Structural Patterns in Fugue Subjects and Fugal Expositions

Author(s): William Renwick

Source: Music Theory Spectrum , Autumn, 1991, Vol. 13, No. 2 (Autumn, 1991), pp. 197-
218
Published by: Oxford University Press on behalf of the Society for Music Theory

Stable URL: https://www.jstor.org/stable/745898

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 Structural Patterns in Fugue Subjects and Fugal
Expositions
William Renwick
Most Schenkerian studies fall into one of three categories.
One includes the continued exploration of broader areas of
the tonal and non-tonal repertoire than Schenker himself
cared to examine. Another, newer area of research treats
Schenker as a historical figure and examines his work in the
context of contemporary philosophical and cultural devel-
opments. The third is mainly concerned with further appli-
cations, clarifications, and reevaluations of the theory itself.
The present article falls within the third category. It deals
with an issue that has received little, if any, previous at-
tention: the effects of the strictures of imitative counterpoint
upon voice leading-and its converse, the restrictions that
voice leading imposes upon imitative technique. In an at-
tempt to explain imitative counterpoint according to the
principles and practices of Schenkerian analysis, this article
proposes that Baroque fugue subjects can be classified into
a small number of structural paradigms and explores the
implications of these paradigms for formal structure and
style, revealing their impact on the structure of fugal answers
and countersubjects and the disposition of voices in fugal
expositions. As a result of this investigation, it becomes clear
that J. S. Bach heavily favored certain of these paradigms in
his keyboard fugues, and that his taste, as measured by these
paradigms, changed over time.
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SUBJECT PARADIGMS
Schenker's published analyses of fugue subjects
each case to an elementary structural basis of a f
linear progression connecting notes of the ton
Tab. 1).1 This is supported by some of Schenker's
few words on the matter:
The fugue subjects of J. S. Bach, with only few exceptions, conve
self-substantiation within themselves as they reveal a strictly com-
pact course of action.2
The "strictly compact course of action" can be taken to sig-
nify the underlying linear progression which gives directio
and motion to a subject, while that they "convey self sub-
'These analyses can be found in the following works of Heinrich Schen
ker: Das Meisterwerk in der Musik, 3 vols. (Munich: Drei Masken Verlag
1925-30), Vol. 1, 97; Vol. 2, 33, 60, 63; Der Tonwille, IV. Jahrgang, Hef
2/3 (Heft 8/9 der Gesamtfolge) (April-September, 1924), 28; Free Compo
sition, 2 vols. (1935), trans. Ernst Oster (New York: Longman, 1979), Fig
53,5, 92, 103,3a, 109,e5, 133,1; J. S. Bach's Chromatic Fantasy and Fugue
(1910), trans. and ed. Hedi Siegel (New York: Longman, 1984), 45.
2Heinrich Schenker, "The Organic Aspect of the Fugue," trans. Sylvan
Sol Kalib in "Thirteen Essays from the Three Yearbooks Das Meisterwer
in der Musik by Heinrich Schenker: An Annotated Translation" (Ph.D.
dissertation, Northwestern University, 1973), Vol. 2, 251.
 198 Music Theory Spectrum

Table 1. Schenker's analyses of linear progressions in fugue sub- Table 2. Linear progressions in the fugue subjects of WTC
jects
Paradigm
Bach, Well-Tempered Clavier, Book 1 Linear Progression 1
AAA^ 2 3 4 5 6
Fugue 2 in C minor 5-4-3 AAA
A A A 5-4-3 AA-2-A AAAAA3-
_1-2-3 5-4-3-2-1
AAA

3-2-1
AAAAA
1-2-3-4-5
AAAA
5-6-7-8
Fugue 3 in Ct major 3-2-1
WTC 1:
Fugue 4 in C#minor 3-2-1 C minor C# minor D minor
AAAAA
C major C# major4 B major
Fugue 6 in D minor 1-2-3-4-5 D major E major D# minor B major G major
F major F minor
AAAAA

5-4-3-2-1 Bk major
Fugue 8 in D#minor
AAA F major Ffminor
Fugue 22 in Bk minor 5-4-3 G minor A minor
Well-Tempered Clavier, Book 2 B bminor
A A A A
AAAA

Fugue 23 in B major 5-6-7-8

A A A A A WTC 2:
Chromatic Fantasy and Fugue 5-4-3-2-1
A A A C major C# minor F #minor E major
Invention No. 15 in B minor 5-4-3 C minor D# minor
A A A C# major G# minor
Handel, Harpsichord Suite in F major5-4-3 D major Bk major5
AAAAA
D minor
Brahms, Variations and Fugue on a 1-2-3-4-5
El major
Theme of Handel, Op. 24 E minor

F major
F minor
stantiation within themselves" suggests the sense of unity
F#major
that such an unfolding of the tonic chord provides.3
G major
The linear progressions which the subjects in Table 1 rep- G minor
resent, along with one other linear progression (1-2-3), Modulating subjects:
A , major
WTC 1: Eb major, E minor, G4 minor, A major, B minor
form a group of six progressions which occur consistently as A major
A minor
the basis of fugue subjects in a very large proportion of the
B minor Neighbor subject:
traditional fugal repertoire. These six linear progressions are WTC 1: A major
B minor
termed subject paradigms here in order to indicate that they
serve as the structural basis for numerous fugue subjects. In
the Well-Tempered Clavier (WTC), for example, all but one 4Although Schenker recognized the fifth-progression here, he evidently

of the 43 non-modulating fugue subjects are based on one
of these paradigms (see Tab. 2). Their common features-
3It will be noted that none of the subjects on the above list is a modulating
subject. Such subjects are by nature less unified, and in the interests of clarity
are not treated here.
considered the third-progression, 3-2-1, of the upper voice to be more
important melodically. See Free Composition, Figure 133,1. However, it is
the fifth-progression that guides the downward registral expansion of the
exposition as each succeeding voice enters.
'See Carl Schachter, "Bach's Fugue in B, Major, Well-Tempered Cla-
vier, Book I, No. XXI," in The Music Forum, Vol. 3 (New York: Columbia
University Press, 1973), 239-267.

