The Logic of Tonality in Strauss's "Don Quixote": A Schoenbergian Evaluation

Author(s): Graham H. Phipps

Source: 19th-Century Music, Vol. 9, No. 3, Special Strauss--Mahler Issue (Spring, 1986), pp.
189-205
Published by: University of California Press
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The Logic of Tonality in Strauss's
A Schoenbergian Evaluation
GRAHAM H. PHIPPS
Fora composer who is so well representedin the
concert halls and operahouses of the world, and
whose career is so thoroughly documented in
biographiesand special studies, RichardStrauss
has suffered unaccountable neglect in the ana-
lytical literature. One finds only brief com-
ments in analytical books by Felix Salzer, Wal-
lace Berry, Horace Reisberg, Ernst Kurth,
Heinrich Schenker, and Arnold Schoenberg.'
19th-CenturyMusic IX/3 (Spring1986).? by the Regentsof
the University of California.
'Felix Salzer, StructuralHearing (New York, 1952), I, 189,
writes about "the brilliant and subtle techniques of prolon-
gation found in the music of RichardStrauss,"with refer-
ence to two very brief excerpts from Ariadne auf Naxos.
Wallace Berry,Structural Functions in Music (Englewood
Cliffs, N. J., 1976), p. 420, cites the opening gesture from
Don Juanas "a low-level anacrustic complex with distinct
lower level metric structure."HoraceReisberg,"The Verti-
cal Dimension in Twentieth-Century Music," in Richard
De Lone,et al., Aspects of Twentieth-CenturyMusic (Engle-
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Don Quixote:
Even special studies of Strauss's music contain
little elucidation of his harmonic language.In a
lengthy discussion of Don Juan, Ein Heldenle-
ben, and Eine Alpensinphonie, EdwardMurphy
merely lists the different categories of chords,
tabulating frequencies of usage and of various
modulations.2 Richard E. Thurston, Reinhard
wood Cliffs, N. J., 1975),p. 333, cites an example of "plan-
ing" with parallel Frenchaugmented-sixth sonorities from
Elektra. Ernst Kurth, Romantische Harmonik und ihre
Krisein Wagner's"Tristan"(1923; rpt. Hildesheim, 1968),
illustrates several unusual chordalsuccessions in Strauss's
operas. Heinrich Schenker, Harmonielehre (1906; rpt. Vi-
enna, 1978),pp. 299-300, describesthe harmonyin mm. 4-
12 of Don Quixote. Arnold Schoenberg, Structural Func-
tions of Harmony, ed. LeonardStein (New York, 1954), p.
77, illustrates a harmonyfrom Salome which is difficult to
explain from its appearance,but which can be clarified
when one considers one of the pitches a "mere passing
tone."
2EdwardW. Murphy, Harmony and Tonality in the Large
Orchestral Worksof Richard Strauss (Ph.D. diss., Indiana
University, 1964).
189
 19TH
CENTURY Gerlach, Roland Tenschert, and Norman Del
MUSIC Mar refer to "harmonic side-slips," but make no
attempt to explain them in terms of functional
harmony.3 Norman Dinerstein describes a rein-
terpretation technique whereby some passages
in Salome and Elektra may be understood in
two keys at once.4
Most of these writers acknowledge (at least
tacitly) Strauss as a master of late nineteenth-
century chromatic harmony. Not so Schenker,
who levels this strong but suggestive attack at
the opening of Don Quixote:
The antecedent phrase (Vordersatz)construction in
mm. 4-12 of Don Quixote, op. 35, by Richard
Strauss [see my ex. 4] seems to me to be unnatural
and thereforeinadmissible. At the least, I feel defini-
tely that the composer wanted to circumvent normal
development of the dominant (A major),merely be-
cause it is normal. But nowadays it is a "modern"
thing [to do]not to respect natureandnormalcy,at all
events in situations where it would be proper.Does
the composer perhapsbelieve that since the birth of
his opus nature will claim to educate and accustom
its fundamentals to alternative dominants (in this in-
stance Ab instead of A)?Do not misunderstandme; I
have no objection to the antecedent digressionto Ab.
Rather,however, I object to the fact that this digres-
sion is not artistically composed, but, on the con-
trary,with disregardfor nature, appearsplaced with-
out properlinear working-out (unmotiviert)purelyat
the whim of a man who does not know what he
wants, what is appropriate.5
Is this passage really symptomatic of a com-
poser who doesn't know what he wants or what
is appropriate? Is Strauss actually avoiding the
normal dominant function? Does he lack the
technique necessary for the proper linear work-
3RichardE. Thurston, Musical Representationin the Sym-
phonic Poems of RichardStrauss (Ph.D.diss., University of
Texas at Austin, 1971); ReinhardGerlach, Don Juan und
Rosenkavalier:Studien zu Idee und Gestalt einer tonalen
Evolution im Werk Richard Strauss (Bern, 1966); Roland
Tenschert, 3x 7 Variationen fiber das Thema, Richard
Strauss (Vienna, 1944);Norman Del Mar,RichardStrauss:
A Critical Commentaryon His Life and Works(New York,
1962),I, 54; Willi Schuh, "RichardStrauss,"in Die Musikin
Geschichte und Gegenwart,uses the term Riickungstech-
nik to describethis harmonicprocedure.
4Norman M. Dinerstein, Polychordialty in Salome and
Elektra: A Study of the Application of Reinterpretation
Technique (Ph.D.diss., PrincetonUniversity, 1974).
5Schenker,Harmonielehre,pp. 299-300. This passagewas
deleted in the subsequent editions of the book and does not
appearin the Jonastranslation.The translationis mine.
190
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ing-out of musical materials? Contrary to these
assertions by Schenker, I submit that Strauss's
tonal language is entirely consistent with late
nineteenth-century harmonic practice--a prac-
tice Schenker's restrictive conception of musi-
cal structure does not permit him to compre-
hend.
In contrast, Schoenberg's Grundgestalt con-
cept assumes that the intrinsic properties of the
given musical composition are the basis of its
organization. Whereas Schenker considers sur-
face phenomena acceptable only when they can
be explained as derived from the laws of nature
as he perceives them, Schoenberg seeks no ex-
ternal basis for explaining the logic of musical
structure. Rather, he says, "Since we do defini-
tely know the phenomena [as facts] we might be
more justified in giving the name 'science' to
our direct knowledge of the phenomena rather
than to those conjectures that are intended to
explain them. "6 Such a statement suggests that
the only necessary condition is to understand
the contextual temporal significance of each of
the phenomena. Thus one must comprehend
how a given element of the musical language is
part of the whole language at the time of the
composition.
Schoenberg provides a framework for per-
ceiving the harmonic logic of the surface phe-
nomena; this framework-which is derived
from that of the nineteenth-century Viennese
theorist Simon Sechter and updated to account
for fin-de-sikcle harmonic practice7-may be
summarized by the following three points.
First, chord successions may be reduced to
three types: strong, downward root movements
by fifth or third in which the more fundamental
notes of the first chord are subordinated to be-
come lesser members of the second chord;
weak, upward root movements by fifth or third
in which the subordinate notes of the first chord
become more fundamental notes of the second
chord; and super-strong, ascending or descend-
ing stepwise root movements, which may be
6Amold Schoenberg, Theory of Harmony, trans. Roy E.
Carter(Berkeleyand Los Angeles, 1978),p. 8.
7Foran application of this framework in Chopin's music,
see my article, "AResponseto Schenker'sAnalysis of Chop-
in's Etude, opus 10, no. 12, Using Schoenberg'sGrundges-
talt Concept,"Musical Quarterly69 (1983),542-69.

