ANALYSIS 0:: LINE AND sononm m PIANO
: f 30mm, opus 1, BY ALBAN BERG

Thesis for the Degree of M. M.

‘MlCHlGAN STATE UNIVERSITY
JAMES RICHARD BERSANO . , .-:
' 1972 r J

 

 

. ‘ 1 v u vh'mr ’ ‘ ' V .‘II \- ~ n l .'-'.'.'r.'.‘:'.' ”.V I ”AWN -"."'y”'.' ‘ ‘," ' ‘ ‘ ‘,' V" " ‘~’-' ’1' "‘V'A " c” '- ‘- , .. r - v
flVfllfwgfivabg‘pflvflfl‘MvaZ-fiIiLfif“!g’£.’Jf§3,!un‘n ...‘.-‘..'.‘._. n M . ‘ ,_ ., :1. , ‘, .J‘. :.:.". -. .. , _. .. .. ‘ .. .., ._ ,0 . - m... , ..., .V....‘. ..
, ' ’ ' t 1- r 4 | ' ' ' - - . - - .

 

IIIIIIIIIIIIIIIIIIIIIIIIIII

3 1293 10706 6429

  
    

‘m
LIBRARY ‘1

Michigan State P
University

 

 

      

g...

V ( . ..\ ’I V. l )
, ' " .7 ‘
' J n
' ‘ .I‘

1',

‘ ‘. _.-tlr.,":‘l‘ / "
«/,.. ‘-.i 91h; .' '
My? /‘"""‘

~ AU§1L8 2901

I" I . , .

 

 

ABSTRACT

ANALYSIS OF LINE AND SONORITY IN PIANO SONATA,
OPUS 1, BY ALBAN BERG

BY

James Richard Bersano

After a biographical sketch of Berg and a discussion
of the chief trends in music of the late nineteenth century,
analysis proceeds in three sections: (1) a general descrip-
tion of the sonata and its form, (2) melody and motivic
deve10pment, (3) harmony and harmonic progression. Through—
out the paper, where appropriate, historical precedents are
mentioned.

In the first of these sections the plan of the work is
given. The one-movement work is easily divided into eXposi-
tion, deve10pment, and recapitulation. To assess its
overall proportions, an outline of the sonata is tabulated
with Specific measure numbers, thematic material, keys, and
dynamic levels.

With respect to melody, the tOpics of range, interval
frequency, and the use of appoggiaturas and anticipations
are studied. Chord outlines occurring melodically are also

examined. Analysis of motivic construction and development

James Richard Bersano

deals with motive similarity, substitution, fragmentation,
regrOUping, and metamorphosis.

Concerning harmony, the tOpics of harmonic ambiguity,
treatment of dissonance, isolated sonorities, and chord
progression are explored. These center around the problems
of analysis encountered in dealing with the complex harmonic

idiom found in Berg's Piano Sonata, specifically, and in

 

music of approximately 1890-1910, generally. Principles
adOpted to overcome these problems include considerations

of voice leading, harmonic implication, and function. In
treating dissonance the concept of resolution is expanded

to include patterns frequently found in the sonata. With
regard to chord progression, the concept of harmonic allusion
is employed: A progression which can be analyzed as a
modification of a simpler prototype, such as V-I, is termed
an allusion. Non-functional progressions are also discussed.
This section contains a table of frequencies of isolated
sonorities found in the sonata. The last item of the section

is a description of the Piano Sonata from the harmonic view-

 

point.

General examination of the work shows the first theme
to be in the key of B minor, the second theme in A major
during the exposition, in B major during the recapitulation.
Key definition is not always clear, however, as there are
many areas of suSpended tonality, notably in the develop—

ment. Areas in which the pitch level rises are found to be

James Richard Bersano

almost invariably accompanied by the marking ”crescendo ed
accelerando.”

The range of the melodic line is found to be quite
eXpansive. A study of the first theme area alone reveals
that the upper line traverses a distance of a perfect
eleventh every three measures, on the average. A study of
intervals of the uppermost voice reveals two noteworthy
tendencies: First, the smaller the interval, the more fre-
quently it is used; second, large intervals are generally
used ascending, small intervals descending. A comparison
of the use of appoggiaturas and anticipations in the first
and second theme areas of the eXposition reveals differ—
ences in usage dependent on theme area.

The dissonance-resolution patterns found most often
include normal, displaced, simultaneous, and dissonant
resolutions.

The table of isolated senorities reveals seventh
chords of the diminished-minor and major-minor varieties to
be most frequent, with augmented triads next most frequent.
Ninth chords, augmented-minor seventh chords, and perfect
quartal chords also occur with high frequency.

Prototypes of harmonic allusions most often found are
V-I, V—vi, IV-V, and, less often, IV-I. Typical of non-
functional progressions is the oblique-motion device found
at climactic points of the sonata. In such cases a chro-

matically moving bass provides a changing harmonic context

James Richard Bersano

for a sustained or repeated tone in the SOprano. The
trend to allow chromatic movement in the bass to determine
harmonic flow is further demonstrated by a study of the
bass line throughout the sonata, which reveals that
instances of movement by half-step outnumber all other

types of bass movement combined.

ANALYSIS OF LINE AND SONORITY IN PIANO SONATA,

opus 1, BY ALBAN BERG

By

James Richard Bersano

A THESIS
Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of
MASTER OF MUSIC

Department of Music

1972

ACKNOWLEDGMENT

My thanks to Dr. Paul Harder for many helpful

suggestions and criticisms.

ii

TABLE OF CONTENTS

ACKNOWLEDGMENTS
LIST OF TABLES
LIST OF FIGURES

LIST OF APPENDICES

Chapter
I. BIOGRAPHICAL SKETCH AND HISTORICAL SETTING

II. GENERAL DESCRIPTION OF THE SONATA AND ITS
FORM

III. MELODY AND MOTIVIC DEVELOPMENT
Summary
IV. HARMONY
Harmonic Ambiguity
Treatment of Dissonance
Isolated Sonorities
Chord Progression
Description of the Sonata from the
Harmonic Viewpoint

Summary

V. SUMMARY

BIBLIOGRAPHY

APPENDICES

iii

Page
ii

iv

vii

10
15
42
44
44
49
53
56

68
97

99

105

107

Table

1.

[\J

LIST OF TABLES

Outline of Piano Sonata, Op. 1 by Berg

 

Frequencies of Melodic Intervals Occurring
in Piano Sonata, Op. 1 by Berg

 

Frequencies of Isolated Sonorities Occurring
in Piano Sonata, Op. 1 by Berg

 

iv

Page

12

20

57

Figure

10.

II.

13.
14.

15.

LIST OF FIGURES

Wagner, ”Prelude” to Tristan und Isolde,
mm. 45-46.

 

Bruckner, Symphony No. 6, m. 16

 

Strauss, Salome, one measure before
rehearsal number 361

The implied dominant ninth of Figure 3

Wagner, “Prelude” to Tristan und Isolde,
mm. 17-21.

 

Strauss, Don Juan, Op. 20, mm. 1—3

Schoenberg, String Quartet No. 1, Op. 7,
mm. 1-6 . . . .

K

 

Schoenberg, Kammersymphonie, Op. 9,
rehearsal number 29 .

 

Schoenberg, String Quartet No. 1, Op. 7,
mm. 97-99 of rehearsal section A .

 

Schoenberg, Kammersymphonie, Op. 9,
rehearsal number 44 .

 

Berg, Piano Sonata, Op. 1, lower voices of
m. 6 .

 

Berg, Piano Sonata, Op. 1, upper voice of
mm. 33-34 .

 

Mahler, Symphony No. 3, Mvt. 6, rehearsal
number 10 . . . . . . . .

 

Schoenberg, String Quartet No. 1, Op. 7,
mm. 50-52 of rehearsal section B .

Four appoggiatura types

Page

16

16

17

17

18

23

Z3

Z4

25

26

Figure Page

 

 

In. Mozart, Sonata, K.547a, upper voice of

mm. 1-4 and mm. 32-33. . . . . . . . 27
17. Schoenberg, Verklaerte Nacht, Op. 4, m. 15

of rehearsal section K . . . . . . . 30
18. Schoenberg, Kammersymphonie, Op. 9, m. 3

of rehearsal section 1 . . . . . . . 30

19. Schoenberg, String Quartet No. 1, Op. 7,
m. 43 of rehearsal sectiOn C . . . . . 31

 

 

20. Schoenberg, Kammersymphonie, Op. 9, at

 

 

 

rehearsal number 78 31
21. Schoenberg, String Quartet No. 1, Op. 7,

mm. 63-64. . . . . . . . .. . . . 32
22 Catalogue of motives in Berg's Piano Sonata,

Op. 1 . . . . . . . . . . . . . 33
23. Scheme of mm. 166-167 . . . . . . . . 52
24. Wagner, ”Prelude” to Tristan und Isolde,

mm. 1-3 . . . . . . . . . . . . 55
25. Scheme of mm. 80-81 . . . . . . . . . 61
26. Scheme of mm. 41-43 . . . . . . . . . 63
27. Scheme of mm. 84-86 . . . . . . . . . 63
28. Scheme of mm. 0-3 . . . . . . . . . 69
29. Scheme of m. 45 . . . . . . . . . . 78
30, Alternate scheme of m. 45 . . . . . . . 79
31. Roman numeral analysis of mm. 161-164 . . . 92
32. Mahler, “Nicht Wiedersehen,” final cadence . 96
33. Scheme of bass movement, mm. 172-175 . . . 96

vi

LIST OF APPENDICES

Appendix Page

A. A study of range and phrase length in
measures 0-28, Piano Sonata, Op. 1, by

 

 

Alban Berg 108
B. A study of the appoggiatura figure in

measures 0-55, Piano Sonata, Op. 1, by

Alban Berg . 109
C. A study of non-melodic bass movement in

Piano Sonata, Op. 1, by Alban Berg . . . 110

 

vii

CHAPTER I

BIOGRAPHICAL SKETCH AND HISTORICAL SETTING

About a month before the death of Gustav Mahler,

Alban Berg's Piano Sonata, Op. 1, was premiered in Vienna.

 

The date was April 24, 1911. The only review which Berg's
biographer, Willi Reich, was able to locate reads in part:
. Mr. Berg has written a piano piece (boldly
entitled "Piano Sonata") which shows traces [Spaced
out in the original] of talent and mu51ca11ty.