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 Structural Patterns in Fugue Subjects and Fugal Expositions 199

unfolding the tonic triad within the span of a fifth-are fifth, 3-4-3-2-1, beautifully elaborated by two s
shared with two other linear progressions that are not rep- means, arpeggiation and decorated suspensions. A
resented: 8-7-6-5 and 3-4-5. While 8-7-6-5 appears in the Example 1, an upper neighbor to the dominant is
repertoire, it signifies a modulating subject. As will be made prominent.
clear below, 3-4-5 is subsumed within 1-2-3-4-5 due to its Paradigm 4: 3-2-1. 3-2-1 is one of the less common
special nature as a rising linear progression beginning on 3. subject paradigms. As in Example 4,7 the tonic normally
The following analyses of subjects from the WTC serve to sounds first, serving three functions: it clarifies the tonal
enumerate this limited repertoire of subject paradigms and center; in answer form as the fifth it provides a consonant
to illustrate their use in a variety of guises. expression of I with the tonic at the end of the subject; and
Paradigm 1: 3-4-J. Example 1 shows an underlying third- it provides a voice-leading context for the first note of the
progression, 3-4-3, ornamented by an upper neighbor and answer's linear progression, which would otherwise begin
unfolding of II. Note in particular the upper neighbor to 5: with the seventh note of the scale as a structural note. (This
this feature is extremely common in subjects based on linear principle also explains the absence of 3-4-3 as a separate
progressions that descend from 5, and it plays an important paradigm. Inclusion of the tonic for tonal reasons will in-
role in the structure of the answer, as is detailed below. The evitably yield i-3-4-5, which will be understood as an in-
elegance and interest of this subject lies in the fact that complete fifth-progression, not a third progression.) In Ex-
mm. 3-4 are a disguised repetition of mm. 1-2. Bach's own ample 4 the arpeggiation c#-e expands into an unfolding by
simplification of the subject in mm. 69-72, 72-75, and 76- continuing both voices in a two-part counterpoint, resulting
80, as shown in the third line of Example 1, confirms this in the expressive diminished fourth, B#-e.8
view and supports an alternate analysis which reflects the Paradigm 5: i-,-J-4-s. Example 5 shows the rising fifth
parallelism.6 1-2-3-4-3, and again, as for the i-2-3 progression above,
Paradigm 2: i-2-,. As the brackets in Example 2 indi- reaching-over strengthens the basic linear-motion.9
cate, the rising third permeates three levels of the WTC 2 Paradigm 6: 9-8-3-8. This progression appears only
Gt-minor subject, giving a nesting of third-progressions. rarely as a basis for fugue subjects. Example 6a, based on
Reaching-over, such as can be seen here, is commonly used Schenker's analysis, shows not only the primary rising fourth
in fugue subjects based on rising linear progressions because but also two supporting progressions, 1-2-3 and 3-4-3,
it facilitates the voice leading of the later parts of the fugue, which together complete a polyphonic aggregate.10 Although
particularly where the subject is reharmonized and where it
occurs as an inner or bass voice.
7Schenker, Free Composition, Figure 103,3a.
Paradigm 3: s-4-3-J-i. Example 3 shows a descending8The similarity to the opening phrase of the chorale "Nun komm, der
heiden Heiland" (itself based on the plainchant "Veni redemptor gentium"),
a tune which Bach used in numerous compositions, may point to Bach's
6This procedure of concluding a work with a simpler form than the orig-
inal is highly unusual. Interestingly, this final section does not occur in original
the inspiration for this subject.
earlier "Clavierbuch" in the hand of J. P. Kellner. See Bach Werke 36 9Schenker's analysis of this subject highlights the underlying fifth-
(Leipzig: Bach-Gesellschaft, 1890): 224-225. It was added later, probably
progression which the reaching-over obscures on the surface. See Free Com-
in order to balance the composition more evenly, since the subjectposition.
had not Figures 53,5 and 156,1.
been used in preceding 13 measures. l'Schenker. Das Meisterwerk in der Miisik, Vol. 1, 97 (Fig. 3).

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200 Music Theory Spectrum

Example 1. Paradigm 1: WTC 2 C-major fugue subject

A5~~~~~~ ~~~A A

S ic,T^^ ^-T^4 3

It --- \--l--l - --J v_

Example 3. Paradigm 3: WTC 2 F#-minor fugue subject

lit*.~! [71 .r-'r ',. _ .- _-+-- .

S ^?~ 1~,~~-~-~--;4 3 2 1

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 Structural Patterns in Fugue Subjects and Fugal Expositions 201

Example 4. Paradigm 4: WTC 1 Ct-minor fugue subject progressions can be considered as potential foundations of

^t9: - dl -| I o I subjects as well.

An overwhelming preponderance of fugue subjects is
3 2 A
based on the six paradigms illustrated above. Other pro-
gressions with a larger ambitus, such as the descending oc-
tave, 8-7-8-5-4-3-2-1 (found for example in Corelli's Trio
Sonata, Op. 1 No. 3, fourth movement) and the rising sixth,
5-6-7-1-2-3 (found in Bach's Sonata No. 5 in F minor for
Example 5. Paradigm violin and
5: WTCkeyboard, fourth
1movement),
D-minor while still progres- fug
sions within the tonic chord, are exceedingly rare in the
Baroque style, but turn up more frequently in rococo and
Classical subjects.1

SUBJECT ELABORATIONS

ib J^r- -, m--4
Examination of a large number of fugue subject
not only that these subjects share common underl
Example 6a. Paradigm 6: WTC 2 B-major
progressions fugue
but also subject
that they (after
often share certain
Schenker) tive features as well which are themselves structural in na-
ture. The most elementary structural elaboration of subject