a. b.
~ 0'' "
Example 1
Schoenberg'sex. 74 from Theoryof Harmony, illus-
tratinga downwardstepprogression as a sumof two
downwardfifths,"wherethe I (six-fourchord)and
V, ordinarilycomingbetweenthis dominant(V/V)
andthe closingchordareoftenleft out."
understood as sums of two strong progres-
sions-either downward third and downward
fifth, comprising the ascending stepwise pro-
gressions, or two downward fifths, comprising
the descending stepwise progression(see ex. 1).8
Second, chromaticism occurs only in thirds,
fifths, sevenths, and conceivably ninths of
chords, but never in fundamentals. As a corol-
lary to this point, Schoenberg recognizes-as
did Kirnberger,Schulz, Sechter, and Mayrberger
before him-that fundamentals need not be ac-
tually present (see ex. 2 for illustration of the di-
minished-seventh and augmented-sixth chords,
in which the "real"root is understood although
it is not actually present).9As explained by all of
these theorists, however, a diatonic fundamen-
tal note is represented by every chordal forma-
tion.
The third aspect of Schoenberg's concept of
surface harmonic logic is that of tritone equiva-
lency. As early as 1783, theorists discussed this
point in regard to the double meaning of the
'Schoenberg,Theoryof Harmony, pp. 118 and 123.
9JohannPhilipp Kimberger, "The True Principles for the
Practice of Harmony,"Journalof Music Theory 23 (1979),
188, trans.David W. Beach and JurgenThym. (As explained
by Beach and Thym, p. 164, Kimbergeractually lent his
name to the treatise written by his student Schultz.) Simon
Sechter, Die Grundsiatzeder musikalischen Komposition
(Leipzig,1853-54), I, 87, 146-52, and 210-12; KarlMayr-
berger, Die Harmonik Richard Wagners an den Leit-
motiven aus "Tristan und Isolde" (Chemnitz, 1882). See
also FriedrichEckstein, Erinnerungenan Anton Bruckner
(Vienna, 1923), p. 33. This explanation is used for both di-
minished-seventh and augmented-sixth chords in Walter
Piston, Harmony, 4th edn., rev. Mark DeVoto (New York,
1978),p. 310.
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a. b. GRAHAMH.
PHIPPS
Tonality in
Don Quixote
.7 5
.6" 64
7 9 6
S7 4
F.B.
Example2
a. Kirnberger'sillustrationof the diminished-
seventhchordas anincompletedominantninth
chordwith the rootmissing.
b. Kimberger's demonstration takenfromhis
narrativeof the so-called"Germanaugmented-
sixthchord"as anincompleteninthchordwith
the rootmissing.
augmented sixth and dominant seventh-two
interpretations of the same sonority with their
fundamental notes a tritone apart.' Numerous
examples of this tritone duplicity abound in
music literature of the late eighteenth and nine-
teenth centuries; and the implementation of
this phenomenon as a structural element in
musical language is progressively more com-
mon toward the end of the nineteenth century
and in the early twentieth century."
On the basis of Schoenberg's framework of
surface logic described above, I shall apply his
Grundgestalt concept as a method for observing
the organization of Strauss's tone poem, Don
Quixote (1897). Regardingthe phenomena and
not merely "those conjectures that are intended
to explain them," I shall begin by identifying a
basic shape that predicts the course of subse-
quent events in the work. Schoenberg's corol-
lary concept of developing variation will then
be applied to the remainder of the composition
to show the manner in which Strauss realizes
the potential of this basic shape.
'OKimberger, "TruePrinciples,"p. 188.
"For a detailed discussion of this phenomenon, see my ar-
ticle, "The Tritone as an Equivalency:A Contextual Per-
spective for ApproachingSchoenberg'sMusic," Journalof
Musicology, 4 (1985),51- 69.
191
 19TH
CENTURY
MUSIC
)A7.
Fl.- g e s t u r e n o
Str.
Hn----H
Bsn.H.
Example3: RichardStrauss,Don Quixote, mm. 1-4, the Grundgestaltphrase.
Don Quixote is an extended work of 758
measures, lasting approximatelyforty-fivemin-
utes in performance.A detailed analysis of the
entire tone poem would exceed by farthe practi-
cal limits of an article-length study. Therefore,I
will discuss in detail only the introduction and
double theme that comprise the first 160 mea-
sures. This discussion will be followed by a brief
overview of the total composition.
The first eighteen measures of the introduc-
tion form a clearly articulated section in the
tonic key, D major, and may be considered a
first key area. The eighteen-measure section
has three distinct subdivisions. The first of
them stands by itself as an independent period.
This single-phrase period contains three musi-
cal gestures that, I believe, are predictive of the
formal structure of the entire composition. Ac-
cordingly, I shall regard this phrase as the
Grundgestalt--the basic shape which predicts
the subsequent events and hence the structure
of the composition.
The three musical gestures (see ex. 3) are as
follows. (1)Melodic motion connects A to B (5 to
6)-a gesture common enough in the literature
of late nineteenth-century music at both me-
lodic and harmonic levels. From this gesture