The sonata was finished in the summer of 1908 while
Berg was a student of Arnold Schoenberg. Completed at
Berghof, the Berg family's country home, it was then pub-
lished in Berlin in 1910.

The general tone of the work is highly expressive and
intense, a reflection not only of the general characteris-
tics of the eXpressionist style, but also of the personality
of its composer. Berg's emotional makeup is revealed in his
letters to his friend Hermann Watznauer, and in those to his
bride-to-be Helene Nahowski; these are alternately effusive
and introspective. And, although it is passed over with a
somewhat perfunctory air in Reich's biography, his suicide
attempt (over a love affair) at the age of seventeen certainly

indicates a deeply sensitive nature. In short, Berg's

personality was that of a romantic.

 

1Willi Reich, The Life and Work of Alban Berg, trans.
Cornelius Cardew (Londbn: Thames and Hudson, 1965), p. 34.

l

If the influences of Berg's character on the work are
apparent, the musical influences are also not particularly
difficult to trace, either. Schoenberg, it is known, had
a great influence on his student Berg. Also well—known
is Berg's admiration for the music of Wagner and Mahler.

During the discussion of the Piano Sonata, Op. 1, specific

 

cases of musical influences will be shown.

Before beginning the general description of the sonata,
it would be appropriate to present a chronology of several
important works which appeared before 1908, the date of the
sonata. This, together with a discussion of the musical
trends they demonstrate, will serve to place Berg's opus

in historical perSpective.

1865 Wagner: Tristan UHd Isolde

 

1868 Wagner: Die Meistersinger

 

1876 Wagner: Der Ring des Niebelungen

 

1881 Bruckner: Symphony No. 4

 

1882 Wagner: Pgrgif§l_

1885 Bruckner: Symphony No. 7

 

1890 Strauss: Tod und Verklaerung

 

1894 Debussy: L'Apres-midi d'un Faune

 

1895 Mahler: Symphony No. 2

 

 

 

Strauss: Till Eulenspiegels lustige Streiche
1896 Scriabin: Piano Concerto No. 1
1898 Strauss: Don Quixote

 

1899 Bruckner: Symphony No. 6

 

Schoenberg: Verklaerte Nacht

 

1900 Debussy: Nocturnes

 

1901 Mahler: Symphonies Nos. 3 and 4

 

Schoenberg: Gurre-Lieder

 

1902 Debussy: Pelléas et Mélisande

 

1904 Mahler: Symphony No. 5

 

1905 Debussy: La Meg

Mahler: Kindertotenlieder

 

Schoenberg: Pelleas und Melisande

 

Scriabin: Symphony No. 3

 

Strauss: Salome

1906 Mahler: Symphony No. 6

 

Schoenberg: Chamber Symphony

 

1907 Schoenberg: Friede auf Erden

 

Schoenberg: String Quartet No. 1

 

Although the list is by no means complete, it points
out the highlights of a period characterized by the
decline of tonality. The scepe of classical tonality had
already been extended in works of Beethoven and the early
romantics. Novel tonal relations such as the chromatic
mediant keys had been used, thus weakening the relationships
in the circle of fifths which had previously played a
central role in the tonal structure of music.

Indeed, in his discussion of atonality in Music Here

 

and Now, Ernst Krenek asserts that it is the absence of

dominant relationships which is almost solely responsible

for the seeming lack of coherence in the atonal idiom.2
Increased use of chromaticism as well as more frequent and
distant modulations are characteristics which can be found
in the music of the early nineteenth century. This trend
continued through the last half of the century.

Another noteworthy characteristic which can be noted
in the works listed in the chronology is the increasing use
of suspended tonality, a result of expanded applicaton of
the modulation principle wherein virtually every chord is
potentially in a different key; the resulting progressions
have little or no tonality. The harmonization of unessen-
tial tones with transitory sonorities and the phenomenon
of chromatic'SIide-slipping” of seventh chords (a technique
which resembles the resolution of a German sixth chord to
the dominant seventh) are manifestations of the principle
of suspending tonality.

A freer use of dissonance grew out of this chromatic
idiom. Non-harmonic tones are found clashing in seconds
with their resolutions, as shown at the asterisks in
Figures 1 and 2. Similar clashes may be the result of sub—
stitute function chords--the replacement of a “true” chord
by a chord which operates similarly in the particular

harmonic context. For example, Strauss' Salome contains the

 

2Ernst Krenek, Music Here and Now, trans. Barthold
Fles (New York: W. W. Norton 8 Co., 1939), pp. 151-152.

 

Animando

English Horn

Harmonic Background

 

Figure 1.--Wagner, "Prelude” to Tristan und Isolde,
mm. 45-46.

 

Majestoso

Fhfle ’Ti”T—__~T‘T\\\

 

Harmonic Background

Figure 2.--Bruckner, Symphony No. 6, m. 16.

 

chord shown at the asterisk in Figure 3. From context, the
dominant ninth shown in Figure 4 is implied. The lower four
tones have been replaced by their chromatic neighbors to
produce a substitute function chord.3 Ravel terms this
practice “the simultaneous use of different modal articu-
lations."4 Unresolved dissonances used in this manner still
preserve a certain functionality of harmony provided the
implication is clear. Says Collaer: ". . . an art of
allusion, of reading-between—the-notes, was born with the

”5

first measures of Tristan und Isolde This technique

 

continued into the early twentieth century. The topic of
harmonic allusion will be discussed in greater detail later.
The desire for novelty and sensuality of sound which
motivated the use of substitute chords of greater disson-
ance also motivated the invention of new chords and scale
systems through theoretical constructions. Well-known
examples of such constructions are the whole-tone scales
and chords of Debussy, Schoenberg's chords in fourths and

Scriabin's mystic chord.

 

jMosco Carner, A Studyyof Twentieth Century Harmony:
A Treatise and Guide for the Student-Composer of Today,
2 vols. (London: Joseph Williams, 1942), 2:32.

 

 

4Paul Collaer, A History of Modern Music, trans.

Sally Abeles (Cleveland and New York: World Publishing Co.,
1961), p. 61.

 

5Ibid., p. 60.

 

Molto Largo

,\

 

Figure 3.-—Strauss, Salome, one measure before
rehearsal number 361.

 

Figure 4.--The implied dominant ninth of Figure 3.

The last feature of this period to be mentioned in
setting the historical perspective for the following dis-
cussion is the increased use of counterpoint. This is

especially true in the case of Wagner (Die Meistersinger

 

”Overture”) and Schoenberg (String Quartet No. l). The

 

use of counterpoint is related both to the decline of the
formal element of music and to the collapse of tonality.

The decline of form began at least as early as Schubert with
his “irregular, unsymmetrical periods."6 This is, of course,
also true of Brahms. Wagner's music dramas, by subordin-
ating music to the dictates of the drama, also abandon

elements of form. The use of leitmotifs effects a restora-

 

tion to unity here. It is probably with Wagner, then, that
motivic construction gains importance in light of the
historical deve10pments which follow.

The decline of tonality which paralleled the abandon-
ment of the classical forms also led to the rise of contra-
puntal techniques. Collaer, paraphrasing Erwin Stein, puts
it this way:

To enrich harmony, melody and rhythm were relegated
to the background for purposes of maintaining clarity
and allowing the ear and brain to perceive complex
harmonic treatment. Increasing harmonic instability

diminished architectonic possibilities; counterpoint
was needed to fill the breach.

 

6Krenek, Music Here and Now, p. 136.

 

7Collaer, Modern Music, p. 70.

 

Later he adds, ". . . polyphony, more so than harmony,

makes the listener grasp the function of the dissonances
”8 One of the principles of harmonic progression

which will be mentioned again later is related to the use

of counterpoint. Carner takes note of it in his A Study

of Twentieth Century Harmony: "Another principle is to

 

allow Special contrapuntal and thematic designs to dictate
the harmonic course. ."9
These then are the chief trends in the music of the
late nineteenth and early twentieth century: extreme
chromaticism, numerous modulations, suSpended tonality,
freer use of dissonance, substitute-function chords,
artificially constructed chord and scale systems, and an

increasing interest in contrapuntal techniques. It will

be seen that all of these apply to the Berg Piano Sonata,

 

Op . l.

 

81bid.

 

9Carner, Twentieth Century Harmony, 2:46.

 

CHAPTER II

GENERAL DESCRIPTION OF THE SONATA

AND ITS FORM

The plan for the remainder of this paper is first to give
a general description of the sonata with an emphasis on
form; secondly, to discuss the melody and counterpoint with
emphasis on motivic construction and development; and lastly,
to treat the subject of harmony and harmonic progression.
hherever relevant, probable origins and influences on
techniques used in the sonata will be discussed. A copy
of the score can be obtained from Theodore Presser Company.

The sonata is a one-movement work, ostensibly in B
minor, whose plan is a clear first-movement form. Exposi-
tion (marked with repeat sign), deve10pment, and recapitu-
lation are nearly equal in length--56-l/3, 54, and 69-1/3
measures, respectively. The greater length of the recapitu-
lation is the result of extending the closing theme. There
is no coda section.

The three main divisions can be subdivided into smaller
sections. The exposition presents two theme areas each of
which divides itself into two parts. These will be referred

to as Ia, Ib, Ila, IIb. In addition to these, a closing

10

ll

theme (111) is derived from previous material. The devel’
opment can. be subdivided into three sections, the middle
of which is the longest and can be further divided into two
parts. The development sections will be labelled 1, 2a, 2b,
and 3. The recapitulation presents essentially the same
material in the same order as the exposition, but with cer-
tain extensions and deletions and transposition of most of
the second theme area into the tonic key, thus following
the standard classic formula.

The key of the sonata is B minor and the two-sharp
key signature is used throughout the work. Due to the
highly chromatic idiom, however (approximately 99% of the
notes have accidentals before them), the pattern of key
relationships is difficult to trace. Tonality, while
occasionally clear, is alternately ambiguous and vague. As
can be eXpected, the development is the area of greatest
tonal instability, being almost entirely "suspended." The
Opening and closing of the work, in contrast, give the
clearest clues to key identification. It is as if the move-
ment were shaped to travel from tonality into atonality
and back again. Corresponding to this "journey,” the
dynamic level of the Opening and close is piano and
pianissimo, respectively, whereas the development reaches
quadruple-forte.

An outline of the sonata with specific measure numbers,
thematic material, keys, and dynamic levels is given in

Table l to assess its overall proportions. Note the

12

TABLE l.--Outline of Piano Sonata, Op. 1 by Berg.