'),?,r" C rC I rf r ' ^^nI
this analytical construct is based on the assumption of an
implied note (f# in m. 1) as the initiator of the primary linear
progression, Schenker's analysis is convincing here because
of the impressive coherence of the combined linear progres-
sions, and it is confirmed by the ensuing exposition, where
the apex of the answer (m. 8) actualizes the implied ft1 of
the following subject entry (see Ex. 6b). Thus, implied linear
paradigms is the initial tonic, a tonic note which occurs in
close proximity to the first note of the linear progression
(mediant or dominant)-either before or after. Examples
and 4 illustrate this phenomenon.12 When such an opening
gesture boldly asserts the tonic and dominant, its implicatio
for answer construction has traditionally been framed in on
of the most familiar rules of tonal answer: that tonic respon
to dominant and dominant to tonic, in an opposition o
"See Warren Kirkendale, Fugue and Fugato in Rococo and Classica
Chamber Music (Durham, N.C.: Duke University Press, 1979), 103-108
'2An initial tonic need not be the very first note of a subject, as the term
would seem to imply. Rather, it is a tonic note which has membership
the initial implied tonic chord.

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202 Music Theory Spectrum

Example 6b. Voice-leading structure of WTC 2 B-major fugue, mm. 1-14

0 I I

itlsrV, '
5 6 6 6 6 6 ("5 - 6 - 5-6 - 5") 6
I V I VI V I

keys.'3
tural note, usually the Kopfton.14 In the context of fugue
present
subjects it applies only when the linear progression begins
tial on 3. Example
toni 7 shows how an initial arpeggiation grows
naturally out of the initial-tonic idea described above. The
harmoni
thaninitial tonic chord which the
a dominant implies is fullym ex-
pressed by the inclusion of i and 3. Example 2 above rep- w
answer
ends th
resents a similar structural function, even though there the
arpeggiation follows the start of the linear progression. Ex-
normally
ample 6 also represents an initial arpeggiation, although, as
signifyi
noted above, the first note of the no
inant main linear progression is
omitted.
minds w
subjectGrowing out of initial arpeggiation, initial ascent is also a
and based on Schenkerian
dom terminology. Initial ascent is a further
expansion of the initial tonic in which the fifth from the initial
Related
tonic up to the Kopfton is completely filled by stepwise mo-
identifie
tion, yielding a subordinate rising fifth-progression. The
musical
WTC 2 E-minor subject contains an initial
notes of ascent, as shown
in Example 8. All three phenomena-initial tonic, initial
13For exa
arpeggiation, and initial ascent-should properly be re-
key is alwa
garded as variant
tonic means of expressing the opening tonic
triad
chord with
with, increasing
or degrees of fullness. e
dominant
Gamut Music Co., 1964), 16. '4Schenker, Free Composition, 46-47 and Figure 40.

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 Structural Patterns in Fugue Subjects and Fugal Expositions 203

Example 7. Initial arpeggiation: WTC 2 descent

CO-major fugue subject 3-4-3-(
i-2-3-(2
I9:It ?j'# i1c 7 " I - , 1; as to wh
type, mo
5 4 3 to the t
:4),Jtg tt. 1, J l 1 can und
ondary v

contrap
The giv
In linear progressions which descend from 3 (S-4-3 andturn im
5-4-3-2-1) it is extremely common for an upper neighboroptional
to embellish the linear progression, giving the patternsing" Abl
5--_5-4-3 and 3-8-S-4-3-2-i (see Exx. 1, 3 and 8). While precise r
the role of such a neighbor is only ornamental in the subject, that the
it is of structural importance in the tonal answer since, as isgression
more fully discussed below, the corresponding answer pat- and (A,
terns are consequently altered from 8-8-7 and 8-8-7-6-5 similar b
to i-3-2-i-7 and i-3-2-i-?-?-3, thus permitting the an-ascendin
swer to maintain a closer melodic correspondence with the In cases
subject as well as a stronger harmonic connection with the progress
tonic chord. gression
In subjects ending on 3 (paradigms 1 and 2), it will fre- Mozart's
quently be found that the succeeding notes comprise a rapid linear p

Example 8. Initial ascent: WTC 2 E-minor fugue subject

A , 3 __ . I I 3 3

4R TT? t3 j ! j ;- j-^. ; l . 0LA j Iijr^;dJj;0;I jIIJ I I7 I

A A A

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204 Music Theory Spectrum

Example 9. Structural implications of paradigm 1

jim ies J or
--): implies or
J'9' <ff " - _ .= _
I I I I I

Example 10. Structural polyphony: WTC 2 F-minor fugue subject

n I +_ i n _- ___E

5 4 3 5 4 3

! I _( 1

ing progression seems to predominate, the ascendingExample

pro- 11. W. A. Mozart, Preambulum et Fuga, K. 394,
gression could easily assume a primary structural role, subject
par-
ticularly in a bass entry of the subject.15
Further support for such basic contrapuntal voice-leading
structures as this can be gained from an examination of the A
5
A
4
A
3

subject and two countersubjects of the WTC 1 Ct minor

fugue. Example 12 shows the underlying voice leading of c: F e -r ; I _ ' r; 7 ,: } i~~~~~j
each of the themes: the subject is a 3-2-i type, the first I I
I ^
countersubject is a 5-4-3, and the second countersubject is 2 3

essentially an 8-7-8 neighbor motion. The combination of

all three gives a full polyphonic structure, analogous to that
of the WTC 2 F-minor subject, but here the fact that eachcan be recombined in six forms of invertible coun
structural voice is given in a separate part means that they
as shown in Example 13. All but the second of
mutations are used in the composition.
Such
'5Schenker's analysis of the fugue subject in Handel's Suite de pieces pour are the various types of subject paradigms
orations encountered not only in the WTC, but als
le clavecin, Suite II (in F major), is similar: 5-4-3 and 1-2-3 again converge
on the final note of the subject. See Free Composition, Figure 92. majority of other fugue subjects by Bach and h