one might expect as derivatives harmonic
movements from V to vi and from V to 6VI(from
the parallel minor mode). (2)Tonic stress on the
pitch F#occurs first as the immediate goal of the
192
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gesture no. 2
gesture
no. 2 > poco rit.
3
s >
--
3.-•f
.
61 -"
dim
*a
gesture
P -- no.3
pStr Bsn.
dim.
3
anacrusisin m. 2, which parallels that of the ini-
tial measure of the phrase. (3) The immediate
goal of the ascending clarinet scale passage at
the end of m. 1 is the pitch G; the rhythmic ar-
ticulation on the second beat of m. 2 adds em-
phasis to this pitch as a bass note. In both in-
stances, the G is harmonized by an E-minor
chord. Thus this third gesture stresses both the
subdominant pitch and the supertonic har-
mony. With these three musical gestures, the
Grundgestalt may be said to stress submediant,
mediant, subdominant, and supertonic func-
tions as potential determinants of the formalar-
chitecture of the tone poem.
The second subsection of the first key area,
mm. 4-12 (see ex. 4), consists of a pair of four-
measure phrases in parallel construction con-
stituting a period.This passage, Schenker's Vor-
dersatz,'2 involves a modulation to the tritone
and back. Why does Schenker object so vehe-
mently to this period?The part-writingis surely
smooth enough. When he describes the passage
as unmotiviert, it seems the criticism is di-
rected not toward the surface-level connec-
tions, but rather to the abrupt harmonic shifts
in mm. 6-7 (fromGS to Ab6, thereby setting up
'2Seefn. 5 above. The usual translation of this term, "ante-
cedent phrase," must be used with caution here, since
Schenker apparentlyuses the term Vordersatzto describe
an eight-measure period consisting of two four-measure
phrases.
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 P4 P4
Grazioso
TIM ?itute
I
V 2A
n.
(D
Ab
Ab
Example 4: Don Quixote, mm. 4-12 (Schenker'sVordersatz).
Harmoniesareindicatedbeloweachmeasure;prominentF#'s arecircled.
the cadence in A6 major in m. 8), and in mm.
10-11 (fromB1 minor to G6/F# major to A, set-
ting up the return to D majorwith its cadence in
m. 12). Schenker reveals his lack of understand-
ing of Strauss's tonal language by the assertion
that the A6 in m. 7 appearsto be an ersatz domi-
nant. In reality, the Ab here is a tritone tonic
substitute for D-a harmonic substitution al-
readyprominent in music of the period.13When
one recognizes that the 6 harmony is part of a
dominant function, a concept well established
in eighteenth- and nineteenth-century music
and reaffirmed by theorists from Koch to
Schoenberg,14then the G6 to A ~6may be ex-
plained simply as a dominant-substitute har-
mony in the major mode of G moving to its flat
submediant region El, which in turn is reinter-
pretedas the dominant of A6 major.In this man-
ner, the first phrase of the period realizes in a
harmonic sense gesture no. 1 of the Grundges-
talt-i.e., 5-6 linear movement.
Also of significance are the prominent F#s in
'3A similar example is found Strauss's Ruhe meine Seele;
see my article, "Tonality in Webern's Cantata I," Music
Analysis 3 (1984), 126-27, for an explanation.
14H.C. Koch, Handbuch bey dem Studium der Harmonie
(Leipzig, 1811), p. 71; and Arnold Schoenberg, Theory of
Harmony,pp. 75- 76.
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A4 GRAHAMH.
PHIPPS
Tonality in
Don Quixote
if R, btiru!&
dim
Va tempo
4 4
substitute)(6 substitute
D
or 4 b
E '
ob G '/A I Pedal
the imitative second violin and viola lines as
shown in ex. 4; they reinforce gesture no. 2 of
the Grundgestalt. Gesture no. 3 is realized
where the D harmony moves to G6, therebysug-
gesting V/IV, or a possible modulation to the
subdominant. (This modulation is, of course,
thwarted by the half-step shift to A66.) Tritone
significance is alreadysuggested in the melodic
pattern of the second violin, where the major-
third interval of m. 4 is expanded to a perfect
fourth in m. 5, and to an augmented fourth in m.
6 (also shown in ex. 4). The absolute pitches of
this melodic tritone, G and C#, will play a signi-
ficant role later on in the composition. At this
point, they simply act in a melodic way to sug-
gest the "normalcy" of tritone movement,
something which is then translated into har-
monic connection through the modulation
from D to Ab.
The consequent phrase of this period could
accomplish the requiredmodulation back to D
majoreasily enough by means of an exact trans-
position of the antecedent phrase. Strauss
makes a significant alteration here, however.
Example 5 shows two alternative solutions:
first, the possible literal transposition of the an-
tecedent phrase;and second, Strauss'ssolution.
The adjustments all occur in m. 10; the melodic
line is altered so that the tonic accent of the
193
 19TH A4 tonic accent
CENTURY
MUSIC
cresc.
tonic accent
bb/Ab pedal
Tritone[ Gb/Ab pedal
Tritne[(E)--gg-bb-db-ftl
] (E)-g#-bb-db-fI
Example5: Don Quixote.
a. A possibleliteraltranspositionof mm.6-8, with augmentedfourthDb-G andtonicaccenton FP.