 

 

Length in

Measures Measures Themes Keys Dynamics

 

Exposition (0-55)

11 0-10 la b p—<::fo::=>
6 11-16 Ib D pp
12 16-28 Ia,Bridge - mf <:::ff=>-mp
9 29-37 Ila A,e mp-<=: mf—==:
11 38-48 IIb -,b f-<=: ff::=>
7 49-55 Ill pp.<:: p
DeveIOpment (56-110)
14 56-70 1 - pp< ff>pp
8 70-77 2a - pp-<:: mf<=::
22 78-99 2b - —=:::ffff=>pp
11 100-110 3 E pp
Recapitulation (111-179)
19 111-130 Ia, ext. (b) mf-<=::::: ff:::=w
6 131-136 Ib (D) p>pp
7 137-143 IIa,contr. B p-<=:
23 '144-166 Ilb,ext. -,g mf-<:: fffz—pp
13 167-179 III b pp>ppp

 

l3

alternation between longer sections rising to a high dynamic
level and falling off with shorter sections which maintain a
rather low dynamic level. This pattern is broken only with
the absence of the bridge material in the recapitulation--
material deleted in order to balance the extension of
material before (Ia) and after (Ilb).

By and large, the tempo indications follow the dynamic
indications. Thus, the appearance of IIb, always soft, is
always marked "Langsamer als Tempo I." Similarly, the term
accelerando is often found with crescendo, whereas ritardando
is paired with diminuendo. Significantly the tessitura
usually rises and falls to match these directives. See
measures 20-37, 78-97, and 154-164.

Note, also, that the high point of the entire movement
occurs in the development (ffff-measure 91), only two
measures past the mathematical midpoint of the work. Judged
from the point of view of the development area alone, the
climax occurs later--two-thirds of the way through. The
secondary high point occurs in the recapitulation (fff--
measure 157). This is more than five-sixths through the
movement and almost three-fourths through the recapitulation.
Investigation of the placement of climactic points, both
those mentioned and others, reveals a tendency to spend more
than half-~usually about two-thirds--of a phrase or section
in building up to a climax, and the remaining third in

tapering off. The consequence of this is that fully twice

14

as much time is spent in passages of rising tessitura,
crescendo, and accelerando as is spent accomplishing the
reverse. This eXplains, in part, the driving, energetic,
even passionate quality of the music.

Tension is also created through the use of contra-
puntal devices and thick sonorous harmonies. These elements
give the impression that the sonata was orchestrally con-
ceived. The counterpoint would become less dense with the
use of differing timbres and the harmonies more cogent by
apprOpriate doubling and spacing throughout the orchestra.
Musicologist Szabolcsi sheds light on this matter when he
states:

The new harmonic realm, which above all was denser,
more saturated, and at times sharper, at times more
sensuous than the old, was inspired by the orchestra
itself. . . . The sounding ideal of the compositions
of 1900 was overwhelmingly the sound of the orchestra,

“Orchester-klang," even if they were written for piano
or chamber music ensembles.lU

 

The Berg Piano Sonata most assuredly belongs to the

 

piano works referred to here.
With this general picture of the overall proportions
and tone of the work in mind, attention will now be focused

on the melodic, motivic aSpects.

 

0Bence Szabolcsi, "The Decline of Romanticism,”
Studia Musicologica Academiae Scientiarum Hungariae, 12
(l970):278. Emphasis added.

 

CHAPTER III

MELODY ANDIKHWWHIIDEVELOPMENT

Melody in the Piano Sonata exhibits several note-

 

worthy characteristics. These include the use of a wide
range within single phrases, the use of large intervals,
the use of anticipation and appoggiatura figures, the
preference for augmented triad outlines over major and
minor triad outlines, the use of broken quartal chords
(with one of the fourths augmented) and whole-tone scale
segments, and the elision and regrouping of motivic
fragments to provide the continuity of an "endless" line.
As for the wide range, it is not necessary to look
further than the first theme area of the exposition (0-28).
The opening phrase spans an octave and the following
material to measure 8 spans a perfect fifteenth. An
accurate count of the first theme area through measure 28
with regard to range reveals the average phrase to be
three measures in length and to span a perfect eleventh
(see Appendix A). This means that, on the average, the
melodic line travels a distance of a perfect eleventh

every three measures.

15

16

The use of such a wide range has precedents from
Wagner to Schoenberg. An examination of Figures 5-10

should substantiate this point amply.

Langsam und schmachtend

r”"‘\

     
 
   

Ceflos

 

Figure 5.--Wagner, ”Prelude" to Tristan und Isolde,
mm. 17-21.

 

Allegro molto con brio

\flofins

Figure 6.--Strauss, Don Juan, Op. 20, mm. 1-3.

Nicht zu rasch

l7
VioHnl l4‘i‘T—fia 1”_T\\“
gr
1

 

 

 

 

 

A n
1411, 1 r'x 1 A 1’ ..-
. ’4’Fiallgii 1 A! V 1 .- Fr\ I
l I 1 V . 1 ”r I \r
1 1 ill A
d 0' flak 9 ‘~" \_~___.
fif

 

 

 

 

 

Figure 7.--Schoenberg, String Quartet No. 1, Op. 7,
mm. 1-6.

Sehr rasch

 

 

 

 

Figure 8.--Schoenberg, Kammers mphonie, Op. 9,
rehearsal numBer 29.

l8

Nicht zu rasch

    
 

\Hofinl

   

f 4<

Figure 9.--Schoenberg, String Quartet No. 1, Op. 7,
mm. 97—99 of rehearsal section A.

 

Sehr rasch

47"

   
 
   

f<ff V-

Figure 10.--Schoenberg, Kammersymphonie, Op. 9,
rehearsal number 44.

 

Berg's use of large intervals can be seen in
measures 7 (m7, M9), 11 and 14 (P5, m6), 33 and 35 (M6),
39, 42, and 44 (m7) 67 and 68 (M6, A8, P11), 95 and 96
(m7) and in the measures of the recapitulation which
correspond to those of the exposition. Illustrations of
previous uses of large intervals are found in Figures 5,

and 8-10.

19

It should be noted that while these lend a distinct
character to the melody, they are by no means in the
majority. In fact, a study of melodic intervals in the
upper voice of the sonata reveals just the opposite about
large intervals, as well as some other interesting trends.
The following paragraphs summarize the findings displayed
in Table 2.

Intervals of the minor second both up and down,
the major second down, and the unison (repeated note)
account for more than half of the intervals occurring in
the sonata. These, together with the rising perfect
fifth, major thirds both up and down and the ascending
minor third all occur a greater number of times than

average. By ”average” is meant the number of times each

 

interval would occur if all intervals occurred equally

 

giggn, Averages for intervals including and excluding

the element of direction are 27 and 56 occurrences
respectively, as shown in Table 2. The tritone (in both
directions) occurs only slightly more often than "average."
The remaining intervals occur with less than ”average"
frequency. These include all types of sixths, sevenths,
and ninths, perfect fourths and octaves, both ascending

and descending, as well as the falling perfect fifth and

minor third and the rising major second.

20

TABLE 2.--Frequencies of Melodic Intervals Occurring in
Piano Sonata, Op. 1 by Berg.

 

 

 

Total for . .
Interval Direction Frequency Both 3:2:2523221
Directions
Unison -- -- 8O --
m2 up 93
m2 down 130 223 down
M 2 up 8
M2 down 130 138 down
m3 up 39
m3 down 6 45 up
M3 up 36
M3 down 65 101 down
P4 up 23
P4 down 22 45 none
TT up 34
TT down 30 64 none
P5 up 40
P5 down 6 46 up
m6 up 15
m6 down 7 22 up
M6 up 13
M6 down 9 22 up
m7 up 6
m7 down 12 18 down
M7 up 12
M7 down 2 14 up
P8 up 4
P8 down 6 10 none
m9 up 2
m9 down 1 3 none
M9 up 2
M9 down 1 3 none
TOTALS 754 834
NUMBER OF CATEGORIES 28 15
AVERAGES 27 56

(Total Occurrences
divided by Number
of Categories)

 

21

Among groups of the same type of interval certain
preferences are obvious. The rising major second is
hardly used at all (eight occurrences) when compared to
other types of second. The falling major and minor
seconds occur 130 times each, and the rising minor
second occurs 93 times.

Major thirds occur more often descending (65) than
ascending (36) but minor thirds occur more often ascending
(39) than descending (6). And in general the major third
in either direction (101) is preferred to the minor third
(45).

No preference is in evidence for the direction of
perfect fourths and tritones but tritones do appear
slightly more often (64) than perfect fourths (45).

The rising perfect fifth (40) is preferred to the
falling (6), and is in fact also found more often than
either tritones, fourths, sixths, sevenths, or octaves.

Rising sixths (28) both major and minor are
slightly preferred to falling sixths (16). Rising major
sevenths (12) occur six times as often as the falling
major sevenths which are practically non-existent (2), but
the falling minor seventh (12) is preferred to the rising
(6).

Octaves occur with rarity and no evidence of
directional preference is apparent. Ninths occur even

less frequently.

22

It can be observed from Table 2 that, in general,
the smaller the interval, the more frequently it is used.
In spite of the low frequency of such intervals as the
minor and major sevenths, it is suspected that in compari-
son with their usage in any classical sonata the frequency
of these intervals is actually quite high.

Table 2 also reveals a tendency to use large
intervals rising, small intervals falling.

The use of the anticipation figure in the sonata
is related to the subject of intervallic structure in that
it is a melodic unison--an interval which was included in

the study of melodic intervals. The term ”melodic unison"

 

is used synonomously with "repeated note" here.

 

The melodic unison never occurs twice in succession.
In other words, three successive attacks of the same pitch
could not be found throughout the sonata. It is signifi-
cant that the stress pattern of the repeated note is
treated very exactly. When a tone occurs twice in a row
the accent pattern may be one of two: weak-strong or
strong-weak. (Only the first of these would be termed an
anticipation figure.) In the exposition, occurrences of

the former pattern (weak-strong) are found exclusively in

 

the first theme area, whereas the latter arrangement

(strong-weak) is found exclusively in the second theme

 

area. Moreover, in both areas, the strong part of the

pattern is never shorter in duration than the unstressed

23

(weak) part. In the first theme area, then, the pattern
gives a feeling of forward motion as the melody is
impelled by the anticipation figure shown in Figure 11;
whereas in the second theme, a holding-back or lingering
quality is given by the reversal of the stress pattern

shown in Figure 12. An isolated instance or two of these

 

Figure ll.--Berg, Piano Sonata, Op. 1,
lower voices of m. 6.

