Cutle, Timothy: On Voice Exchange

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211

Timothy Cutler On Voice Exchanges

voice (Example 17). This four-note chromatic idea is not new; it was stated in

mm. 9–10 by the first violins and underscored by a reduction to three-voice

texture.

Controlling chromaticism: Voice exchanges and underlying

diatonicism

According to Gerald Abraham (1973, 77), “although the charm of chopin’s

harmony lies almost entirely in its iridescent chromaticism, it is, like his

melody, fundamentally diatonic. The diatonic basis is usually chromatically

embroidered. . . . But its presence is always felt.” nearly three-quarters of a

century after Abraham first wrote these lines in 1939, theorists still struggle to

explain the tonal underpinnings of some of chopin’s more complex passages

and compositions. Within a straightforward five-part rondo form (ABAcA),

chopin’s Prelude in A≤ major, op. 28/17, presents just these sorts of analytical

challenges. chopin avoids the tonic triad by deftly implying key and mode

without relying on the ubiquitous presence of its governing harmonic sonor-

ity. The undermining of typically consonant, structurally central sonorities is

paramount to this work, beginning in mm. 1–2 with the tonic triad abnormally

set in second inversion. This unexpected treatment of the opening tonic is

followed by a five-three tonic triad in m. 4 that is destabilized immediately

by the addition of a passing seventh, G≤. Although this harmony does serve

as a functional background tonic, and the opening refrain does prolong the

tonic, the first unadorned, stable I

does not occur until m. 18, the final mea-

sure of the initial section. (The I

in m. 9 is a contrapuntal chord that supplies

temporary consonant support to the melodic passing note c as the supertonic

harmony in m. 8 drives toward the dominant in m. 10.)

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Development middleground

(mm. 51–76) mm. 9–10

JMT 53:2 A-R Job 149-8 Cutler Example 17

Example 17. Haydn, op. 51/2 (motivic parallelisms)

22 Reducing the upper middleground line of Example 17

even further, A≤–F≥–G is reminiscent of D–B–C in m. 2.

23 Chopin counterbalances initial avoidance of the tonic

with an insistent tonic pedal in the final refrain, one that

Chopin allegedly likened to an old clock striking eleven. See

Eigeldinger 1986, 83, 157 n. 197.

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JOUrnAl of MUSIc ThEOrY

The first episode (mm. 19–34) centers on E major (enharmonic ≤VI),

and it, too, features an immediate undermining of the tonic in m. 19 with the

inclusion of a passing seventh (DΩ). An abbreviated second refrain follows

in mm. 35–42. here chopin avoids a deeper return to the tonic in masterly

fashion. Owing to its incomplete form (only the antecedent phrase is stated),

there is no gravitational tonic to overthrow the surrounding control of the

dominant. It is preferable to view the middle refrain as a prolongation of the

dominant, not as a resolution to the tonic. In this way, the music does not

resolve to a deep-level tonic until the last refrain, and chopin plays with our

expectations about tonic behavior on both local (harmonic) and long-range

(formal and structural) levels.

According to some, the second episode (mm. 43–64) begins by modulat-

ing for a second time to E major. This apparent key is short-lived, as an ascend-

ing chromatic 5–6 sequence tonicizes F≥ major a few measures later, followed by

a descending chromatic 5–6 sequence that eventually arrives on the dominant

of A≤ major in m. 57. The slithery chromatic motion featured in this episode,

a hallmark of chopin’s style, seems to defy conventional harmonic analysis. It

is generally assumed that Mendelssohn was referring to op. 28/17 when he

stated, “I love it, I cannot tell you how much or why; except, perhaps, that it is

something which I could never have written at all” (Eigeldinger 1986, 157).

Previous examinations of the second episode have hinted at the difficulty

in discerning consistent meaning from this passage, and there is no consensus

on an overall key or main harmonic sonority for the episode. Jeffrey Kresky

(1994) and Kenneth Delong (1991) assert that the second episode begins in

E major, yet neither author discloses this key’s purpose in the overall structure

of the Prelude. Elsewhere, Kresky mentions the tonicization of D major in m.