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 Structural Patterns in Fugue Subjects and Fugal Expositions 205

Example 12. Structural polyphony: WTC 1 Ct-minor

the tonalthemes
structure of the typical Baroque fugue subject. The
J 'A . L overwhelming prevalence of these paradigms is evident from
'"u - imrrriLrrF frL Jrrr r Table 2 above, which identifies their occurrences throughout
the two volumes of the WTC.
Although some interpretations in Table 2 may be open to
E ti; - r f r WTC C-minor alternate readings, three main points can nevertheless be
made. First, a great preponderance of subjects indeed are
founded on identifiable linear progressions. Second, dis-
counting modulating subjects and one neighbor-motion sub-
A

5 4 3
A A
ject, only the six paradigms noted above appear in this
sample. Third, certain linear progressions occur frequently
| #t' . --- | I (5-4-3, 1-2-3, 5-4-3-2-i), and others infrequently
(3-2-i, 1-2-3-4-5, 5-6-7-8), as Table 3 illustrates.

Table 3. Subject paradigms in WTC, ordered according to fre-

quency of occurrence

SubjectSubject paradigm Number of occurrences

paradigm
WTC I WTC 2 WTC I & 2

mm.742 8 7 m 8 A A
1: 5-4-3 6 17 23
A A

Example 13. Inversion permutations for WTC 1 C,t-minor 2: 1-2-3 3 4 7

AAAAA
themes 3: 5-4-3-2-1 5 1 6
A A A
- 6 7 6 ,, o 4: 3-2-1 2 1 3
i#+tFt# O #? t1 11 1 1 0o 0 AAAAA-2-3-4-5
5: 1-2-3-4-5 2 2 0 2
A A A A
6: 5-6-7-8 0 1 1
mm. 74, 82 m. 86

totals 18 24 42

m. 52 mm. 67, 77 mm. 55, 60

Modulating subjects 5 0 5
Neighbor subject 1 0 1
poraries. While other subject forms can be found within the
repertoire, particularly in fugues based on preexisting totals 24 24 48
themes such as chorales, these six paradigms virtually define

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 206 Music Theory Spectrum

Nearly half (23) of all the WTC subjects are based on Table 4. Number of voices in WTC fugues
paradigm 1 (3-4-3). This preponderance is due to the special
capacity of this structure for contrapuntal treatment, as il- WTC 1 WTC 2 WTC 1& 2
lustrated above. In simplest terms it implies a I-V7-I pro-
2 voices I 0 1
gression, which can operate effectively in a variety of imi-
3 voices 11 15 26
tative schemes. WTC 2, completed 22 years after WTC 1,
exhibits a much more consistent use of the 5-4-3 linear 4 voices 10 9 19

progression, avoids to a greater extent the less usual types, 5 voices 2 ( 2

and contains no modulating subjects. This observation may

relate to two other aspects of differentiation between the two totals 24 24 48
books. First, there is a more consistent use of dance idioms
and less use of the vocal style in WTC 2. Second, more of
the fugues in WTC 2 are in three parts (see Tab. 4).
Several theorists and musicologists over the past century
have tried to account for certain recurring patterns in fugue More recently, Uriel Itte
subjects. Arthur Marchant provided a collection of fuguesubjects in WTC 2 end o
subjects classified according to beginning and ending pitch coincidence" that all thre
combinations for the study of fugal answer as early as 1892,accompanied violin begi
but the basis of his classification is surface features and the incidence plays any par
result is a very broad array of possibilities.l6 Early in this surely not here. Rather,
century, Marc-Andre Souchay attempted to classify Bach's on paradigm 1, and such
fugue subjects according to surface and underlying melodic sonably be attributed
whether he could have articulated it as such or not-of the
characteristics. His study shows not only how subjects share
underlying linear progressions, but how surface character- effectiveness of this particular linear progression for con-
istics are similar in certain subjects and how polyphonic mel- trapuntal elaboration.
ody is used in similar ways. As a result, he not infrequently Walter Schenkman notes that Bach's fugue subjects are
assigns a single subject to more than one structural category, often founded on the descending sixth, 6-3-4-3-2-i, or the
on the basis of various analytical criteria, making any sum- descending fourth, 8-3-4-3. Interestingly, he connects this
mary of underlying principles virtually impossible.17 formula with the ancient tradition of solmization, in which
ut re mi fa sol la and its various permutations served as the
16Arthur W. Marchant, Five Hundred Fugue Subjects and Answers: Se- motivic basis for compositions-a tradition still practiced in
lected, Arranged, and Edited, 2nd ed. (London: Novello, 1892). the mid-seventeenth century, as can be seen in the keyboard
17Marc Andre Souchay, "Das Thema in der Fuge Bachs," Bach-Jahrbuch
24 (1927), 1-102; and 27 (1930), 1-48. Judging from the diagrams, it would 18Uriel Ittenberg, "The Fugues of J. S. Bach: A Study of their Structure,
not be surprising if Souchay had been to some extent aware of Schenker's Style, and Texture" (Ph.D. dissertation, University of California at Los
work. Angeles, 1956), 175-176 and 231.