 

Figure 12.--Berg, Piano Sonata, Op. 1,
upper voice ofimm. 33-34.

24

usages would not accomplish the unity achieved

by this effect that is claimed here. It must be remembered,
therefore, (1) that the melodic unison occurs with much
greater than average frequency (only seconds are found
more often), and (2) that the same stress pattern is used
throughout an entire thematic area. Thus, it is both the
frequency and consistency of usage of the repeated note
pattern and its accompanying stress patterns that serve to
characterize each theme, the first theme emphasizing
forward motion, the second displaying a more lingering
quality. These thematic characteristics correspond,

to the busy first themes and the contrasting lyrical
second themes of the classic and early romantic sonatas.
For previous uses of the anticipation see Figures 13 and
14. Note the similarity between Figure 14 and measure 6
of the sonata. Figures 5 and 9 previously shown also

contain anticipation figures.

Langsam

\Hofins

 

Figure l3.--Mahler, Symphony No. 3, Mvt. 6,
rehearsal number 10.

 

25

Wieder beschleunigend

 

Figure l4.--Schoenberg, String Quartet No. 1, 0p. 7,
mm. 50-52 of rehearsal section B.

 

A similar treatment is found in the use of the
appoggiatura figure as was found for the anticipation.
(Again, no distinction will be made as to consonance or
dissonance. "Appoggiatura" will refer simply to a three-
note figure forming a leap and a step in the opposite
direction, the middle note being stressed.) Four varieties
of appoggiaturas are employed. The leap can be up or
down (the step then being down or up respectively) and
the "resolution" either with or without anticipation (see
Figure 15).

A study of the occurrences of the various types of appog-
giaturas again reveals apreference of certain types for certain
thematic areas. In the first theme area (Ia, Ib) appog-
giaturas of Type I predominate while Type IV is not found

at all. In theme area Ila, in contrast, only Type IV is

26

TYPE: I _' u III IV

 

up down up down
with anticipation without anticipation

Figure 15.--Four appoggiatura types.

found. In theme area Ilb, Types I and II are again

absent but Type III predominates. For detailed tabulation,
see Appendix B. These preferences again serve to delineate
the formal divisions of the work, each lending its own
distinctive, if subtle, influence of the character of each
theme area. The upward motion of Types I and III serves

to drive the material forward in theme areas la, b and 11b,
respectively, but the lack of the anticipation in Type III
gives a more direct expression to phrases in which it is
used. Type IV with its downward leap is reversed for the
quieter Ila, thus emphasizing its comparatively less
energetic character. This reversal of contour for contrast
between themes has its earlier counterparts in the classical

period. In Mozart's Sonata in F for piano (K.547a), for

 

example, compare measures 1-4 with measures 32-33; these
begin the first and second themes, respectively (see

Figure 16).

27

Allegro

 

’00 p

Figure l6.--Mozart, Sonata, K.S47a, upper voices of
mm. 1—4 and mm. 32-33.

The next characteristic of melody in the sonata
is a rather obvious one: a decided preference for the
augmented triad outline and an avoidance of the major and
minor types. This same preference, it will be seen later,
applies to the harmonic vocabulary. A comparison of
usages for these chord types reveals that nearly half of
the measures 0-37 (la, b and Ila), contain broken augmented
triads while only one-sixth of these measures contain
major or minor triad outlines. The latter are found in
1b in combination with augmented triads which dominate
because of metrical considerations (see measure 11 for
example). The remainder of the exposition (IIb) contains
neither type since it is mostly step-wise movement.

Roughly the same proportions apply to the recapitulation.

28

Measure 66 contains a minor triad outline--the only
representative of the non-augmented type to be found
throughout the development. Even here the harmonic
rhythm in quarter notes destroys the effect of a true
minor triad. In striking contrast, more than two-thirds
of the measures 73-87 (basically, sections 2a, b)
contain an augmented triad outline.

Quartal chords occur more often vertically than
linearly, but even with relatively few instances the trend
~can be noted to use perfect fourth-chords harmonically and
imperfect fourth-chords (wherein at least one-fourth is
augmented) melodically. Melodic usage can be found in the
opening (incomplete) measure and in measures 5, 18, 20, 21.
All these instances are in the soprano voice and of the
so-called imperfect variety. In measures 27 and 28,
perfect quartal-chord outlines can be found in the bass
line. These, while an exception to the general trend, can
nevertheless be interpreted as supportive and therefore
harmonic in function because of their placement in the
lowest voice. The perfect type can be found again at
measures 58-59 while the imperfect type occurs frequently
throughout measures 110-124, and again at 159-160 and
176-177. In the case of the imperfect quartal chord of
three tones, the tendency is to use the perfect fourth
below with the upper two tones forming the tritone. This

is true in a large majority of instances,but a few

29

exceptions can be found, as for example, in the bass line
of measure llZ.

Whole-tone scale segments fall into a similar
category as the quartal chord outlines. They are not so
frequently used as to pervade the thematic material with
their characteristic sound, and they are both used in
transition passages more frequently than in the body of
the themes. Passages constructed with whole-tone scales
occur in measures 7, 23-25, 57, 59-60, 62, 68-69, 78,
90-91, 127.

The last three general characteristics of Berg's
melody in the sonata are traceable directly to Schoenberg,
who during the few years before the writing of this
sonata was producing music with identical characteristics:
augmented triads, quartal chords, whole-tone scales. It
was during this period that Berg studied under Schoenberg.
For purposes of comparison, see Figures 17 and 18 for use
of augmented triads, Figures 19 and 20 for quartal chords,
Figure 21 for a whole-tone scale passage. Note the
similarity between Figure 21 and measures 68-69 of the
sonata.

Discussion of the characteristic devices of
elision and fragmentation will be included in the follow-

ing discussion on motivic development.

30

Sehr langsam

b)

 

Figure l7.--Schoenberg, Verklaerte Nacht, Op. 4,
m. 15 of rehearsal sectionTK.

 

Sehr rasch

Strings

ff

 

Figure 18.--Schoenberg, Kammersymphonie, Op. 9,
m. 3 of rehearsal section 1.

 

31

Sehr rasch

 

Figure 19.--Schoenberg, String Quartet No. 1, Op. 7,
m. 43 of rehearsal section C.

 

Sehr langsam

 

Figure 20.--Schoenberg, Kammersymphonie, Op. 9,
at rehearsal num er 7 .

32

Nicht zu rasch

V“ II A o?

 

1?"

Figure 21.--Schoenberg, String Quartet No. 1, Op. 7,
mm. 63-64.

 

To facilitate the following discussion, a catalogue
of motives is given in Figure 22. Motives retain their
identity regardless of transposition.

Motives A through E are found in area Ia, F and G
dominate lb, and H occurs in the bridge material. The
second theme makes use of the remaining motives--IIa uses
J and K while Ilb is constructed entirely of the complex
L motive. M and N occur throughout the sonata, but are
most often found in combination with motives B and L.

The first phrase of the sonata presents A and B
accompanied by M. In (2) C-3 appears both in the alto and
in the soprano in augmentation. This anticipation figure
often occurs detached from the rest of the C motive, which
itself is a condensation of the essential features of the
Opening phrase. C and D appear in (3-5) with the thirds
of N. These thirds are then used with the anticipation
figure in (6) to produce a hybrid motive composed of C-3

and N. At the end of (5) C-2 is found. Its last note

33

 

I_._.c.3.._._._.l
L-_C.1___J

 

L—E-1._I . . L—— F03-—-J

 

 

Figure 22.--Catalogue of motives in Berg's Piano Sonata,

 

Op. 1.

34

becomes the first note of C-1. In (7) E appears accom-
panied by N in a whole-tone scale version, rather than

the usual chromatic scale version which follows in (8-9).
Motive E serves as a transition motive back to the opening
material transposed down a major seventh (8-9). It should
be noted that the stressed tones of E form the augmented
triad which is C-1. C-3 is again used to effect a transi-
tion to Ib in (9-10). F then occurs beginning in the
third beat of (10). The first three notes of F are C-3
inverted. F-3 is another augmented triad outline--a
re-ordered version of C-1. Motive G in (11—12) is begun
with the last note of motive F. When F-l occurs in
imitation in the bass (11), G is similarly elided (12)
again. G is derived from F,in that it is the inversion

of the first four notes of F-l. The first interVal (m3)
has been altered by a semitone (to M3), however, and the
durations lengthened. In (12) N is used to complete the
harmonies while (13) contains a brief reference to M in
the lower voices. Here F is repeated up a fifth, the last
interval expanded (l4). F-2 occurs three times in (15),
the last interval varying and apparently chosen for
harmonic considerations. In (16-18) the opening is found
once again with F-Z substituting for A. The substitution of
one motive for another which is in some way similar (the
last ascending tritone in this case) is a technique often

encountered throughout the work. Thus the composer

35

provides unity by using motives which are similar--similar
enough, in fact, to be used as substitutes for one another.

The already-mentioned repetition of the opening
(16-18) is accompanied by the chromatic side-slipping of
tritones in the two lower voices--an idea derived from the
M and N motives. The next repetition is transposed up a
fifth (18-20) and the next (20) yet another minor third up.
Although the retrograde inversion of the first three notes
of F-l gives the same pattern (up a fifth, up a minor
third), it is doubtful that Berg was conscious of such an
obscure relationship.

More noteworthy here is a second use of motive sub-
stitution. In (18) D substitutes for A in prefacing B,
whereas in (16) F-2 substituted. The contour of F-2
(down, up, up) and the rhythm (a triplet) are the essential
elements being imitated when D is used subsequently (18).
However, the intervallic structure of D is formed by a
re-ordering of the pitches of A, thus making D an appro-
priate substitute for A. Almost immediately (18) C appears
in the lower voice. This, too, is related to the
appearance of D, as it contains within it an approximate
version of D. The second, third, and fourth notes of this
motive certainly form the contour of D. Only the first

interval (M3) has been changed by a semitone (from P4 in D).

36

In (20—21) D is found ornamented with turns. C and
E,both modified appear in (22). In (23-24) M is intro-
duced to the accompaniment of F with first note shortened.
In (25-28) the bridge passage is completed, presenting
inversions of F-l, F-2. E (27-28) is found in the upper
line, with durations and intervals transformed. Only the
basic rhythm and shape make it recognizable. This shape
effects a transition to IIa rather gradually since the J
motive, which has the same contour, begins the second
theme.