b. Strauss'ssolution,mm. 10-12, with perfectfourthDb-Gb andtonicaccenton G6(F#).
phraseis not F as might be expected, but GV/F#.
Thus, for the first time in the work, Strausshas
suggested a conflict between FPand F#--a con-
flict that is integral both to the musical and pro-
grammatic content of the entire tone poem.
This conflict represents the struggle between
Don Quixote (the resultant F#) and his squire
Sancho Panza (the expected FP).
The opening section, representingDon Quix-
ote's deteriorating mental condition (as ex-
plained by Strauss in the published piano
score),is focuses on Don Quixote's note F# and
strategically avoids arrivalon FP.The Bb-minor
chord in m. 10 replaces an expected D1 6 chord
(see ex. 5); the following harmony appearsto be
Gb/F#over an Ab pedal tone. Another explana-
tion, however, clarifies the two chords as E
chords with G#, Bb,D1, and F or F#. The princi-
ple of the so-called augmented-sixth chord as
one with majorthird and diminished fifth above
a root that itself might be absent was clearly ar-
ticulated as early as 1783 by J.A. P. Schultz, in a
treatise attributed to and probablyapprovedby
Kirnberger.16 It appears in the nineteenth-cen-
'5Strausscites references to Cervantes's text in the piano
score, but omits most of them in the orchestralscore.
'LSeefn. 9 above.
194
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dim.
D
A7
]
tury theoretical literature of Austria and Ger-
many and in some of the practicalbooks on har-
mony, such as those by Sechter and Richter.'7
These writers recognize chromatic alteration of
only the third and/or fifth above the fundamen-
tal note.
Schoenbergextends this in principle to allow
for chromatic alteration of the seventh as
well.'" The apparentG6 chord over an Ab pedal
in m. 10 may be understood as an E harmony
with chromatic alteration of third, fifth, and
seventh, when one considers the harmony to be
in the region of D major, the key of the forth-
coming cadence. Thus m. 10 not only empha-
'7Simon Sechter, Die Grundsiitze, I, 146-52. Ernst Fried-
rich Richter, Manual of Harmony, trans. Theodore Baker
(New York, 1912), pp. 85-88, in a somewhat contradictory
manner suggests first that the root of the augmentedgandI
chordsis the raisedfourth scale degree;then the authorex-
plains these chords as incomplete II chords with the root
missing.
'8Schoenberg,Theoryof Harmony, p. 256, suggests that the
half-diminished seventh chord may in certain circum-
stances be understood as an enharmonically spelled aug-
mented-sixth chord which has a chromaticallyaltered sev-
enth aboveits "real"root. Examplesof this phenomenonare
found in Wagner's Parsifal, act III, mm. 44-48, and in
Strauss'sTill Eulenspiegel,mm. 345-51 (one measureafter
rehearsal 24). See also my article, "Tonality in Webern's
CantataI,"p. 127, for an applicationof this idea.
sizes the F# from the Grundgestalt, but it also
translates an apparentBb-minor harmony into a
Eharmony-another instance of tritone duplic-
ity. E is, of course, the harmonic aspect of ges-
ture no. 3 of the Grundgestalt. All of the above
interpretation is consistent with the common
chromatic language of late-nineteenth century
music and of harmony pedagogyof the day.
The final event of the first key area is in real-
ity a cadential extension of the second period.
This cadential extension, as shown in ex. 6, in-
volves some apparentlynonfunctional harmon-
ies. Application of the concept of tritone duplic-
ity here, however, clarifies the structure as
shown in the example.
The following section serves as a harmonic
transition from D majorto an abortiveF#arrival
and a subsequent arrivalon FP.Within this sec-
tion (mm. 18-56), two of the most important
thematic ideas of the entire tone poem are intro-
duced. It may seem rather unusual to present
the main thematic materials of a work in a tran-
sitional passage;but because harmonic instabil-
ity is the nature of both of these themes, they GRAHAMH.
PHIPPS
are appropriatelyplaced here. Tonality in
The first of them is Don Quixote's main Don Quixote
theme (ex. 7). His unsettled nature is conveyed
by its immediate motion toward the subdomi-
nant (gesture no. 3 of the Grundgestalt) in m.
20; by its prominent C# prefacing the G-major
arrival,thereby restating the same tritone from
m. 6 that introduced the idea of tritone duplic-
ity into this work; and by the subsequent points
of emphasis on G, A, Bb, and C#, before the de-
scent to F# as the leading tone of G major.
Immediately thereafter, Strauss introduces
Dulcinea's theme (ex. 8). The somewhat sus-
pect character of this lady of Don Quixote's
dreams is depicted by a vacillating harmony be-
ginning in G majoron the flat side of the tonic D
major,and ending in F#minor on the sharpside.
This surprisingmodulation occurs as a result of
another interpretation of the G-C# tritone. In
this instance, m. 29 is approached as G7 har-
mony in the region of G major (V7/IV)and is re-
solved as an incomplete C# chord (with E#,G, B,