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 Structural Patterns in Fugue Subjects and Fugal Expositions 207

works of Frescobaldi, some of which were probably known
to Bach.19 While Bach's fugue subjects may carry historical
traces of the modal thinking that Schenkman suggests, they
clearly function within the triadic context of tonality. The
hexachordal patterns that Schenkman identifies represent in
structural terms paradigms 1 and 3, ornamented by the upper
neighbor 6.20
tingent on the premise that notes which are structurally im
portant in the subject will also be structurally important i
the answer. One possible method for working out an answe
according to such principles would be (1) to reduce a subjec
to its essential linear progression, (2) to construct a suitabl
answer to the linear progression, and (3) to embellish th
answer so as to resemble in outward form the detail of the

It remains an intriguing question, however, precisely why subject. Example 14 provides a series of subject and answer
these particular paradigms, especially the descending mo- models based on the six paradigms given above, which ca
tions mentioned above, are so prevalent in the literature. As serve as bases for the construction and analysis of tonal and
illustrated below, the voice-leading and harmonic require- real answers. Such a catalogue could be continued for qui
ments of an imitative opening in a tonal context lead in and some space with further possibilities, including modulating
of themselves to these constructions as the most natural and and neighboring varieties. Answer paradigms marked "R
satisfactory, since they express the essentials of tonal and represent real answers, while those marked "T" are tona
harmonic function so clearly and simply, and these patterns These patterns are equally valid in major and minor keys.21
easily lend themselves to coherent and well-formed answer While many of the answer paradigms will seem obvious i
constructions. the abstract, their value appears in the formulation of an-
swers for complex subjects and in understanding apparen
anomalies in answer construction from a structural perspec
ANSWER PARADIGMS
tive. From the viewpoint of tonal structure the upper neigh-
bor, 6, which occurs frequently in subjects, is of particular
If it is true that most subjects exhibit one of a limited
interest (see Ex. 14, paradigms lb and 3b). It assumes a
repertoire of linear progressions, then this repertoire can be
crucial role in the answer by arpeggiating the tonic chord,
used to establish basic principles of answer construction, con-
thus binding the subject and answer firmly within a single
harmony, and by becoming itself the initiator of a new linea
19Walter Schenkman, "The Influence of Hexachordal Thinking in the
progression.
Organization of Bach's Fugue Subjects," Bach (The Quarterly Journal of the
Riemenschneider Bach Institute) 7 (1976), 7-16.
Since Example 14 deals only with the underlying pattern
20Robert Gauldin has also noted these common forms in A Practical of answers, it should not be considered an infallible guid
Approach to Eighteenth-Century Counterpoint (Englewood Cliffs, N.J.: to correct answer construction. Ornamental notes could re-
Prentice Hall, 1988), 212. The implications of Schenkman's observation that
quire either tonal or real response, depending on their fu
Bach's preludes often make use of similar linear progressions for Bach's
tional role in the subject. But in any case the consideratio
compositional practice are explored in William Renwick, "Voice-Leading
Patterns in the Fugal Expositions of J. S. Bach's Well-Tempered Clavier"
remain those of function. Other factors may come into p
(Ph.D. dissertation, City University of New York, 1987), 300-346. See, for
example: WTC 1, preludes in D, d, el, E, e, F#, ft, g, Al, g#, A, and B; 211t will be noted that virtually all structural principles associated w
WTC 2, preludes in c. D, d, Eh, d", E, e, F}, f#, and g. fugal exposition are equally valid in major and minor keys.

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 208 Music Theory Spectrum

Example 14. Subject and answer paradigms and may result in differ
Subject Answer tions in special circumst
Paradigm 1: (T)
underlying linear progre
(a)
(C)3
0 1o" n
?| 0
o

fl(T) EXPOSITION SCHEMES

(b) 0 " 0 0
The problem may now be addressed of wh
[](T)
paradigms can be correlated with exposition
(c) 0 0 11000o
(T) I1 is, whether there is a relationship between th
a given fugue subject and the plan of entrie
fl(R)
Schenker's brief discussion of fugue in Derf
(d) o 10 0 II) 00 0 0 0 o
vides a useful focus for understanding exposit
Paradigm 2: (R) "The fifth relation between the first three en
0 ? llo 01 answer, subject) provided the form with direc
-0-~~( V bility."22 As his accompanying analysis of
Paradigm 3: (T) D-minor fugue illustrates, the first three ent
(
(b) a)
0o a o 0
0 0 0
|1 o
To) ? 00
o 11 I-V-I harmonic basis, which establishes the
undergirds the exposition as a subsection of th
(T) "direction," Schenker evidently means that th
ments give an initial sense of harmonic and
progression away from and back to the tonic;
0 mz
he means that they establish an initial tonic-p
(c) 11
(d)
oo|
oo
o
v 0
II tion that is completed at the end of the third
this view, then, the subject-answer-subject com
Paradigml 4(R) passes a three-element harmonic structure, I-V
in two motions, a departure from and a return
Paradigm 4: (R) Schenker's recognition of the three-stateme
as fundamental is remarkable in light of the pr
0 - 00oM ,-0 0 0V that four-voice fugue is primary. But three-vo
Paradigm 5: (R) three-statement expositions) in fact predomin
the keyboard repertoire, including The Well-T
A U e 0 0 0 10 0 0 0
22Schenker, Free Composition, 143.
Paradigm 6: (T)
23Also, long-range voice-leading goals can be prepared
O ?M ? "II o remainder of the fugue can fulfill.

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 Structural Patterns in Fugue Subjects and Fugal Expositions 209

Table 5. Exposition schemes in three parts (S = subject, A = answer)