The use of J and K intermixed and the absence of
other motives of the first theme area provide the con-
trasting quality of this theme. Only the first instance
of K in (30) harkens back to the first theme since it
contains the augmented triad. Altered forms of this
motive (K) serve to connect IIa to 11b in (37). Here the
last two notes of K overlap successive entries of the
same motive above.

Theme area 11b is constructed largely of L,
which in turn is related to previously used material.

It is originally introduced as a canon at the octave. The
voice which follows is exact for only a measure (38-39).
After L is stated, fragmentation and regrouping of sub-
motives provide material for the remainder of the
exposition. In (40-41) L appears minus L-3. The

omission causes a grouping of L-Z and L-4 which then can

37

be considered a new motive (L-S) which is immediately
repeated in (41-42). L-2 and L-3, then L-Z, L-3, and
L-4 occur next, each phrase thus extending the musical
thought. With (45-46) extension disappears and a con-
densation occurs with the counterpointing of L-S (above)
against a metrically displaced L-l (below). Throughout
this area, the parallelism of a modified M and N can be
identified in the accompaniment patterns (40-42) as well
as C-3 (40-42). In (49-55) an augmentation (not strict)
Of L-l serves the double function of closing theme and
transition passage both to the opening and to the
development section. This too, is subject to fragmentation.
In (53) L-lb occurs. In (54-55) L-lc, one note shorter,
occurs. Each repetition of L-lc brings it closer to A in
structure. Comparing L-lb in (53) with L-lc in (54) shows
the minor third expanding to a major third. (This change
is anticipated by the same figure in the left hand (53)
with major third.) Next (54-55) the perfect fifth con-
tracts to a tritone, and lastly the major third expands
again to a perfect fourth. Throughout this motivic
metamorphosis no rhythmic change is employed since the
rhythm of A was present in this motive (L-lb, c) as early
as (50). The accompaniment of this passage (49-55)
contains the parallel thirds of N and the parallel

sevenths (broken) of M (49-50). The broken sevenths may

38

also be construed as occurrences of L-5 on the downward
leaps of E from which L-S may have been derived. The
similarity between L-l and F should be noted, also, both
having the same general contour and some of the same
intervals. Similarly, L-3 and H are related.

In Section 1 of the development, the individual
motives begin to lose their identity even more than in the
exposition. H figures prominently here, but with the
durations shortened. The basic shape of H as used in
this section can be seen in the upper line of (57).

Motive A, too, is used in (57-60) but is distorted by
intervallic expansion and contraction as well as by the
absence of the characteristic dotted rhythm. It is found
mainly in the accompaniment. Isolated instances of L-lb
and E (both modified) can also be seen in this section:
(61-62), (63-64) for L-lb; (66) for E.

In Section 2a attention is turned to F and its
variants. These occur in the lower line in (70), (74),
and (76); in the upper line at (75). Approximations to D
can be seen in (71-72) in the upper line, and in (73) a
diminution of B occurs which becomes an accompanimental
figure throughout the remainder of Section 2.

In Section 2b, a submotive of L (L-3) is developed.
Simultaneously with this, F continues to undergo develop-
ment while fragments of the accompanimental figure derived

from B fill the space between. In several instances, F

39

takes as its beginning the rhythmic figure of this
accompaniment (81-83), (86-87). L-3 appears always as
step-wise motion downward, as originally, but whole- and
half-steps are mixed without a pattern. The final uses
of this motive in the development (90-91) create the high
point of the movement, and here all whole-steps are used.
The four-note pattern which occurs repeatedly in the
upper voice in (91-96) is related to D, F-Z,and L-4,
without approaching any of them very specifically. The
general contour of continually changing direction relates
the pattern to D and F-3. The final leap up a tritone
found in this pattern in (94-97) relates it to the same
leap in F-2,and the downward leap of a minor seventh
relates it to L-4.

The remaining Section 3 deals with J and L-l. Here
L-l is substituted for K in those places where K occurred
in the original expository statement of this theme (IIa).
In (107-108) the beginning of B appears. This is extended
in (109) to provide a bridge into the recapitulation whose
first measure, naturally, includes B.

In the treatment of motives, the recapitulation
does not differ radically from the exposition and develop-
ment sections thus far presented. The specific changes
employed in the recapitulation are as follows: Measures
Ill-115 parallel measures l-5. Measures 116-126 form an

extension using the motives A and D and their

40

transpositions. Two statements of B also occur during this
extension at (118) and (122). The motives C and L-3 are
developed at (123-126). The whole-tone passage of (127)
corresponds to that of (7) in the exposition, while the
second part of the main theme occupies (131-136). The
return statement of the first part of the main theme and
the bridge passage are entirely deleted here and the second
theme enters in (137). The first part of the theme is
abbreviated; the second, extended. Although the theme is
first transposed up a major second from its previous
expository statement, its second portion (144) stands in
the relationship of a major third to its counterpart at
(38). Measures 146-147 parallel (144-145) which hold

the basic material for this section. The interval of
transposition is alternately a major second and a major
third, intervallic structure being variable. The phrase
is then fragmented, its last half occurring in sequence

at (148-149). Measures 150-154 correspond closely to
measures 40-44 of the exposition. Sequential treatment of
the last segment of these measures follows. The quartal
harmonies of (153) are transposed up a minor third in
(155) and deve10pment of L-3 continues to and beyond the
culmination (157) of the phrase. Measures 165-168

correspond to (47-50) of the exposition.

41

The A motive is used more often in the recapitula-
tion in an imitative pattern which occurs most often in
the bass (110), (112-113), (159-160), but is found in the
upper voice at the conclusion of the movement (177). Most
of the other motives, because of extension of the material,
are also used more often in the recapitulation. H, however,
which occurred in the bridge section (now deleted) is only
hinted at in (124-126) where, lacking the anticipation
figure, it is actually L-3. At (137) a substitution is
made for J in IIa. Here the perfect fourth and tritone
appear, which are related to A and to D. The contour is like
neither of these, however, inasmuch as the general downward-
leaping character if J is preserved. From (144) to (161) L,
especially submotive L-3 dominates the upper voice while
M, N, and L-3 can be found below.

At (157—158) the lower voice contains two instances
of L-Ib with a one-note extension. These occur with the
dotted rhythm of A which follows in (159-160). The
closing theme featuring the augmentation of L-l occurs
in (167) above, then in (169) below. In (171) an approxi-
mate inversion forms the bass line. This is then frag-
mented, two occurrences of the augmentation and inversion
of L-lb appearing in (173-174). Motive A imitated in
successively higher octaves (176-177) rounds out the

concluding phrase of the movement.

42

Summary

Several conclusions can be drawn from this study.
First of all, motives are used which are related to one
another either intervallically, rhythmically, or by simi-
larity of contour. In this way, motives seem to grow out
of one another and a continuous flow is made possible.
Another effect of the similarity of motives is the widening
of potential for deve10pment through the substitution of
motives for those which are similar.

Secondly, motives are frequently fragmented into
submotives, and regrouped. The juxtaposition of sub-
motives, then regrouped, provides a means of creating
new motives.

Thirdly, motives and submotives are frequently
varied. This is dOne both by changing the specific inter-
vallic structure and by changing the rhythm. Variants are
sometimes introduced gradually by a process of motivic
metamorphosis. Augmentation and diminution are both used
in the sonata, as is inversion, but a clear case of retro-
grade could not be found.

Thus, it can be seen that Berg's treatment of
motives is highly complex and subtle, involving the con-
struction of motives by altering or fragmenting those
previously stated and also by hybridizing two or more
motives--extracting different elements from each to form

a new motive. It should be remembered, however, that the

43

composer was more than likely performing these operations
largely intuitively. On the other hand, influenced by
Schoenberg's interest in matters of motivic development,
neither could the composer have been unaware of these
usages in his own music. Stated differently, it is nearly
impossible that Berg could have written this sonata by
establishing a catalogue of motives and then charting out
their subsequent transformations and deployment throughout
the movement. Rather, the analysis given here makes use
of these devices as means of revealing the subtle, complex

workings of Berg's compositional process.

CHAPTER IV

HARMONY

The harmonic aspect of the Piano Sonata will be

 

seen to be no less complex than the melodic aspect, as

the harmonic vocabulary reflects the many historical

trends already discussed in the perspective. The remainder
of this paper is devoted to the harmonic aspect of the
sonata. The discussion progresses from the general problem
of harmonic ambiguity and a proposed solution to this
problem through the topics of dissonance treatment, chord
vocabulary, and harmonic progression to conclude with an

analysis of the sonata from the harmonic viewpoint.

Harmonic Ambiguity

 

The first problem encountered in dealing with the
subject of harmony in expressionist works of this period
is that of harmonic ambiguity. Since many works of
approximately 1890-1910 share this characteristic with
Berg's opus, attempts directed at solving the problem

specific to the Piano Sonata are very likely applicable

 

generally to other works of this style.
By harmonic ambiguity is meant that several pos-
sible analyses apply for the large majority of the

44

45

sonorities. The ambiguity is one of symbolic analysis,
but equally one of aural perception, as the two are
intimately related. Ambiguity arises primarily out of
the free use of linearly generated dissonances mentioned
previously which obscures or alters the underlying
harmony. A second type of ambiguity--that of harmonic
function-~15 caused by rapid shifts or absence of tonal
center. The two types are interrelated.

Since chord ambiguity is the result of dissonance,
chord identification is bound up with dissonance identi-
fication. The problem is one of deciding which tones
of a sonority are chord tones and which are non-chord
tones. This decision is affected by the historical
element as follows:

The acceptance of more and more dissonant sonori-
ties as harmonic entities is essentially a historical
process. Some theorists refer to this process as "legiti-
mization” of sonorities, or stated differently: disso-
nances are said to be "frozen” onto an existing chord

structure by their continual use together.11

An example of
this process is shown in the transition from the late
nineteenth century practice of using appoggiaturas
together with their resolutions in inner voices to the

early twentieth century practice of employing such

dissonances unprepared and unresolved--that is, frozen.

 

1Roger Sessions, Harmonic Practice (New York:
Harcourt, Brace and Company, Inc., 1951), p. 224.

 

46

By this historical process, what is considered a non-
chord tone in one work may be considered a chord tone in
a work written at a later date.

Now the question of what does or does not con-
stitute a chord tone within a sonority reduces to the
question of which sonorities shall be considered legiti-
mate, that is, capable of standing alone without need of
resolution. This problem could easily be solved if an
arbitrary decision were made to accept a list of sonorities
as legitimate.