ausdrucksr'oll

dim. m( dim.
.p

D E Bb-E A G#7
[(E)-g#-b-d-f# (E)-g#-bb-d-f] D A D
[(D)-ff-ab-c-eb ]

Example6
Clarificationof harmonicfunction in Don Quixote, the cadentialextension, mm. 12-16.

gesture no. 2 gesture no. 3

sehr ruhig tritone

gesture no. 1 3

Example 7: Don Quixote, mm. 18-24.

Don Quixote'smaintheme,prominentpitchescircled.
195

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 19TH
CENTURY ob.
MUSIC
pp
G C D A [a-c-eb-gl
Example8: Don Quixote, mm. 24-32.
Dulcinea'stheme,withharmonicreduction;
prominentpitchescircled.
and D). Another interesting factor that links
this theme with that of Don Quixote is the com-
mon pitch content of the contour (as shown in
exs. 7 and 8).
The resultant arrival on F# would appearto
set up a second key area. At first the trumpets
portray Don Quixote's gallant defense of his
fantasy lady. This is followed by a passage in
which Strausshas combined the two themes in
F# major. In this circumstance one of the
themes must be subservient to the other, since
their modulatory natures are completely differ-
ent-Don Quixote's theme working down by
perfect fifth, Dulcinea's by half-step. Strauss
wrote the following explanation to his friend
FerdinandSchreiberin regardto such examples
of combination counterpoint: "The old contra-
puntal practice of fashioning a melody in such a
way that it will combine with a second one has
not greatly interested me. You can make fugues
all day long like that, but what I really consid-
ered worthwhile was discovering how to com-
pel two mutually antagonistic themes to come
together."'19
As may be seen in this instance at least (ex. 9),
one melody is forced to bow to the dictates of
the other. Don Quixote's theme remains un-
scathed, whereas Dulcinea's theme undergoes
significant chromatic adjustments and is finally
liquidated before reaching any significant point
of arrival. Only in the final trill is any adjust-
19Quoted in Ernst Krause, Richard Strauss: The Man and
His Work(Boston, 1969),p. 154.
196
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A[(a)-c_-eb-g-bb] C F
[(C#)-e#-g?-b-d]
ment made to Don Quixote's theme. According
to the earlier model, the trill should be by half-
step between A# and B; instead, it is modified
here to C-B6. The reason for the change is that
Strauss intends the Bbto serve as V of E6 major
rather than (as A#) the leading tone to B major.
Thus Strauss avoids a cadence on the expected
subdominant region of F# major; and, in any
case, there is no closure in F#, thereby prevent-
ing any interpretation of this passage as an ar-
rival at an apparentsecond key.
Instead, the transition continues with new
melodic material in E6 major, "new protesta-
tions of devotion" from Don Quixote,20with re-
sponses from the lady (see ex. 10). Resolution of
the Bbdominant-seventh chord directly to a B
dominant-seventh chord accomplishes move-
ment to the region of E major/minor.This half-
step motion, reminiscent of the G6 to A66 of
Schenker's Vordersatz, is yet another realiza-
tion of the 5-6 motion of gesture no. 1 from the
Grundgestalt.
Once again Strauss "compels mutually an-
tagonistic themes to come together" in coun-
terpoint, in this instance Don Quixote's main
theme and two of his subsidiary themes-the
Eb-majortheme of m. 45 and the motive from
the beginning of the transition in m. 32. Dulci-
nea's theme is noticeably absent here, in con-
trast to the earlierFO-majorpassage. Once again
Don Quixote's main theme controls the destiny
20Seefn. 15 above; also cited in Del Mar,RichardStrauss,I,
151.
 rhythmic adjustment whole GRAHAMH.
3 step PHIPPS
DULCINEA Tonality in
Don Quixote

•,. tritone "•~V.half,1step3. -. •-

-tii II I 1 N ! 1 6
i I

trtn afs ep
a pe9 9: Don
Example uxtm mm. .339-45.
o Quixote, -5

COSo lVn hatdr l be J

op II I 1
LF1.W I1

.. . ."l~ ~rL~ -1 i '• I3 ' -• [','

responss s7
wholeB eB

m1it diimifir

i_

responses BbX7 B 7 w7

Example 10: Don Quixote, mm. 45-49.

DonQuixoteandhis lady.

of the other materials; the only alteration to the ing books on chivalry.21As with the previous
theme here appearsin the final measure, where phrase, this melody does not modulate, but
the expected modulation to Bb is avoided by ends with an authentic cadence in F. As shown
means of rhythmic alteration of the descending in ex. 12, the melodic aspect of gesture no. 1 of
chromatic line (ex. 11). For the first time in the the Grundgestalt, the linear 6-5, appearsto ar-
composition, Strauss has kept Don Quixote's ticulate the harmonic structure of the passage.
theme in a single tonality. Thus, for instance, Db-C in m. 63 represents&-
Immediately after this cadence in F major, a
new theme appearsin F minor, suggesting Don
Quixote's vivid imagination, stirredup by read- 21Ibid.,I, 152.
197

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 19TH
CENTURY 3
MUSIC Vn.
TI........_. . .. .. ......
O

Don's main thelme

-• ,. .... Vn.,
.......
Fl.
-., ,1
, 1_, 1
rem

Eb theme from m. 45 Cl.

Trb.
... . ......_
mf
Motive from transition, m. 32

rhythmic
alteration

3
3
3---1

diii.

Im 11-- u r"I I F

dio.

Example 11: Don Quixote, mm. 57-63.

Don Quixote'smainthemecombinedwith two of his subsidiarythemes.

5 in the prevailing F minor harmony; the G6-F
immediately following suggests the same func-
tions in Bbminor, the next harmony articulated
in m. 65. The resolution of Bbminor to F minor
later in m. 65 is accompanied by the linear D6 -
C. Accordingly, the Eb-D in m. 67 and again in
m. 68 suggest that the D4 harmony serves as V of
G minor; the E-D at the end of m. 65, however,
suggests that it may be V of G major. Gesture
no. 1 is also present in the harmonic pattern of
this passage in the resolution of the F7chord of
m. 66 to the GV6chord of m. 67. The progression
may be understood as V7/iv to 6 II6in F minor, or
as further emphasis of the region of B6 minor
with its V7resolving to its VI6.
Most interesting, however, is the resolution
of the G6 chord to D4 three times in succession,
accompanied by the linear 6-5 in G minor, G
major, and then G minor again, as described
above. This D4 chord may be understood as an
enharmonically written Al chord with major
third C, diminished fifth Eb6, minor seventh
G6, minor ninth Bb6, and the root missing. This
is, of course, simply the so-called German aug-
mented-sixth chord as explained by the tradi-
tion of eighteenth- and nineteenth-century the-
orists from Kirnbergerto Sechter to Schoenberg
himself.22This harmonic connection is yet an-
other way that Strauss connects Al and D. The
resolution of the Al chordback to Gl represents
an ellipsis of the expected Dl harmony, a com-
mon enough phenomenon in music of the time
(see ex. 13).23
In the manner described above, therefore,
22Kirnberger,"The True Principles," p. 188; Sechter, Die
Grundsaitze,I, 146-52; and Schoenberg, Theory of Har-
mony, pp. 245-56.
23Thisterm is used by Mayrberger,Die Harmonik Richard
Wagners,to drawan analogybetween languageand music.

