?
minor).
By pushing the two ele-This is a
Beethoven wants to go. He hops
ments of around
the Grundgestalt the
to their limits in this dominan
work: the low-
the circle, back to the top, the
ered fourth mediant
degree (Bbb) and the lowered firstmajor.
degree (Fb mi-
Next the development makes nor). much the same move,
rating the flat submediant How of was this
thedone? Bytonic,
progressively extending
takingthe tonality us, by
applied dominants, two fifths by means of what I shall call analogies of tonal function-
counterclockwise to th
tan, GC major. A major/minor analogies that work interchange
by the manipulation of both specificprojects
pitch t
another quarter-circle counterclockwise and tonal function (Example 7). to Gb minor,
fifths farther to its Neapolitan, First the semitonal motif T wasmajor.
Abb interpreted as ?6-5 or 4-3,
Beethoven
reached the same outer limit yielding Fb of this
in the mediant and Gb intonality,
the subdominant. Next Gb/ the sev
counterclockwise from the tonic. This time an enharmonic F, acquired in the subdominant minor, functions as b2-1 in the
change to G major quickly takes us back to the tonic, again
tonic and extends to Bbb/Ab in the mediant. Finally, the func-
along the dominant side of the circle. tion of Db/C as 4-3 extends to Gb/F in the flat submediant and
Example 7. Analogies of tonal function
bo o
If in tonic: blb ? then in mediant:
b6 - 5 b6 - 5
4-3
If in subdominant: 30 bb bo ^ then in tonic: bo i, and in mediant: bbo ,

b6 - 5 b2 - 1 b2 - 1
0o , and the mediant's flat submedian

And further, if in mediant: bibb ? ' then in flat submediant
4 - 3 4 - 3 4 - 3
All with major/minor interch
But how is the subdominant
At the first fifth counterclock
bblbo - v- bo n
b6 - 5
4 - 3
reached through the mediant as subdominant of the flat submediant.
Bbb/Ab in Ft, flat submediant of the mediant. All these relations Example 9. The loweredfirst degree
can sustain a major/minor interchange.
It seems to me that instability in this piece is introduced by The second analogy is 12-1 and 4-3. What is the role of F-
the move to the subdominant, expressed as II in the initial minor, the lowered first degree? In the recapitulation of the
phrase with no indication of its relationship in the tonality, second contrasting theme, the tonic elaborates Db major, again
made cohesive only by the formal juxtaposition of tonic and affirming the analogy between F- and Db as flat submediant.
dominant forms of the first theme. Balance will be restored by The recapitulation closes in the tonic with the descending F mi-
demonstrating how this was a coherent move; that demonstra- nor arpeggio, returning to the original low register of the open-
tion will be made by further motivic and tonal analogies. ing theme (m. 204). At this point in the exposition the link to
As you have seen, all these relationships were laid out in the the development provides a major/minor interchange, carrying
mediant. The recapitulation of the contrasting section in the the harmonic motion to F- minor. At the same point in the re-
tonic minor/major shows us all those connections in the tonic. I capitulation (m. 205) a coda follows, using the same harmonic
will present two examples of how these motivic/harmonic anal- procedure that served as model at the beginning of the develop-
ogies are unraveled in other parts of the recapitulation. ment. The formal analogy between Db major and F- major, set
up by the place they occupy in the course of events, makes man-
ifest the analogy of tonal function.
Example 8. The lowered fourth degree
This turn reveals the most surprising analogy in the move-
The first analogy, b6 and b2, which produced the lowered ment: Gb and F as 12! Further, this passage brings into focus all
fourth degree (Bbb), is clarified in the bridge, where indeed it the relationships set forth in the movement: in the first model of
was first introduced. The bridge passage appears three times in the development, F is approached as b 2 and left as 4-, 3; here in
the movement. In the exposition it established the mediant ma- the recapitulation the same transformation of function occurs
jor, borrowing from its minor the b6-5 (Example 8a). It is reca- on Gb (m. 206), but without the major/minor interchange,
pitulated in the tonic, establishing the tonic major by the same defining Ab as a dominant. Again the crucial double function of
means (Example 8b). This affirms the analogy between Db and Ab, as tonic mediant and dominant of the flat submediant, is
F1 as b6. In the development (Example 8c) the bridge carries demonstrated: because the original semitonal motive Gb-F can
out the motion to the submediant Db, again using the same be interpreted as 4-3, by analogy Bbb/Ab as 4-3 achieves Fb, as
means, thus adding a further analogous pitch, B1b, as b6 of the flat submediant of the mediant. This passage in the coda, analo-
submediant. gous to the farthest limit reached in the development, is assimi-
We have been acquainted with Bbb as b2 of Ab, the mediant. lated into the tonic as flat submediant by means of an elegant
By using the bridge passage as a link in Db, Beethoven connects turn based on the condensation of transformations of II, turn-
the two functions of the semitonal motive, 16-5 and b2-1,ing the motion to the dominant in preparation for the close. Fi-
through the flat submediant region, Db major/minor. He takesnally, in the Piui Allegro, the Gb takes its place in the dominant
time here to restate what he had just shown us in a flash in the ninth applied to the subdominant, its original source (mm. 244,
dominant preparation of this passage (Example 6b). Further, 247).
we see Ab in its new role as dominant of the flat submediant, The web of tonal functions revealed in the coda illuminates
Ds. an earlier question: If the basic tonal contrast is between ton
Example 8. The lowered fourth degree
[30 b6 5
A.[~
Reduced in closing theme to:
i
(a)
6bb b t8 ' bilz dbt, b00S- O Pe8 BIU 8 I t |
t)
I I 1r Ir
Mediant bL6 - 5
68 __-.
"I^ A-- -0-
j ji b7F 7-t7i '1 . -