Such a solution would be workable were it not for
the varied treatment given to sonorities within a single
work. The ninth chord, for example, is sometimes used with
the ninth unprepared and unresolved; in other instances the
ninth is prepared, resolved, or both. In the first case
the chord symbol would represent a ninth chord; in the
latter case the underlying seventh chord may be a possible
analysis with the ninth considered a non-chord tone. For
this reason, it is not always appropriate to choose a
list of sonorities to be considered legitimate throughout
the entire course of a work. Rather, each case must be
decided according to its own musical context.

Instead of an inflexible system of classification,
then, this paper adOpts several guiding principles in
dealing with analysis of ambiguous sonorities. These are
the principles of voice leading, harmonic implication,

and function.

47

The principle of voice leading can be stated
thus: Tones of an ambiguous sonority which move to form
an unambiguous sonority may be considered non-harmonic.
In other words, the pitches of a Sonority may be dis-
sonances which resolve later. The chord may have been
formed by voice leading which has not yet reached its
goal. Such a linearly generated sonority is non-structural,
formed in much the same way as in traditional four-part
harmony a "chord” is formed when most or all of the voices
contain passing or neighboring tones. This illustrates
the danger of construing harmony as a strictly vertical
phenomenon. Usually by tracing the paths of the indi-
vidual lines this danger is overcome. A fairly accurate
assessment of what is a chord tone and what a non-
harmonic tone in any given sonority is usually arrived
at by this method.

The principle of harmonic implication is as
follows: When one sonority implies another by virtue of
the tendency of one (sometimes several) of its tones to
resolve, it is analyzed with the chord symbol which
refers to the implied sonority. Furthermore, an indica-
tion of the non-harmonic device employed is also given.
That the phenomenon of harmonic implication is not unique
to the expressionist style can be seen in the following

example. Suppose a 4-3 suspension occurs over a root

48

position C major triad; its third is initially absent.
Further, suppose the harmony changes to the A minor chord
simultaneously with the resolution of the suspension. In
this case the C major triad is never heard, only implied.
By the principle of implication, the sonority of the
suspension chord is analyzed as C major with a non-chord
tone present, even though the pitches C, E, and G never
sound together.

The principle of function is this: In an area of
partial tonality identification of the essential chord
,structure implicit within a highly complex sonority may
be possible on the basis of its harmonic function. That
is, a sonority taken together with those preceding and
following it may form a modified version of a traditional

O6-V-i or G6-V7-I. When

harmonic progression such as ii
the sonority cannot in any way be interpreted as func-
tional, this principle, naturally, cannot be used as a
guide to chord analysis.

It must be confessed that these principles, while
they may be based on reasonable assumptions, are never-
theless arbitrary and do not guarantee a unique analysis
for every possible sonority. A system which could make
such a guarantee, however, would very likely misrepresent

the musical style by imposing upon it more order than is

actually present.

49

Treatment of Dissonance

 

Guided by the principles given above, chord
analysis becomes somewhat easier. Chord tones are
analyzed together by providing a chord symbol which
identifies the sonority they form. What remains is to
examine the treatment of non-chord tones. Since these
invariably form a dissonance of a second, seventh, ninth,
or tritone with some chord tone (not necessarily the bass),
the term ”dissonance" will be used interchangeably with
the term ”non-chord tone.“ It is useful to note some of
the various ways in which dissonances are treated in Berg's
work. In an effort to focus on these differences, an
expanded concept of resolution is necessary.

Under the traditional definition of resolution,

many of the dissonances encountered in the Piano Sonata

 

would be considered unresolved. These dissonances are
subject to varying treatments, however, and it would be
misrepresentative to group them all into the ”unresolved"
category. For this reason, the four most frequently
observed dissonance-resolution patterns are described
below:

1. Normal resolution. The dissonance and its

 

resolution occur in the same voice over the same chord
and without intervening tones.

2. Displaced resolution. The resolution occurs

 

in a different voice, or in a different octave, or both.

50

3. Simultaneous resolution. The dissonance and

 

its resolution sound together in different voices. The
dissonance can either drop out or resolve in its own
voice. If it does neither, the sonority can also be
called an added note chord or a frozen note chord.

4. Dissonant resolution. This device occurs with

 

a chord change. It is a resolution which would have been
a chord tone of the previous sonority but which is non-
harmonic in the new chord, thus necessitating further
resolution.

All dissonances which neither fall into one of the
previously defined categories nor can be interpreted as
some conbination of them are classed as ”unresolved” or
"free" dissonances.

As an illustration of these categories, several

examples from Berg's Piano Sonata can be given. In (37),

 

for example, the dissonances resolve normally. The
harmonic progression may be analyzed as g#7, E9 without
the third, and e7. The upper voice contains three
appoggiaturas: A#, C#, F#. The bass contains an
appoggiatura (G) and two accented passing tones (F, Eb).
The “tenor” has two neighboring tones (A#, C#). All of
these resolve normally. However, it can be noted that
the large number of non-chord tones and the use of the
third inversion of the seventh chords to which they

resolve creates a high degree of tension.

51

An illustration of displaced resolution can be
found in (148) in the third beat. Here the harmony is
a07 without the third. The soprano D clashing with the
sounding Eb is clearly a non-chord tone. A logical
resolution (in the traditional sense) could be up a minor
second to Eb. Instead, the line leaps down a major
seventh; the resolution is displaced. Since the resolu-
tion is already sounding together with the dissonance,
this particular construction also illustrates simultaneous
resolution. Another example of simultaneous resolution
can be found in (33). The first beat of this measure
contains the non-harmonic A# over the E minor harmony.
Since the fifth of the E minor triad (B) is present in
the sonority, the construction can be thought of as
simultaneous resolution.

While (166-167) can be thought of as a succession
of whole-tone sonorities, it can also be seen as a
succession of dissonant resolutions. Collapsing the
rhythm and respelling gives Figure 23. This may be
considered the alternation of F7 and F#7. The C# which
occurs with F7 resolves properly to C but simultaneously
the harmony changes to FT7 making the resolution dissonant.
Now the C must resolve to C# which it does, but again the

harmony changes back. It is as if the dissonant tones and

the underlying harmony were each trying to accommodate

52

 

Figure 23.--Scheme of mm. 166-167.

the other but working at cross purposes and always failing.
Viewed in this way, the process exemplifies dissonant
resolution.

It can be seen from the examples just discussed
that this terminology facilitates analysis of non-chord
tones by providing ”shorthand” names for concepts which
would otherwise have to be explained in full every time
it became necessary to call attention to the particular
way a non-chord tone is treated. For instance, instead
of saying that a sonority contains an unresolved dissonance
which tends to resolve to a tone already present in the
sonority, one may simply speak of a "simultaneous resolu-
tion.” The additional terminology does not replace
standard definitions, nor is it intended to do so. Rather,
it merely extends the traditional conceptual framework to
provide an alternative way of viewing the process of non-

chord tone resolution.

53

Isolated Sonorities

 

In spite of the difficulties encountered in
determining the constitution of isolated sonorities
because of the prevalence of non-harmonic devices in
combination with high tension sonorities, it is neverthe-
less possible to discern various chord preferences the
composer has.

The first of these is for the augmented triad.

It will be remembered that this preference was also found
in the realm of melody. This sonority is one of the most
frequently used in the entire work. It appears alone,
with added tones, especially in the same whole-tone scale,
and imbedded in other frequently occurring sonorities.

The latter include augmented eleventh chords (major-minor
seventh chord with major ninth and augmented eleventh)
where the upper three tones form the augmented triad and
the dominant seventh with raised fifth. Typical uses
occur in the third beat of (8), in the second beat of (17),
and in the second beat of (49).

Other frequently found sonorities can be classified
with the augmented triad in that they are also whole-tone
constructions. The dominant seventh with raised fifth
has been mentioned already. The same chord with fifth
lowered forms the whole-tone chord, the French sixth.

This occurs in the first beats of (2), (12), (60), and

54

(66). The dominant ninth without its fifth also forms a
whole-tone sonority but this is less frequently used.

(See the third beat of (60). The B is a chromatic passing
tone.)

More frequent are other forms of the dominant
ninth: complete as in the first beat of (29) and the
first beat of (42), and without the third as in the third
beat of (12) and in the second beat of (37). (F, A#, C#
are non-harmonic here.) A ninth chord built on a minor
triad and minus the seventh appears briefly in the first
beat of (64). Ninth chords of any type are rarely used
without the seventh.

The most frequently occurring non-whole-tone chord
is the diminished-minor seventh chord. This can be seen
in the second beat of (2), the first beat of (19), the
third beat of (31), the first beat of (44), the first beats

of (88-89), and in numerous other locations. This is the

first sonority of the ”Prelude” to Tristan und Isolde--

 

a chord which can be said to have infatuated a whole genera-
tion of composers (see Figure 24 at the asterisk).

The major-minor seventh chord occurs nearly as
frequently as the diminished-minor chord. It is used in a
variety of ways: in various inversions, with different
types of non-harmonic tones or added tones, and in varying
harmonic contexts--as dominant seventh (rare), as a

German sixth, or in a series moving downward by half-

55

Langsam und schmachtend

 

Figure 24.--Wagner, ”Prelude" to Tristan und Isolde,
mm. 1-3.

 

steps. Examples can easily be found. Some of the more
interesting uses occur at the third beat of (18) where

the seventh is approached by half-step below and the

third spelled as a diminished fourth, at the second beat
of (38) where numerous non-harmonic tones almost obscure
the underlying chord, and at the first and second beats

of (104) with a double appoggiatura (D, A). (The last
example may be considered a thirteenth chord but the
immediate resolution is the factor stressed here in naming
it an appoggiatura figure.)

Less frequent are the minor seventh chord, the
major seventh chord, and the diminished seventh chord.
These can be found at the second beat of (l), the second
beat of (12), and the third beat of (14), respectively.
Examples of major and minor triads are slightly more

numerous than these types of seventh chords, but are

56

outnumbered by augmented triads, dominant seventh and
ninth chords and diminished-minor seventh chords.
Diminished triads could not be found.

The sonorities mentioned thus far are dispersed
fairly equally throughout the movement. Quartal sonorities,
in contrast, are found concentrated in several areas. In
(26-27) they underlie the melodic lines; in (43) they are
used in parallel motion to thicken the upper line. They
occur again in (57-59) and (153-155). These occurrences
all feature chords in perfect fourths.