198

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 GRAHAMH.
f: 5 6 5 bb: 6 5 PHIPPS
Tonality in
Via Don Quixote
A A
appassionato
bb 5 66 f:

Vc. __

f
-
pizz.K_______________________

Cb. (FL ()[Aj

f
F

f: 6 5 g: 6 5 G: 65

bo (A
6-bi , ,iD
-[gstrenoU]-_ G_6

--6 5 JLJ
f:I 2

f6

.1 A JMr r I V•. '-

bb6
(F) F (G)4F7-[gesture no. 1]- Gb6
b?1 [A~-gs-bb i
r[A b- ]

g: 6 5 F: 6 5 >

g65

, ~
?~ •I, .. . . . . . . . . . . . . . - .•• , .. •
-. --
,•. •.

G 6 (Ab)-D (G) (C) C7 F

Example 12: Don Quixote, mm. 63-71.

Tritone equivalencies and linear 8-5.
199

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 19TH
CENTURY
Vollstiindig:
MUSIC
Q 9
Example 13
Sechter'sexampleof root movementdown by step
with silent interdominant(describedby Mayrberger
andlaterby Schoenberg as ellipsis).
Strausssuggests an Abharmony by means of the
chord succession and a D harmony by means of
the linear 6-5; the latter associates the chord
with dominant function, first of G minor and
then G major. The conflict resulting from this
tritone duplicity is not resolved until the third
appearanceof the D4 chordin m. 68, where it re-
solves both melodically and harmonically to G
and thence back to subfunctions of F minor.
As suggested above, mm. 1-71 of Don Quix-
ote may be considered the exposition of a so-
nata-principle movement, with the first key
area in D major (mm. 1-18); transition with
modulation to G major,Fi minor/major,Ebma-
jor, and E major (mm. 18-56, with hints of ar-
rival in F# but no closure in that key); and sec-
ond key areain F major (mm. 56-71).
Unvollstlindig: Measure 71 functions as the beginning of a
development section. Figure 1 shows the ar-
rangement of motivic ideas in this section and
their respective tonal levels. Because of the im-
mediate motion to the subdominant level in the
third measure of Don Quixote's main theme,
Straussis able to move by a spiral of descending
fifths at either the two-measure or eight-mea-
sure interval; movement by descending major
third (orto the bVIlevel-another aspect of ges-
ture no. 1) is made possible by introducing new
materials in the fifth measure of the theme,
where that pitch is emphasized (see ex. 7). As
shown in fig. 1, the harmonic spiral of fifths
continues to D6 (the tritone equivalent of G and
yet another instance of the absolute G-C# tri-
tone, appearing now at a higher architectural
level). This Db arrivalin m. 99 appearsto be the
point of furthest removal in the development,
which may thus be seen as a very large-scale
movement from D to the subdominant substi-
tute Db. At this tonal level, the head of Don
Quixote's theme places emphasis on the pitch
F?(ex. 14),which is harmonized with a B dimin-
ished chord. At the same time the head motive
of Don Quixote's theme appears in the trum-
pets in augmentation in the key of D minor. In
that key, the corresponding final note of the
head of the motive is also F?.Hence this passage
establishes a gesture of conflict between the

Fl., Ob., E.h., Vn.

Db entry
Tpt.,Trb. m

D-minor entry in augmentation

Cb.
Harp,
L•" _,-

Db6
4 bk4
2

Example 14: Don Quixote, mm. 99-101.

Emphasis on F in conflicting entries of the head motive of the main theme in
D6 majorand D minor, respectively.

200

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 MEASURE NUMBERS
INCLUSIVE THEMATIC IDEA INSTRUMENT TONAL LEVEL COMMENTARY

71-73 head motive of main Don clarinet D major liquidates after 2 m

Quixote theme (fromm.
16)
73-81 main D. Q. theme oboe G major extended by mean
terjections; liquid
79-85 Dulcinea's theme (from flute and solo Ebmajor liquidates after m
m. 24) violin
82-86 main D. Q. theme violin and D minor with tritone of mm. 17
clarinet chromatic ad- become perfect fo
justments incomplete
83-86 main D. Q. theme trumpet and D minor head only in augm
trombone
84-87 main D. Q. theme bassoon and bass F major 3 measures only
clarinet
86-92 main D. Q. theme viola and English Bbmajor complete stateme
horn matic adjustment
91 main D. Q. theme horns D minor head only in augm
92-95 Dulcinea's theme bassoons and Ebmajor first 4 measures o
bass clarinet
93-99 main D. Q. theme cello, string bass, A6 major complete stateme
and bassoon matic adjustment
99-100 main D. Q. theme violin Db major liquidates in m. 1
100-01 main D. Q. theme trumpet and D minor head only in augm
trombone
101-02 main D. Q. theme cello, string bass, Dbmajor first 2 measures
bassoon, bass matic adjustment
clarinet
102-03 main D. Q. theme violin Db major first 2 measures o
103-04 main D. Q. theme trumpet and D minor head only in au
trombone chromatic alterat
bringingabout D6
statement in D m

C
Figure 1: Thematic and Tonal Organization of the Development, mm. 71-104.