(b) <fp ^I] dim.
|@ 44i k dolce
r):bbbb Z_7 rr -" ~ "r *Z n-a:'- - n i m m i'""7

6 b6 -8 5
t' b3 blt 6Mbd; h i l bo. b 8 1 8 a 8 U 1

Tonic .- 't6v
----b6
5 5 ---- -s- --
___ b6 ---- 5
n LbV
(c)
[5v, b 'V r v "Is UTbbt qo II
Submediant
Submediant b 6-- 5
g:_r~ ?-~- . ^ - r f i- rm EW
t- ZPI S S , p ,p
-1 , I ml;-.6':;immhwH RIWai"mw ai i iq ml m
a;;;aL5 3 9 sT15 X0f *-> 0 ^^
rTm m m rn _, _ _, _, _ _ _ n ^ , M. h, , I I , Id I J-J1I1
fts~~~~~~~~ ffi" S
' 4. 4L4' R.4 aIJ a': . d'
tj .j j J' tL 4 t 4 P5^
*r4 Jtfr 4 f 44 t f r I dr ' u.p d
. . . L I. L ) . . . .
oJp s.n p. tM
33-13p Isjii p3.
Lg uo!iounj leuoi se jiesa6pun2j
minor and mediant, why-or how-is the initial move made to restored when all these relationships click into place at the en
the realm of the subdominant? The answer seems to be: be- of the movement.
cause of, by means of, all the tonal functions brought into focusI have been especially concerned here with two points: first,
by the flat submediant, Db major/minor. By the relative major/to explicate features of Schoenberg's concept of tonality as a
minor relation it locates the subdominant minor, Bb, the source
network of tonal relations; and second, to demonstrate how the
of the b2, G . As subdominant of the mediant Ab, it provides Grundgestalt
the functions on several levels-as motive, theme,
analogous b2 (Byb) and the function 4-3 or 4- 3 which, applied
span of bridge or development, and structural design-to make
to the BbK, carries the motion to Fi major/minor. And balance is
manifest that tonality.

Carpenter - Grundgestalt As Tonal Function

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Carpenter - Grundgestalt As Tonal Function

Uploaded by

Copyright:

Available Formats

Society for Music Theory

"Grundgestalt" as Tonal Function

MSM the manifested tonality?

Example 1. The basic tonality: tonic minor/mediant major

2 *.. I-*-. opI

(d) 6a W ? nO lw~~I R_11 _- _ ____ _ --_ _|

Example 2. The first extension: major/minor interchange

(a) tLbb b0o l1 I , bi II

i s r XbI b *1 ~ j ' J* :' ' i-

fbh V - tlr # b1lbj 111 V% + bh O , || j b Vb Vt 111 8 Iti ||

4i : d-^ "'--1 4. - 4 sfp -IV-W- .- .-

while a theme resembles

Example 3. Second extension: Neapolitan region

^bl-b $ mY' z 7- Ii ?&7jI -

I I ' ' 'p -7

lowed us the illusion that he carried Bbb up to 0d, gathering it IV

into the ascending linear motion, transforming the ordinarily

Example 4. The flat submediant (with major/minor interchange)

(a) 6W b pb I ?12 bo I It I l(lAi

. . I -a- 1 .1 . I_-" * 1%1%in

Jo/ ,i. ' _ -'- I I /

(:b?qb I CCCLCCLLJLLLLLJLLLLL.J LI -LLLL

the material of the development from the II at

Example 5. Two transitions

(4 9 ?r-Q- ~ nj r rt _i; J .r^r

( ^:b jb j j;.1 ,JInCg'r T ""Tt 1 'a*r' ,e

j bib Hbn Jb U [e-R tl

Dev I Dev II Retransition

r~~~~y btl~~~~b bH - 17E-N - - b' " o --,

jibb 2 llr'i d ,2bo

lib H j: g^.~ ~~~~ f? jJ JJ-ij I-

4. The development emphasizes theV importance of t

Example 7. Analogies of tonal function

If in subdominant: 30 bb bo ^ then in tonic: bo i, and in mediant: bbo ,

0o , and the mediant's flat submedian

All with major/minor interch

But how is the subdominant

At the first fifth counterclock

reached through the mediant as subdominant of the flat submediant.

Example 8. The lowered fourth degree

j ji b7F 7-t7i '1 . -

r):bbbb Z_7 rr -" ~ "r *Z n-a:'- - n i m m i'""7

t' b3 blt 6Mbd; h i l bo. b 8 1 8 a 8 U 1

' 4. 4L4' R.4 aIJ a': . d'

*r4 Jtfr 4 f 44 t f r I dr ' u.p d

Lg uo!iounj leuoi se jiesa6pun2j

You might also like

2 .. I--. opI

i s r XbI b 1 ~ j ' J :' ' i-

ry btlb bH - 17E-N - - b' " o --,