vier.24 If we accept Schenker's view, then in fugues with more On the assumption, then, that three-entry expositions are
than three voices the simple subject-answer-subject balance of basic structural importance, the following discussion re-
which he described must of course be altered, expanded, or lates exposition schemes to subject types. While six ordering
replaced. In many four-voice fugues the fourth statement in schemes, shown in Table 5, are possible for the first three
fact marks the beginning of a motion to a new key area, and statements in an exposition, only three of those schemes, 1,
is thus structurally separate from the initial prolongation. In 4, and 6, occur frequently in WTC. Scheme 2 occurs once
five-voice fugues the fourth and fifth statements often pro- only-in the WTC 2 C#-minor fugue-and schemes 3 and 5
vide for a second I-V-I motion. So-called "redundant" not at all. These facts can be explained simply by recourse
statements-additional occurrences of the subject or answer to two conditions: (1) that successive entries should occur in
beyond the basic number of one for each voice-can add stillprogressively higher and/or lower voices, where they will
further complexity. The nature of these alterations or ex- contribute to a gradual expansion of range (schemes 1, 3, 4,
pansions to the voice leading is dependent on the details of and 6); and (2) that the two highest voices should enter in
direct succession, in alternation of subject and answer
each individual case. (It should be understood that Schen-
ker's description is not appropriate for expositions based on(schemes 1, 2, 4, 6). The second condition ensures that the
modulating subjects, since they are normally arranged suchtwo upper parts will be closely spaced, approximately a half-
that subject-answer pairs express the I-V-I harmonic pat- octave apart. The requirement that both conditions be met
tern. In essence, they yield a different alignment between yields schemes 1, 4, and 6, and eliminates 2, 3, and 5.
thematic and harmonic elements.) Table 6 shows the frequency of occurrence of each ex-
position scheme with the six subject paradigms in WTC.
Although the sample is small, certain trends are nevertheless
24It is the polyphonic tradition of four singing parts in four distinct ranges,
apparent. Setting aside exposition scheme 2 as an exception,
along with the technique of four-part writing, rather than any true contra-
puntal necessity, that accounts for the venerable tradition of the four-partparadigm 1 occurs frequently in all three other schemes.
fugue. Paradigms 2 and 3 occur only with schemes 1 and 4; paradigm

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210 Music Theory Spectrum

Table 6. Subject paradigms and exposition schemes (three parts only;

H = high, M = middle, L = low)

Exposition scheme and number

Subject paradigm of occurrences in WTC I and 2
1: M-H-L 2: L-H-M 4: H-M-L 6: L-M-H

AAA
1: 5-4-3 10 - 6 6
A A A
2: 1-2-3 3 1 3-
A A A A A
3: 5-4-3-2-1 5 - 1 -
AAA
4: 3-2-1 - - - 3
AAAAA
5: 1-2-3-4-5 - - 2 -
A A A A
6: 5-6-7-8 - - -

totals 18 1 12 10

4 only with EXPOSITION PATTERNS

scheme 6, in the WTC 1
fugues and the WTC 2 E-major fug
only in scheme 4. In order to understand
Since subject the complex forces whi
parad
in WTC, no for these correlations, generaliza
meaningful it is necessary to identify
(Concerning the of resemblance
eight among fugues that not
subjects are based on
acs
five are ject types and
modulating identical exposition schemes.
subjects, one As a (
s
neighbor-motion subject, for a full presentation of these points,
and one which
(Wwou
use of an unusual stretto-inversion lengthy, the following examples illustrate the va
e
A reasonable conclusion to draw is that there is indeed cepts involved.
a correlation between subject structure and exposition Simple voice-leading models, conveniently ca
scheme, and that this correlation, whether or not Bach was sition patterns, which represent the essential har
conscious of it, is of great importance to the coherence of contrapuntal processes of actual compositions,
the music. ated for each intersection of subject paradigm and

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 Structural Patterns in Fugue Subjects and Fugal Expositions 211

scheme. Example 15a shows exposition pattern 1, the model first part functions as bass and inner voices until the t
for paradigm 1 and Scheme 1, the S-4-3 subject type with statement.

a "middle-high-low" imitative scheme, as indicated by the
brackets. Pattern 2 (Ex. 15b), a closely related model, rep-
resents the structural modifications which the upper neighbor
of subject paradigm lb implies.
In Example 15a, the first statement of the subject is rep-
resented by the 5-4-3 linear progression and by the implied
voices 3-2-1 and 8-7-8 (shown in parentheses), giving three
separate voices. (It will be recalled that such subjects often
make use of the procedures outlined above-initial tonic,
initial arpeggiation, initial ascent, and final descent-to ex-
press these implied voices.) Transformation of paradigm 1
into an answer gives an incomplete neighbor motion 8-8-
1, a tonal answer, where the initial structural note is part of
a tonic prolongation and the final note marks a temporary
motion to V. The answer, operating in a larger context as
the beginning of an upper-voice neighbor motion, 8-7-8, is
not a full statement in the dominant key, as is frequently
misconstrued, but a motion to V within a tonic- prolonging
exposition.25 As noted previously, when the upper neighbor
? occurs in the subject, it expresses 3 of the tonic in the
answer, and provides the basis for a true linear progression
within the answer (see Ex. 15b). Among the 22 subjects in
The Well-Tempered Clavier based on paradigm 1, those of
the WTC 2 C-minor and CO-major fugues are the only ones
without an upper neighbor. Each of the three voices begun
by the subject is implied or stated in the counterpoint to the
answer. The co-termini of the linear progression, 5 and 3,
continue as 04-5 and 3-2, shown as alto and tenor respec-
tively in Example 15a, while the bass continues as 8-6-5.
The answer implies only a single voice, while the continuing
25This point is clarified in Schenker, "The Organic Aspect of the Fugue,"
259 and 264.
As the tonal functions of structural notes of the subject
change in the answer, so they may also change in the third
statement. In Example 15a, the initial 5 of the third state-
ment acts locally as a tonic, and in a larger context as a
dominant in the overall I-V-I harmonic plan. In the third
statement, 5-4-3 fills a linear span over the V-I progression,
whereas in the first statement S-4-3 expands a tonic pro-
longation. In harmonizing the third statement, the first part
(now in the middle) continues with 5 as a common tone, and
also uses 2-1, the continuation of 3-2. The second part (the
highest), which begins 8-7, continues with 7-8, completing
a large neighbor motion. Whereas the first statement sug-
gests three voices and a single harmony, the answer itself
implies only a single voice, 8 moving to 7, but two harmonies.
The third entry implies two voices, 5-4-3, and the inferred
root motion 5-(i), not three voices as in the first statement.
Thus the tripartite texture that these models represent is
based on a four- or five-part polyphony of strict voice
leading.
Example 16, showing the main structural elements of the
WTC 2 C-minor fugue exposition, may usefully be compared
with Example 15a. The subject expresses the initial tonic
chord through a 3-4-3 linear progression. The harmonic
motion of m. 2 leads through an incomplete applied dom-
inant to a resting point on V at the end of the answer. A short
bridge connects the end of the answer to the beginning of
the third statement, and the tonic returns at the end of the
third statement. Completion of the harmonic motion coin-
cides with fulfillment of the imitative plan at m. 5. A sat-
isfying linear descent from gt, the beginning of the fugue, to
eb results in a bass that provides directed motion that spans
the exposition. The end of the third statement is followed
immediately by a motion to c, completing the structural bass