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 19TH
CENTURY
MUSIC
Fl. 7Z
nmf I r
Via., Hn. Vn.
J7
/p-ir
pizz.
Cb.
D6
4
Example 15: Don Quixote, elements of return in mm. 104-06.
subdominant substitute D6 and the tonic D mi-
nor with a common temporary property of the
stressed F?, while divorcing the theme from its
earlierF# connections. Sancho Panza'snote has
thus replacedDon Quixote's.
In the repeat of this passage, the augmented
head motive in the trumpets restores the origi-
nal F#. This melodic arrival on FOoccurs over
tonic 6 harmony and is immediately reassoci-
ated with the original version of the main Don
Quixote theme, accompanied by the melodic
material of the first two measures of the
Grundgestaltphrasewith its original orchestra-
tion in flutes and clarinets (ex. 15). Hence this
passage takes on a recapitulatoryfunction. Clo-
sure in D major is avoided here, however, and
the augmented head motive continues in D mi-
nor, setting up an E harmony (supertonic from
gesture no. 3) with the tritone that has pervaded
the language of the entire composition. This E-
G#-B6-D-F chord is simply the German aug-
mented-sixth chord, as described above, with
its root also sounding;24it resolves to a like so-
24A similar chord, C-E-Gb-B -Db, is found at m. 37 of
the Hans Bischoff edn. of Johann Sebastian Bach's Chro-
matic Fantasy and Fugue(see the Edwin F. Kalmusedn., n.
d.).Bischofftakes this spelling from the oldest extant manu-
script source, P421, in the Staatsbibliothek Preussischer
202
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3
r etc.
"
etc.
3
-L
etc.
•
etc.
nority on A (dominant)and thus sets up a return
to the tonic D.
At this point Straussintroduces a minor vari-
ant in the solo cello. There are furtherrecapitu-
latory elements in that the phrasestructurecor-
responds exactly to that of the first D-major
section of the composition, with its three dis-
tinct subsections. In this instance, however, the
harmonic goals of the constituent phrases are
changed. The first four-measure phrase modu-
lates from D minor to C major (V of F); the
4 + 4-measure organization of the following
subsection places cadences on F major and D
major respectively; and the closing cadential
extension makes use of a new arrangementof
harmonies, as shown in ex. 16.
The subsequent passage destroys the recapit-
ulatory nature of this section and redefines it as
a second exposition with its modulation to F
major. Sancho Panza's themes are introduced
here, thereby clearly associating the "faithful
Kulturbesitzin West Berlin.This manuscript,dated 1730,is
also the basis of Hans David's discussion, "Die Gestalt von
BachsChromatischerFantasie," BachJahrbuch23 (1926),p.
39, andAnhang,p. 6, in which the authordescribesthe same
chord as an altered secondary dominant (alter. Wech-
seldominant).

Cl. au~tt
sdruc s PHIPPS
F- B7-
[E
Example 16: Don Quixote, clarification of harmonic function in mm. 134-38.
squire"25with that tonal region. The F-major
cadence in m. 160 is the second definitive ar-
rival in that region (the other occurred in mm.
56-71, as described above).
To summarize: the introduction may be de-
scribed as comprising a tonal exposition intro-
ducing the dichotomy of D major and its two
mediants, F#and FP(mm. 1-71); a development
(mm. 71-104); and a quasi-recapitulation (mm.
104-38), which disintegrates and suggests
rather a repeated exposition with more direct
tonal movement from the tonic D minor to the
mediant F major. This ambiguity of formal
structure (an apparentrecapitulation that turns
out to be a restated exposition) is yet another
way in which Strauss has depicted the mental
aberrations of Don Quixote. Such ambiguities
are, of course, common in the languageof devel-
opmental music of Strauss'stime. I suggest that
the digressive first variation serves as the "real"
development; and the second variation serves
to close the form as a brief but conclusive reca-
pitulation in D major.
Although space does not permit a detailed dis-
cussion of the entire tone poem, an examina-
tion of its tonal structure can illuminate the
significance of the introduction and the manner
in which the Grundgestalt predicts the macro-
structure.
Cervantes's novel presents a series of fantas-
tic adventures in a continuous narrative that
contains no stopping places between successive
chapters. Because one chapter leads directly
25Cervantes'sown term.
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GRAHAMH.
Tonality in
Don Quixote
A7-LD D
into the next, points of formal articulation
within the novel are blurred. Strauss has
adopted this mode of presentation for his set of
"fantastic variations on a theme of knightly
character"(the subtitle on the title page of the
original published score).To be sure, the score
indicates beginnings and endings of thirteen
separate sections-an introduction, theme, ten
variations, and finale. The rendering of the
work in actual performance,however, does not
bear out such a formal subdivision. Rather,one
hears three large continuous sections with an
internal tonal and thematic organization that
suggests that, although variation technique
plays an integrative formal role, the work can-
not be adequately explained as "theme and vari-
ations." The variations have no phrase struc-
ture or temporal unit in common; they are of
different lengths and internal dispositions,
rangingfrom variation 7, with eleven measures,
to variation 3, with 135 measures.26
Cadences in D majorat the end of variation 2
26Variationtechnique undoubtedlyplays an integralforma-
tive role in this work, and the subtitle is appropriatein that
regard.But titles of compositions need not indicate theirfor-
mal organizations. Thus, for example, variation 7 of J. S.
Bach's "Goldberg"Variations,entitled "Fughetta,"is orga-
nized in binaryform. In like manner,the final movement of
Beethoven's Eroica Symphony, although frequently de-
scribedas a variationset (see PaulBekker,Beethoven, trans.
M. M. Bozman [London,1925], p. 165; Hugo Leichtentritt,
Musical Form[Cambridge,Mass., 1959],p. 107; and Louise
Cuyler, The Symphony [New York, 1973], pp. 63-64), as
well as Schoenberg's Variations for Orchestra (see my
Schoenberg's Grundgestalt Principle: A New Approach
with ParticularApplication to the Variationsfor Orches-
tra, Opus 31 [Ph.Ddiss., University of Cincinnati, 1976],pp.
304-35 and 409-28), aremore appropriatelyunderstoodas
applications of sonata principle in terms of their formal or-
ganizations, although both are predicated upon the tech-
nique of variation.
203
 19TH and variation 5 divide the work into three large
CENTURY
MUSIC sections, as indicated in fig. 2. The first two sec-
tions both have the tonal disposition of a sonata
form-i.e., an expository section that presents
diverse materials and identifies a polarity of two
tonal regions; a developmental section that sets
up a need for returnto the tonic; and a balancing
recapitulatorysection.
The first section (sonata 1), mm. 1-247, also
has some traditional characteristics of the con-
certo, a first orchestral exposition and a second
exposition with related materials presented in
the solo instruments-in this case, cello for
Don Quixote's theme in D minor (mm. 122-
38), and viola for Sancho Panza'stheme in F ma-
jor (mm. 139-60). An unusual feature is the
full-fledged development section (mm. 71-121)
that precedes the second exposition. Although
the second variation seems too short to balance
the lengthy double exposition in its restate-
ment of the D-major tonic, there is yet an ele-
ment of balance within this first formaldivision
of the tone poem: the two development sections
are almost identical in length.
The second large section, mm. 248-470, has
a disposition similar to the first. Variation 3
(135 measures long) serves as the exposition of
another sonata (sonata 2). This time, however,
the solo cello entry at m. 271 becomes the be-
ginning of a transitional passage by avoiding
closure in D major/minor. Its first two cadences
match those of the parallel passage-mm. 126
and 274 are both authentic cadences in C major,
and mm. 130 and 280 (by means of a two-mea-