53 and remarks, “now this D will be put to very strange use” (1994, 91). James

Sobaskie (2007–8) does not go so far as to call E major the primary key of the

second episode, but his middleground graph of the Prelude suggests that ≤VI

(E major) is the central harmonic sonority of the passage. David neumeyer

and Susan Tepping discuss the A≤ Prelude in its entirety in A Guide to Schenker-

ian Analysis (1992, 92–101), and their comments are noticeably brief regard-

ing the second episode. One can sense puzzlement in their large-scale har-

monic reading of the Prelude, which labels mm. 43–64 as ≤VI moving to ≤VII

(the latter labeled with a question mark) progressing to V (neumeyer and

Tepping 1992, 93, 99). They consider ≤VII, or ≤III of V, as the main chordal

sonority of the section. This implies that a four-measure statement in F≥ major,

one that occurs at the conclusion of the first of two chromatic sequences,

is the governing harmony in a passage lasting over twenty measures. (Their

return to the dominant in m. 52, which takes place in the midst of another

chromatic sequence, is also problematic.) In “Form, Genre, and Style in the

Eighteenth-century rondo” (1995), Joel Galand avoids the question of a prin-

cipal harmonic sonority by showing only the dominant prolongation from

the end of the second refrain to the end of the second episode, leaving it to

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Timothy Cutler On Voice Exchanges

the reader to make sense of the intervening material. he admits that aside

from the ascending and descending chromatic 5–6 sequences, the voice lead-

ing “would possess little meaning in itself” were it not for the overall “quasi-

improvisational” prolongation of 2

(50).

Despite its complex chromaticism, there is a high degree of order and

logic to the second episode, and an expansive voice exchange is one determin-

ing factor in realizing it (Example 18). As with the opening of the Prelude, the

second episode starts with misleading ornamental dissonance. In m. 43, the

“B-major” harmony—not key—is structurally salient, not its low-level resolution

to E-major triads in mm. 44 and 46. In m. 43, the passing tone A decorates

the B-major triad in the same way that Beethoven’s First Symphony begins

not with a dominant seventh in F major, but with a functional tonic triad

that is adorned with an elided 8–7 passing motion.

chopin renders this idea

motivic, as it occurs numerous times, including at the beginnings of the first

refrain in m. 4 and the first episode in m. 19. Just as chopin confirms these

apparently unstable initial tonics at the ends of the opening refrain and epi-

sode, the B-major chord that begins the second episode will return at crucial

moments later in that section.

Its first reiteration occurs in m. 51. Both moments are underlined by

dynamics—the first by a subito piano and the second as the highpoint of a

gradual crescendo. Both represent the downbeats of four-bar hypermeters. And

both initiate chromatic 5–6 sequences, one ascending and one descending.

In essence, mm. 43–51 consist of a B-major

triad moving to its sequential

conclusion, an F≥-major

triad, followed by the return of the B-major

triad.

These details suggest that chopin prolongs the B-major chord throughout

these measures. Also emerging from this three-chord progression is the

melodic line B–c≥–B. This three-note figure is organic: B–c≥–B not only func-

tions as the underlying melodic frame for mm. 43–51 but also occurs as grace

notes in m. 43 and the melody itself in mm. 43–44.

A new chromatic sequence starts in m. 51. After the downbeat D≥ is

struck in the left hand, chopin abandons the lowest octave and delays its

return until the arrival of DΩ in m. 54. By removing the remainder of the

descending 5–6 sequence from the lowest register, the connection between

the bass notes D≥ and DΩ is highlighted. The relationship is fortified by pairing

this descending semitone with an ascending semitone above it—BΩ (m. 51)

and B≥ (m. 54). now the function of the descending 5–6 sequence begins to

clarify itself. Although m. 54 contains an omnibus progression (one that pos-

sesses its own internal voice exchange), in actuality the omnibus begins three

measures prior in m. 51. The 5–6 sequence serves as a harmonic detour before

the next chord in the omnibus progression enters.

24 DeLong’s assertion that the first episode (mm. 19–34)

begins in the Neapolitan key of A major is questionable for

the same reasons that Beethoven’s Symphony no. 1 does

not begin in F major. See DeLong 1991, 44–46.

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JMT 53:2 A-R Job 149-8 Cutler Example 18a

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JMT 53:2 A-R Job 149-8 Cutler Example 18b

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Example 18. Chopin, Prelude op. 28/17, mm. 42–57

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Timothy Cutler On Voice Exchanges

Example 18 (continued) Chopin, Prelude op. 28/17, mm. 42–57

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JMT 53:2 A-R Job 149-8 Cutler Example 18c

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It might be tempting to look past the omnibus in m. 54 in favor of the

cadential six-four in m. 55. After a long while, chopin achieves relative har-

monic repose compared to the intricate chromatic sequences of the previ-

ous measures. The cadential six-four is followed by a cadence in E≤ major,

the dominant of the Prelude, which joins with the structural harmony of

the second refrain to create an overall prolongation of the dominant from

m. 35 until the last refrain begins in m. 65. Yet the specifics of the omnibus are

what provide the final step in the voice-leading path of the second episode. In

m. 54, the terminal pitches of the expanding chromatic wedge are bass c≤ and

soprano E≤. Obscured by chromaticism, these pitches form an enharmoni-

cally respelled voice exchange with D≥ and BΩ in m. 51. And since m. 51 rep-

resents the reiteration and prolongation of the B-major sonority first heard

at the beginning of the episode in m. 43, a voice exchange governs all of the

chromatic voice leading within the second episode.