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212 Music Theory Spectrum

Example 15. Expositions patterns

(a) Pattern 1: paradigm la; scheme 1 (b) Pattern 2: paradigm lb; scheme 1
I i

- _- -_
IV I I I I I I I I

4t-1 t3
tji r Kf

I I ---_ IIx
l 1' 41
I (VII I) 4 V 2 16 (V6 - 5 ) ( ) V ( 42 16
3
3

Example 16. Structural analysis, WTC 2 C-minor fugue exposition

I -I I -_ K

( ) () V 7

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 Structural Patterns in Fugue Subjects and Fugal Expositions 213

voice of the exposition. No upper neighbor to S appears in
this subject; instead, an arpeggiation to 3 is elegantly mod-
ified in the tonal answer. The simple 8-1 motion of the
hypothetical answer in Example 14, paradigm la is thus elab-
orated by a neighbor motion to d2, eliminating the direct
repetition of c2.
The fact that this fugue has a regular countersubject pro-
foundly affects the voice leading in this exposition by placing
specific constraints on the implied voice-leading connections
suggested by Example 15a. Descending from d' to g, the
countersubject follows the bass voice of m. 2 of Example 15a,
rather than the alto or tenor, which remain implied only.
Since the countersubject to the answer follows the bass
voice of Example 15a, and since the upper voice must restate
the countersubject at the third entry, a deviation from the
hypothetical pattern occurs. The upper voice is not free to
express the suggested voice leading, but must instead obey
the restrictions of the imitation. It thus uses notes of the inner
voices of Example 15a, notes which are properly continu-
ations of the first part (the middle voice), not the second.
Consequently the first part uses the contrapuntal voice which
is properly that of the second-that is, -8. The lower level
of Example 16 shows the voice-leading background in which
the exchange of upper voices is omitted, while the upper
level shows how the theoretical voices are inverted in the two
upper parts, resulting in a downward registral shift at m. 4.
(In other cases, such as the WTC 1 F-major fugue, the coun-
tersubject follows the alto voice of Example 15, allowing its
transposition at the third statement to follow the hypothet-
ical upper voice: 04-5 becomes 7-8.) The structural role of
the bridge can now be understood: It effects the change of
register, connecting the end of the answer to the beginning
of the countersubject, while at the same time converting the
dominant from minor to major. The opening register of the
upper voice is restored at the end of the exposition by the
upward octave transfer in m. 5. Thus it is fundamentally the
countersubject that causes structural modifications to the
voice leading, in terms of the theoretical pattern, and ne-
cessitates the bridge.
The WTC 2 C-major fugue illustrates exposition pattern
2 with subject paradigm lb (compare Exx. 15b and 17). The
neighbor motion gl-al of the subject is expressed in the
answer as a leap from the initial c2 to e2, and the answer
continues with a 3-2-1 third-progression which returns to c2
(m. 7) before proceeding to bl (m. 9). The upper-voice
neighbor motion 8-1-8 is completed by c2 at the conclusion
of the exposition (m. 13). The counterpoint to the answer
begins with the implied tenor voice, 3-2. It then passes to
the bass note a in descending stepwise motion (8-?-6), after
which it leaps to the alto voice #4-_ (ft1 and g1), leading to
the cadence. All three counterpoint voices of pattern 2 (Ex.
15b) are thus partially present in their proper registers. The
entry of the third part completes the bass motion to g begun
by the counterpoint, and, in similar fashion to the WTC 2
C-minor fugue, continues the descent initiated by the first
statement of the subject. Incidentally, the third statement
contains an unusual example of motive overstepping the
bounds of strict contrapuntal-harmonic practice: although
the c in the lower part at m. 9 is unalterable as part of the
subject, it clashes with the prolonged V. But through the
changing-note figure in the upper part, Bach gives the struc-
tural dissonance a consonant guise on the surface. In mm.
10-13 the upper parts are unrestricted, since there is no
countersubject. The soprano line prolongs bl through a
double-neighbor motion which provides local consonant sup-
port for the bass f, which at a deeper level is a passing seventh
of V. The middle part, a continuation of the first statement,
moves stepwise from the hypothetical alto to the tenor voice
(mm. 9-11), cadencing with the active tenor voice notes
2-i rather than the static common tone of the alto. The

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214 Music Theory Spectrum

whole of the exposition is controlled, while working within
the framework of pattern 2, by a series of descending tenths,
shown in Example 17. At m. 11 the tenths above the bass
switch from the upper to the middle part and continue to the
cadence, at which point the bass regains its main linear pro-
gression f-e, yielding parallel sixths with the middle part.
The single directional force of this stepwise descent unifies
the two complementary harmonic motions of the exposition.
The two examples shown here are among the least am-
biguous manifestations of hypothetical exposition patterns in
WTC. Each follows very strictly the voice leadings set up
through the original subject paradigm and exposition
If exposition patterns such as these are taken as structural
bases for fugal exposition, departures from them in indi-
vidual expositions can be largely understood as resulting
from two important considerations: (1) idiosyncratic features
of specific fugue subjects can dictate special structural mod-
ifications that respond to these features; and (2) special con-
trapuntal procedures, such as the use of countersubjects or
inversions, can generate modified exposition patterns that
respond to the imitative requirements.
For example, the fact that in the WTC 1 C-minor subject
the initial tonic is above the main linear progression deter-
mines the order of entries as M-H-L in order to avoid

scheme, with modifications as necessitated by surface char- crossed parts at the beginning of the answer. In conse
acteristics of the subject or by the specific contrapuntal re- the answer responds to the initial tonic with g2 whic
quirements of a countersubject. Similar cases can be made given a voice-leading context as the initiator of an
for many other exposition structures. voice fifth-progression spanning the exposition and