DESIGNATIONS IN
THE SCORE FORMAL DIVISIONS

Section I (Sonata1): mm. 1-247

Introduction Exposition I: mm. 1-71
First key area: mm. 1-18, D major
Transition: mm. 18-56, from D majorto F
majorwith suggestionsof F#
major/minor
Secondkey area: mm. 56-71, F major
Developmentalretransition: mm. 71-104
Return to tonic key: mm. 104-21, actually
a false recapitulation
Themes Exposition II: mm. 122-60
First key area: mm. 122-38, D minor
Second key area: mm. 139-60, F major
Variation1 Development: mm. 161-212
Variation2 Recapitulation: mm. 213-47, D major
Section II (Sonata2): mm. 247-470
Variation3 Exposition: mm. 247-379
Firstkey area: mm. 247-71, D major
Transition: mm. 271-331, from D major
to F# majorwith suggestions
of F major
Secondkey area: mm. 331-79, FOmajor
Bridgeto Development: mm. 380-82
Variation4 Development: mm. 383-430
Variation5 Recapitulation: mm. 431-70
Section III: mm. 471-758
Variations6, 7, and 8 Development: mm. 471-596
Variations9 and 10 Recapitulation: mm. 596-696
Finale Coda: mm. 697-758

Figure2: FormalOrganizationof Don Quixote.

204

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sure extension) are both cadences in F major-
but the rest of the passage is deleted the second
time and replaced by Sancho Panza's themes in
F major. The passage corresponds formally to
the abortive F# of Section I. In this case, how-
ever, closure is avoided on FK;the "real"second
key area is F#, with full-scale presentations of
both Don Quixote's and Dulcinea's themes, al-
tered so as to remain in F#major.Thus variation
3 respondsto the earlierconflict of the introduc-
tion, and gesture no. 2 of the Grundgestalt is
seen to predict significant points of arrivalin ar-
ticulating the keys of F major/minor and F#ma-
jor/minor. Again in this section, the recapitula-
tory fifth variation seems too short to balance
the expository third variation; once more the
development section is almost identical in
length to those of Section I.
Section III, mm. 471-758, has a completely
different disposition, one that serves to balance
the entire composition. The 127 measures of de-
velopment (variations 6, 7, and 8) are roughly
equivalent to the lengths of expositions of the
previous two sections-the double exposition
of section I, comprising 71 + 49 measures, and
the exposition of section II, comprising 133
measures. The recapitulatory variations 9 and
10 and the coda/finale together comprise 162
measures and hence, for the first and only time
in the work, bring about a really substantial re-
turn to the tonic, one that truly can serve to bal-
ance the modulatory nature of the earlier sec-
tions.
Variation 9 represents a return not only to D,
but also to the digressive tritone movement
that characterizedStrauss'sfirst statement in D
major (mm. 4-12). The D-minor beginning of
this variation is interrupted as Strauss depicts
one of Don Quixote's adventures. The interrup-
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tion comes about aftera cadence has been set up GRAHAMH.
PHIPPS
in C major-the usual cadence in first phrases Tonality in
of D-minor expository passages (e.g., m. 126 of Don Quixote
section I and m. 274 of section II).As Don Quix-
ote has come upon a procession consisting of a
Basquelady travelling with some horsemen and
preceded by two Benedictine monks. The con-
versation between the two monks is depicted by
a dialogue of bassoons in A6 major. The latter
key is reached through a deceptive cadence on
bVIof C major-yet another example of gesture
no. 1. Don Quixote stealthily approaches the
group, the head motive of his main theme ap-
pearing in A6 as pizzicato notes in the low
strings. The A6 approach is immediately fol-
lowed by a reprise of the D-minor material that
announced the beginning of the variation. The
rightness of this bold juxtaposition of D and A6
harmonies has been established from the very
beginning of the tone poem, in mm. 4-12.
The preceding observations about the macro-
structure of Strauss's Don Quixote illustrate
how even at higher architectural levels the
composer has made use of the three gestures of
the Grundgestalt. These gestures, when com-
bined with the concept of tritone equivalency,
provide a basis for comprehending the logic of
Strauss's musical language in Don Quixote.
Thus it is apparentthat foregroundlogic-that
which governs the surface chord-to-chordand
note-to-note successions-must be the basis for
analysis of this composition. Schoenberg's
Grundgestalt concept accepts the foregroundas
logical and hence perceives how its projections
articulate a coherent musical statement predi-
cated upon the normalcy of fin- 4
de-sidcle chromatic practice.
205