not only are these two

pitches present at the beginnings of mm. 43 and 51 and the end of m. 54; so,

too, are the other tones of the four-note chords. chopin’s enharmonic orthog-

raphy reflects the local function of each harmony: In mm. 43 and 51 a surface

applied chord briefly tonicizes E major; in m. 54 a German augmented-sixth

chord leads to the dominant of E≤ major. In sum, chopin prolongs the domi-

nant of A≤ major from the second refrain to the end of the second episode

by moving to the dominant’s ≤VI harmony (the enharmonic equivalent of “B

major”), initially in first inversion, then in root position with an augmented

sixth, and eventually resolving to the dominant once again.

By viewing the sevenths in mm. 43 and 51 as contrapuntal and not har-

monic in function, it becomes evident that the core of the second episode

consists of nothing more than an expression of I–V–I in the dominant key.

This progression is embellished by a predominant ≤VI chord that is prolonged

through a complex series of chromatic maneuvers. For this reason I have

avoided referring to B major as a key—it does not reside on such a deep

structural level, nor is it sufficiently established as a strong tonic to merit that

label. In fact, chopin has performed a rather remarkable musical magic trick:

he convinces the listener that the dominant’s ≤VI harmony is prolonged for

the majority of the second refrain even though not one unadorned B-major

or c≤-major triad occurs during the section.

This interpretation also sheds light on some ingenious motivic connec-

tions (Example 19). First, the initial episode centers on the key of ≤VI rela-

tive to the Prelude’s overall tonic, and the second episode composes-out an

extended prolongation of the dominant’s ≤VI harmony. consequently, the

bass motion of the first two sections comprises 1

, ≤6

, and 5

with respect to

25 Because the pianist is approaching a climax, Rothstein

encourages performers to take time at the end of m. 54.

Although his interpretation is not based on the large-scale

voice exchange in mm. 43–54, his performance intuitions

concur with my analytical conclusions (Rothstein 2005).

217

Timothy Cutler On Voice Exchanges

the tonic; bass motion in the third and fourth sections continues with 1

, ≤6

and 5

from the perspective of the dominant. Second, the overlapping motivic

parallelisms in mm. 43–46 (B–c≥–B) represent 5

and 6

in the surface key of

E major. Meanwhile, a broader unfolding of this figure occurs within the

deeper prolongation of E≤ major: B≤ (m. 42) ascends to c≤ (m. 43), which is

transferred to the bass (m. 54) and returns to B≤ (m. 55) (see Example 18c).

These pitches also represent 5

and ≤6

, in this case with respect to the Prelude’s

dominant. The neighbor-note motives hark back to the first episode’s E-major

tonal center descending to the dominant of A≤ major when the second refrain

arrives—F≤ falling to E≤, ≤6

, and 5

in the main key of A≤ major. Third, the

unfolded bass motion from E≤ (m. 43) to c≤ (m. 54) is echoed in one of the

Prelude’s main melodic ideas, first heard in mm. 28 and 30 a semitone higher

and then repeated at pitch in mm. 58 and 60. And fourth, the overall bassline

of the Prelude shares a definite resemblance with this melodic motive (see

Example 19). Because some of the pitches do not share equivalent functions,

one should not read too much into these similarities, although I consider it a

happy coincidence that the Prelude’s large-scale bassline loosely mimics one

of its main thematic ideas.

Concealed counterpoint: When a voice exchange is

Earlier I mentioned that some pitch swaps represent nothing more than a

visual phenomenon possessing little musical relevance. The converse is true

in other instances: a functional exchange may be present even if it is difficult

or impossible to see on the page. Implied tones are common obfuscators of

voice exchanges. In the third movement of Mendelssohn’s Violin concerto

op. 64, the downbeat of m. 51 initiates a three-measure voice exchange with

A≥ and F≥ trading positions (Example 20). The chromatic bass descent is

explicit, but the top-voice motion from F≥ to A≥ is less so. nevertheless, the

harmonic progression suggests an implied ascending chromatic branch that

creates a wedge motion with the bass and produces an omnibus progression.

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Example 19. Chopin, op. 28/17 (motivic connections)

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JOUrnAl of MUSIc ThEOrY

The implicit ascent from F≥ to A≥ fortifies the voice exchange that begins in

m. 51, and a tacit pitch swap that is not visible on the literal score, with GΩ and

AΩ, is embedded within the larger exchange of voices.