A summary chart for the relative frequencies of
various sonorities is given in Table 3. Sonorities which
were least ambiguous were chosen to be included in the
table; even some of these are subject to various inter-
pretations. Although it is of limited value for these
reasons, the table does reveal the composer's general

tendencies with regard to chord choice.

Chord Progression

 

Having now examined the chord vocabulary of the

Piano Sonata, the most logical question left unanswered

 

concerns chord progression. The study of how chords move
from one to another brings the discussion to the problem
of harmonic function and the related problem of tonality

versus atonality.

57

TABLE 3.--Frequencies of Isolated Sonorities Occurring in

Piano Sonata, Op. 1 by Berg.

 

 

 

 

Tertian
Quartal
Whole-Tone Non-Whole Tone
Diminished-minor
seventh chords 28
Major-minor
seventh chords 26
Augmented triads
with and without
an added tone 21
Ninth chords l8
Augmented-minor Peggiigl
seventh chords 17 q
chords 17
Minor triads 12
French sixth
chords 11
Major triads 10
Eleventh and
thirteenth
chords 5
Other types of Other types of
whole-tone seventh chords 15
sonorities 13
TOTALS 62 114 17

 

58

As already mentioned, the dominant-tonic relation
is important in establishing tonality in harmonically-
based music. In comparison to the total number of pro-
gressions in the Sonata, the dominant-tonic progression
is rather infrequent. It can be seen most clearly in
(2-3).

The same progression is found elsewhere throughout
the work but in modified versions. Since these retain
many characteristics of the V-I progression and are thus
recognizable as modifications of this formula, they can
be thought of as ”harmonic allusions” to the simpler
"prototype.” The allusion is sometimes so obvious that
it may seem counterproductive to conceive it as such. But
as the modifications become more complex and progressions
other than V-I are introduced, the value of extracting
the underlying harmonic formulae, called here prototypes,
will become apparent.

Several different types of progression may be
traced to the V-I prototype. The quality of one or both
components may be altered; tones may be added to either
chord; dissonant devices may obscure the progression; or
non-essential chords may intervene. Moreover, any com-
bination of these modifications can occur together. For
example, in (8-9) E and A form the bass. The off-the-
beat entries and the extreme separation of spacing is

almost enough alone to suggest V-I. On the third beats

59

Of (8) and (9), respectively, the augmented triads on E
and A are formed. The intervening material is entirely
chromatic voice leading also forming augmented triads,
but only on the third beat of (9) does any of these tones
coincide with the bass A. Though one may argue at length
whether the A+ chord is heard as a tonic (especially in
the light of developments which follow in the next
measures), yet it is easy to see that the progression
alludes to V-I. (Indeed, it may be that brevity--a
certain "fleetingness" of the aural impression--is the
essential element of harmonic allusion.)

At (28-29) another illustration of a modified V-I
can be shown. Here the dominant augmented-minor seventh
chord progresses to a tonic ninth. The tonic ninth on
A can, of course, be construed as ”pointing" yet farther
in the circle of fifths to D. In fact, an augmented
triad on D does appear briefly over the pedal A, but the
entire phrase is structured around the pitch A. This
phenomenon just described-~continual harmonic pointings
to keys more and more removed, often failing to satisfy
the expectation aroused--is practically the cornerstone
of the style. At any rate, the frequent use of this
technique as found in this work goes a long way in

explaining the restless urgency of the music.

60

While the use of V-I and allusions to it create
the most strongly tonal areas (even though brief), other
prototypes of a functional nature are alluded to during
the course of the movement. These are the deceptive type
(V-vi) and the dominant preparation types (IV-V, ii-V,
or AUGé-V). The modified plagal cadence (IV-I) is also
sometimes found. Root progression by thirds is frequent
but rarely functional enough to assign a prototype such
as I-vi. (An exception can be found in (39) where a
definite ié-VI is felt in Bb minor.)

Illustrations of the modified deceptive cadence
can be found at (18-19) where the progression in B minor
is V7-viO7 and twice at (160-162) where the progression
in G minor is V+ --(1, iv passing briefly)--VI-V(7)-VI.
The dominant preparation type is seen in (2), second and
third beats, where the progression in B minor is '
Og—V9_8. On the fourth eighth note of (2), the soprano

effects a brief change to viid7. This tone (C#) may also

iv

be called an anticipation in this context. In either
analysis the dominant preparation prototype holds, as
viid7 is also dominant harmony.

From the third beat of (80) through the second
of (81) the prototype IV-Gé-V is alluded to. Here the
actual progression is in Eb: IVE-Gé-Vg. The underlying

scheme is motivated by chromatic voice leading as shown

in Figure 25.

61

ND

   

 

{

Figure 25.--Scheme of mm. 80-81.

The brief impression of a plagal cadence is given
at (175) where the seventh and ninth of the previous
dominant chord (E, G) are held over in the form of a
double suspension before continuing to the tonic chord.

The harmonic progressions illustrated here are
virtually the only types which are clearly recognizable
in context as belonging to or pointing to a specific key.
Because the allusions to tonality are sometimes brief and
occur in a fairly atonal context, however, it is a moot
question whether these progressions can be called functional.
As with the concept of resolution of dissonance, it is
necessary to extend the definition of functional pro-
gressions to include these brief harmonic pointings.
Otherwise, these areas which are briefly suggestive of a
certain tonality must be seen as ”out of place" in atonal
areas. Perhaps a good term would be ”quasi-functional.”
This helps to illustrate the gradual continuum between the

completely tonal and the completely atonal, and the

62

continual subtle shifting between the two which occurs
throughout the sonata.

It should be pointed out here that the atonality
found in this work depends not so much on dissonant chord
structures as on the absence of functional root movement.
A comparison of the sonorities of this work with those of

Schoenberg's Three Piano Pieces, Op. 11, written a few

 

years later, reveals the historical trend toward atonality
in which not only root movement is non-functional, but
isolated sonorities are more dissonant.

The concept of ”quasi-functionality” can be
appealed to in describing two other types of harmonic

usage encountered in the Piano Sonata. The first of these

 

involves the oblique motion found in passages leading to
a climactic point. In such passages the upper voice
continually returns to a high tone (in comparison with
neighboring melodic tones) while the bass--and sometimes
the inner voices--moves by step. By providing a con-
tinually changing harmonic context for the repeated high
note, the motion below creates the illusion of functional
harmonic progression. In (41-43), for example, the scheme
is as shown in Figure 26.

Interpreted as a minor ninth chord followed by a
major ninth chord and a quartal chord, the illusion of

functionality is strengthened by the progression from

63

strong to moderate dissonance. The chromatic root move—
ment precludes true functionality, however. An example
of the oblique-motion treatment with the bass moving

upward is found at (84-86) where the scheme is as shown

in Figure 27.

 

Figure 26.--Scheme of mm. 41-43.

 

Figure 27.--Scheme of mm. 84-86.

This can be considered a modified iv-viid7/V-V
progression in D minor but key confirmation does not occur.
Here again the last chord of the sequence is of more

neutral effect (a whole-tone chord) than the more highly

64

colored sonorities which precede it. Movement toward
consonance (less dissonance) seems to be the rule in

such passages. Similar passages occur at (89-91),

(92-94) and (157-159). All of these instances of oblique-
motion treatment occur near climactic points and there-
fore serve a formal function in that they are used only

in a certain context dependent upon considerations of the
formal structure of the movement.

Likewise, the use of passages constructed from
whole-tone scales, while harmonically non-functional,
serves a formal function--namely, that of connection or
linkage. These serve in a similar capacity as introduc-
tions or endings to certain theme areas. In (7) whole-
tone chords lead into the repetition of the opening theme.
At (68-70) whole-tone scales appear to close the first
section of the development, whereas in (78) they intro-
duce section 2b. Similar use of whole-tone scale
sonorities are found in Schoenberg's works, notably the

String Quartet, Op. 7. Figure 21 (given in Chapter III)

 

shows the passage that immediately precedes the restate-
ment of the main theme of this quartet.

The placement of certain sonorities or voice
leading patterns only in specific formal areas, called
here ”formal functionality,” has its prototype in the

cadential action of the common practice period. Certain

65

types of harmonic progression--certain formulae--were
reserved for the pointing Out of formal divisions:

Ig-V—I, IV-I, and so on. Although true harmonic function-
ality is lacking in Berg's work, vestigial traces of
formal function such as just described remain.

Not restricted to any formal function is the ever-
present parallelism found in this work. Its prototype is
the progression of German sixth to dominant seventh or from
Neopolitan sixth to second inversion tonic, since these
exhibit the chromatic side-slipping so prevalent in the
sonata. As used here, however, the progressions are com-
pletely non-functional, and do not always involve tertian
sonorities. Measure 26 exhibits parallelism of quartal
chords, for example.

In the common practice period, a fairly consistent
system of root relations motivated the majority of har-
monic progressions, but with functional root movement the
exception rather than the rule in this work, it is
important to determine what other forces or conditions
motivate choice of chord progression. Contrapuntal
generation of harmony has already been mentioned briefly.
To a certain degree, this does apply, but the frequent
intervallic distortions of the motives used contrapuntally
show that the composer must have considered the resulting

harmonies as important as the linear aspect. In some

cases he may have considered the harmonic aspect more

66

important since he was willing to change the intervallic
structure of motives to create the desired sonority.

Probably the prime motivation underlying choice of
harmonic progressions is the desire for rich, highly
chromatic sounds. Applied to isolated sonorities, this
OXplains the prevalence of a wide variety of chord struc-
tures and the great number and variety of non-harmonic
devices. Applied to the problem at hand--that of chord
progression--it explains the prevalence of chromatic
voice leading. Virtually every voice not engaged in
melodic or contrapuntal activity is moving chromatically
throughout the movement. To a great extent, then,
harmonic progression is determined by chromatically moving
voices. From the third beat of (16) to the first of (18),
for example, the upper line has the melody, while the next
lower voice has B—Bb-B-A—G#, the next G-Ab-G-F#-F, the
next (bass) C#-D-C#—C-B. Only B-A in the alto is a non-
half-step movement. Except for an occasional leap of a
third or a less frequent leap of a fifth, the bass line
concerns itself mostly with a half-step movement.