Example 17. Structural analysis, WTC 2 C-major fugue exposition

() 6 ( ) 4 v 2 6

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 Structural Patterns in Fugue Subjects and Fugal Expositions 215

seding the hypothetical 8-7-8 neighbor motion of exposition
pattern 2.26 Again, the two-voice polyphony of the WTC 1
CO-major subject dictates the descending order of subject
statements in the exposition. Since the main structural voice
in the subject uses the lower notes, the descending order of
made possible by the fact that the WTC 1 subject has a laten
potential to be understood as paradigm 1, and by the fa
that the third entry in this fugue is an answer, not a subjec
allowing the final entry to perform the concluding functi
of the return to I. No doubt the internal structures of the

entries allows this main progression to appear continuously episodes differ, since each is based on a different workin
in the lowest sounding part, exerting a structural influence of the initial subject matter. The first is in stretto, the se
over the entire exposition as a descending conjunct motion. in canon, yet they both expand I in a rising fashion and
The WTC 2 B-major subject works the opposite way. The to cadences in the dominant which are based on identical

presence of the 5-6-7-8 linear progression in the uppermost voice leading in identical registers.27 One is tempted to
notes of the subject suggests the rising order of entries and ulate that as Bach began composing the C-major fugu
yields the ascending arpeggiation as a primary structural el- WTC 2 he turned to the opening of WTC 1 for inspirati
ement (refer to Ex. 6b). Even the most abstruse and con- The problem of dealing with the sheer number and co
voluted expositions will often be found to bear some direct plexity of possible relationships among events in music,
relation to basic exposition patterns, albeit through a greater well as a natural tendency to highlight the unique qualit
number and complexity of structural levels and transforma- of individual compositions rather than the similarities,
tions. It is consistent to view all these cases as variants and explain why only a small amount of work has been done
more sophisticated expressions of elementary exposition pat- systematic approaches to patterning in tonal music. Rob
terns which represent the purely voice-leading aspect of the Gjerdingen's recent book A Classic Turn of Phrase, h
design, and which provide a means for understanding struc-ever, shows the potential for archetypal patterning in sty
tural similarities in expositions that in other respects seem and historical studies. Gjerdingen explores the i-
quite different. 4-3 form of Leonard Meyer's changing-note melodic sch
The value of such voice-leading constructs in comparing in great detail and develops a stylistic-historical perspec
exposition structures is illustrated by Example 18, which for this particular schema in the literature of Western m
aligns the expositions and succeeding episodes of the first showing that it gained wide appeal at a rapid rate, clima
fugue in each book of WTC. The composite structural in the 1770s, and thereafter underwent a slow decline ex-
analysis given below shows how the voice-leading back-tending to the end of the late Romantic era. Gjerdingen
grounds of the two are nearly identical. This is all the more
remarkable given that in one fugue can be found paradigm 27Johann Nepomuk David, Das wohltemperierte Clavier, Versuch einer
2 in four parts and, in the other, paradigm 1 in three parts. Synopsis (G6ttingen: Vandenhoeck and Ruprecht, 1962), 17, notes some
The most crucial structural notes occur in equivalent places aspects of similarity between these two fugues, such as the identical range
of subjects and the identical A-F# interval in the counterpoint to the answer.
and registers in both expositions, and a great many surface
He compares the structure of the subject and counterpoint of the two fugues,
details are similar or identical as well. These relationships are
and also draws attention to the similarity in the cadences to the dominant,
but he does not discuss the deeper relationship which is based on similarity
26Ibid., 246-298. of voice-leading structure.

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216 Music Theory Spectrum

Example 18. Comparison of voice-leading structures of WTC 1 C-major fugue, mm. 1-10, and WTC 2 C-major
fugue, mm. 1-22 (Parenthetical notes occur in only one of the two fugues or are implied by the given structure)

i3e"): c r I~~ ~~~~ ~~~ I I I- I

I I~

{g): r rr

It: 'P Tr~~~~~~~ ~ I *1r

,i~~~~~~~~~~~~~~~~~~~*

r-

r ~~r

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 Structural Patterns in Fugue Subjects and Fugal Expositions 217

Example 18 continued

f * 7 1 f r: 1: r J-,-'#i;
7- ? f r f t! rr p -c ML

Il?*r
P
rJ- r ?-
-Lir
^- -LJ-F
-- ^

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218 Music Theory Spectrum

recognizes, however, that the schema, the history of which
he traces, is perceived through associations between high-
lighted melodic notes, and is not necessarily a basis for, or
even an expression of a level in, a hierarchical tonal struc-
ture.28 In contrast, by considering subject paradigms and
their implications within the context of structural levels, the
present study views melodic patterns not so much in terms
of style as in terms of the grammar of voice leading and
harmony.
Further study of patterning, both stylistic and structural,
affords hope that in time a rapprochement may be achieved
between the perspectives that Schenker and Meyer repre-
sent. Indeed, their respective theories may eventually come
to be understood as components of a single theory of tonal
music which elucidates the complexities of structure and style
equally and simultaneously.
ABSTRACT

Heinrich Schenker's analytical observations concerning

28Robert Gjerdingen, A Classic Turn of Phrase: Music and the Psychol- vide a springboard for a systematic theory of subject p
ogy of Convention (Philadelphia: University of Pennsylvania Press, 1988). based on linear progressions and elaborations. The sub
Leonard Meyer's changing-note schema is treated in his Explaining Music digms, in correlation with exposition schemes, yield recur
(Chicago: University of Chicago Press, 1973), 191-196. terns of voice leading that govern the structure of fugue e

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