Even when a voice exchange is plainly presented, figuration can conceal

its genuineness. Measure 9 of Mendelssohn’s Song without Words op. 102/6

contains an apparent pitch swap between the outer voices (Example 21). At

first glance this trade looks obvious—it is metrically accented and embellished

by a typical passing six-three chord. Upon closer inspection, the two harmo-

nies associated with the exchange, V

and II

, do not seem to share the same

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JMT 53:2 A-R Job 149-8 Cutler Example 20

Example 20. Mendelssohn, Violin Concerto op. 64, mvt. 3, mm. 51–55

26 Chopin’s Prelude op. 28/17 (see Example 18) illustrates

another method for “hiding” voice exchanges—enharmonic

respellings. See also the first movement of Beethoven’s

Piano Sonata op. 57, mm. 117–19.

219

Timothy Cutler On Voice Exchanges

harmonic function. If a similar chordal idea cannot be detected, the voice

exchange is unsound. In this example, however, the label “II

” is mislead-

ing. “II

” has little harmonic import; instead, it should be viewed contrapun-

tally. First, it is built on the upper fifth of the V harmony and arpeggiates the

dominant in the bass. And second, the fifth and seventh of the “II

” chord are

neighbors to the GΩ’s and BΩ’s that surround them. “II

” is the consequence

of contrapuntal elaboration, and the dominant is implicit throughout m. 9

and into m. 10. The voice exchange is indeed valid, illustrating the deceptive

appearance of some surface harmonies.

The Sarabande from J. S. Bach’s Partita no. 2 for Unaccompanied Vio-

lin, BWV 1004, presents a more intricate situation. The legitimacy of a single

voice exchange depends on the soundness of numerous other potential pitch

trades. Initially, it is not clear if mm. 21–22 contain a real or illusory voice

exchange; it seems doubtful that a VII

and a neapolitan chord could prolong

a single harmonic idea (Example 22). If one wants to refute the notion that

mm. 21–22 contain a functional exchange of pitches, one might turn to m.

18—a place of momentary stability, the tonicization of F major, and the start

of a chromatic ascending 5–6 pattern that concludes with dominant arrival in

m. 20 (Example 23). If the dominant is the goal of the sequence, bass B≤ in

m. 21 would function as a neighbor to the AΩ’s that surround it, and the label

“passing

” shown in Example 22 would not apply. According to Example 23,

the bass in m. 22 is passing and supports two harmonies, a neapolitan and

a VII

chord. The neapolitan would serve not as a predominant but rather

as support for the chromatic passing tone E≤ within an upper-voice ascent

c≥–D–E≤–E–F. This mimics the bass’s rising chromatic line in mm. 18–20,

F–F≥–G–G≥–A. The hypothetical analysis in Example 23 depicts dominant

prolongation in mm. 20–22, suggesting that the proposed voice exchange in

mm. 21–22 is fallacious.

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Example 21. Mendelssohn, Song without Words op. 102/6, mm. 7–10

27 For a related example, see Schubert, Impromptu

D. 899/3, m. 4. The underlying harmonic function of the sec-

ond beat is obscured by the passing tones CΩ and E≤.

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JOUrnAl of MUSIc ThEOrY

But the analytical story does not end here. The ascending chromatic

sequence, based on the 5–6 technique, replicates itself at a higher level accord-

ing to Example 23. These 5–6 ideas stem from the beginning of the move-

ment: The inner-voice motion in m. 1, A–B≤, represents a 5–6 shift above D,

and the same motive is repeated two measures later. Additionally, these initial

5–6 motions are couched within twin voice exchanges that coincide with an

octave descent in the bass (Example 24).

To better assess the proposed voice exchange in mm. 21–22, it is nec-

essary to bridge the gap between mm. 1–8 and 18–24. Surveying the Sara-

bande as a whole, there are numerous moments that possess varying degrees

of tonal stability, including mm. 1, 8, 12, 16, 18, and 24. One hypothetical

interpretation views the mediant harmony in m. 18 as a high-level structural

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Example 22. J. S. Bach, Partita no. 2 for Unaccompanied Violin, BWV 1004, Sarabande,

mm. 17–24

28 Bach uses another opening voice exchange from I to I

in the Largo of Sonata no. 3 for Unaccompanied Violin, BWV

1005. Schenker analyzes this composition in The Master-

work in Music (1994, 31–38). Schenker does not use the

term “exchange of voices” to describe these opening mea-

sures (although he does use it regarding a later passage),

but it is clear from his commentary that he heard the music

in this way. He also points out a lovely detail: the ascending

sixth in m. 1 (A–F) is mirrored by an expanded descending

sixth in the bass (F–A) spanning mm. 1–3. And while both

the F-major Largo and D-minor Sarabande share the same

initial voice exchange from root-position to first-inversion

tonic, the “twin” voice exchange in the F-major Largo, from

back to I, is less pronounced than it is in the Sarabande.

Another composition that shares opening similarities with

Bach’s D-minor Sarabande and F-major Largo is Rachmani-

noff’s “Vocalise,” op. 34/14.