In section 1 of the development, this trend can be
seen most clearly as the bass does not partake in much
contrapuntal elaboration of the main motives here.
Starting in (57) the bass descends by half-steps from G
to D in (59). On the first beat of (60) the pattern is

briefly broken while the bass imitates the triplet pattern

67

which appeared in the soprano one heat earlier. Then the
pattern is resumed with C#. The pattern is broken when
C moves to F; again when G moves to E in (62), but the
remainder of the section to (68) consists only of half-step
bass movement.

A study of areas in which the bass is not used in
a melodic way reveals that instances of movement by half-
step outnumber all other types of bass movement combined.
Movement by whole-step is far less frequent and only
slightly more frequent than movement by fourth or fifth.
Bass movement of thirds and sixths is not at all frequent
and tritones are not used in the bass except melodically
as at (112-113). For detailed tabulation, see Appendix C.
A cursory inspection of the inner voices reveals the same
preference for chromatic movement.

The Piano Sonata exhibits features Of both tonality

 

and atonality. The dominant-tonic relation is occasionally
present but usually modified,as are weaker progressions

such as V-vi and ii-V. Certain quasi-functional usages

are also found,such as the oblique-motion treatment at
points of high tension and the whole-tone scale usages

at formal connecting points. Harmonic progression hsnotcndy
motivated by linear considerations such as contrapuntal
treatment, but also by a preference for chromatic voice

leading.

68

Description of the Sonata from the
Harmonic’Viewpoint

 

 

The previous discussion of the highlights of the
style of this work should help in the following description
of the sonata from the harmonic viewpoint.

The opening phrase clearly indicates the B minor
tonality by the V-i progression which ends it in (2-3).
Only in the final measures of this work is the tonal element
stronger. The French sixth chord on E or A# which begins
(2) and changes to a diminished-minor seventh chord on E
or A# forms a dominant preparation. With E considered the
root of the French sixth, the chord becomes a modified sub-
dominant. If A# is considered the root of the following
chord, the sonority is a leading tone chord. While the
chord structures change quickly, the dominant preparation
function remains a common element to both.

The opening chord, too, can be seen as a dominant
preparation as it is the iiO7 with an unresolved appoggia-
tura a fourth (plus an octave) above the baSs. This tone
would normally resolve down a major second as it does
later at (22) third beat, but here it resolves upward
by a minor second, thus omitting the third of the chord.

The two remaining chords of the first measure can
be seen as passing from the dominant preparation of the
first chord to that of the fourth by chromatic voice

leading. Both are chiefly harmony as color rather than

69

+
as structure, although the B 7 on the third beat also
serves as quasi-dominant to the E—French sixth which
follows. The whole phrase, then can be viewed as a

ii07-viid7-V-i formula, as shown in Figure 28.

 

ii°7 viid7 v i

Figure 28.--Scheme of mm. 0-3.

The following measures until (8) are largely non-
functional harmonically. Whole-tone constructions pre-
dominate moving chromatically. Eb is fleetingly tonicized
at the beginning of (5) where the Eb minor triad is
sounded on the strong beat. The chromatic approach and
the parallelism are striking here. The effect is
immediately contradicted by the next chord over B, whose
dissonance balances the comparative consonance of the Eb-
minor triad. The chord is a B7 with split third and with
the fifth entering late in the bass. If it can be assumed

that the ear continues to perceive the upper Eb and A into

the third beat of this measure (5), the chord formed there

70

is F+7 and the B chord can be seen retrospectively as the

result of simultaneous dissonances leading to the F chord.
The lower two voices state motives C-1 and D here, too,
and thus the sonority on the second beat of (5) can be
construed as an instance of a contrapuntally generated
sonority.

Though non-functional harmonically, the passage
(3—7) serves the formal function of restating in contracted
form the material of the first phrase, then linking to a
repetition of the first measure in a darker register and
at a higher dynamic level.

The melody is reharmonized here (8) and is trans-
posed a major seventh down. The reharmonization which.raaflts
from the use of parallel major thirds moving chromatically
points to the key of A major: The first chord is a whole-
tone chord belonging more appropriately with the link-
passage it concludes. On the second and third beats of
(8) A: and E+ are heard over the bass tone E. This bass
moves to A for two measures, while non-functional augmented
triads move chromatically above. The progression Ai-E+
followed by A in the bass can be thought of as an allusion
to A major in spite of the non-functional treatment in the
upper voices of (9). In (10-11) the implication of move-
ment around the circle of fifths continues as the pedal A
moves to D in (11). At the same point the D7 chord is

heard, which in turn implies G. Specifically, G minor is

71

pointed to by the a07 which occurs at (10) during the
first beat. (The Eb is enharmonically spelled D#.) This
measure together with the D7 which follows can be seen as
an elaboration of iiO7-V7 in G minor. Pointing to a key
does not establish it, however, and D major with both
lowered seventh pointing forward to G and raised fourth
pointing backward to A is the unusual scale material used
during measure 11. The key established here is therefore
a modified D major. (It must be remembered that the
concept of "establishment of a key” is expanded somewhat
in making this statement.) This measure (11), marked
"Rascher als Tempo 1," opens the second part of the

first theme.

The 07 in (11) expands by means of a broken chord
figure into an augmented eleventh chord. The upper voice
in (ll-12) is imitated at a distance of two beats and an
octave and a minor seventh below. The remaining tones are
chosen to form as many major thirds and whole-tone struc-
tures as possible, given the strict imitation of the outer
voices. The dominant ninth on C in (12), third beat and
the bass movement down a fifth tends to point harmonically
to F major, but the upper voices (13) contradict this
tendency. The phrase ends on a whole tone chord on D#.

Minus one voice, the chord is transposed up a semi-
tone to begin the subsequent phrase. Here it is recog-

nizable as E+7 which goes to A7 in (14). This in turn

72

expands to A11 as with D7 in (11). The emphasis on A may
be considered an allusion to the dominant in the key of D,
which is weakly suggested throughout this area (ll-l6).

Tempo I resumes in (16) with a restatement of the
opening theme an octave lower than at first and again
reharmonized. The end of (18) reveals the dominant
seventh in B minor resolving deceptively in (19) to viO7.
Thus, after some fleeting references to the relative
major (D) the suggestion of B minor returns momentarily.
In (19-20) the opening occurs a fifth higher as the bridge
to the second theme (19-28) is begun.

Tonality is largely suspended during the bridge
passage, contrapuntal technique dominating this area.
Certain weak allusions to key centers are present here,
however. Bb minor, for example, is suggested briefly in
(20) by the use of Eb-F-A--the dominant seventh without
its fifth--going to Bb-Db, the tonic (fourth eighth note).
This progresses to the vi6 chord partially enharmonically

spelled which can be seen retrospectively as a iv6 in Db

b7 (V7 in Db) which follows. Ab7 occurs

because of the A
with an appoggiatura D resolving to its third, its fifth
entering late in the bass, and an enharmonically spelled
seventh (F# for Oh).

Although the key of Db is pointed to, it is never
firmly established. In (22) a quartal chord on E, French

sixth chord on Db,and a diminished—minor seventh chord on

73

C (with appoggiatura F) are found--a non-functional
progression with roots descending chromatically. Follow-
ing this, in (23-26) F# minor is alluded to. If the A#

in the Air+ chord over the bass B in (23) is viewed as an
appoggiatura whose resolution G# is delayed, the sonority
implied is i136 in F# minor. In (24) the appoggiatura-
suspension G# follows in similar pattern pointing out the
i chord in F# minor. The progression is deceptive, however,
as it is the VI in F# minor which actually occurs on the
third beat of (24). In (25) the B minor triad is implied.
The inclusion of E for D here gives the effect of a 4-3
suspension though technically the approach and departure
make this an accented passing tone. The resolution is
delayed while the tones F#, A# (Bb), and C# intervene.

The B minor triad here can be considered iv in F# minor
progressing from the previous VI, or, in view of the broken
F# major triad which is sounded before the third of this
triad enters, as i in B minor. A passage dominated by
quartal sonorities (26-28) completes the bridge. These
move chromatically downward. The outer voices of a
perfect quartal triad form a minor seventh, and thus the
motive of the chromatically side-slipping minor seventh

is fOund within this succession of quartal chords. The
middle tone is omitted on the last of the series in (28)

to form with the upper voices E+7 which progresses

74

directly into A9, the first chord of the second theme.
This immediately establishes A as the key of the second
theme as well as pointing in typical fashion to a key
farther along in the circle of fifths (D). It will be
remembered that this procedure has been encountered
already in (11). THKBA major chord is the dominant of the
relative major of the key of the first theme (B minor).
Although the key relationship is once more removed than
could be expected for a work of the previous century, it
is quite ordinary for its time and can be considered to
be only a slight modification of the tonic-dominant rela-
tion of first and second themes of a sonata movement. In
the recapitulation, the theme is appropriately transposed
to B major.

The first part of the second theme extends from
(29) to (37). Augmented triads on D and A appear in the
first two measures of this wide ranging melody over a
sustained tone A. The A7 chord in third inversion occurs
in (31) and the next phrase suggests E minor since (32)
contains the outline of B9 followed in (33) by the E minor
triad with the added non-harmonic tone A# which resolves
both simultaneously and nOrmally to B during the same
measure.

In the first beat of (34) is an eleventh chord on

C, thelowered sixth scale degree of E minor. The third

75

Of this eleventh chord (E) is absent. The second beat
of (34) can be considered a leading tone seventh chord
(a minor—major seventh chord); the last beat is B7. In
this interpretation, the harmonic scheme of (34) is a

0-V7. As the third inversion A7 led to B9

modified Gé-vii
in (31), so now in (35-36) does a third inversion e7 lead
to F#9--but with an important difference: Whereas the
phrase was allowed to ”play out" in the former case,
allowing the root B of the B9 chord to enter late in the
measure, in the latter case the phrase continues with more
rhythmic energy, squelching an attempt to introduce the
root F” later in the measure. Thus no true F15}9 exists

#07 which suggests, by its identical

#9

there but rather a
voice leading pattern with the previous passage, F
Because the second occurrence of this particular voice
leading is rhythmically condensed from two measures to
two beats, the listener may not immediately hear the
parallel structure of the two phrase endings. Yet it
cannot be ignored, especially in view of the fact that
the second occurrence is transposed a fifth up, showing a
vestige of tonal practice.

The phrase continues with a change to the G# minor
triad. Tonality is almost completely suspended here as a
flourish of broken chords jpreceded hw'appoggiaturas (37)

introduces the impassioned second part of the subsidiary

76

theme. Harmonies change quickly and non-functionally here,
simultaneously with highly chromatic lines and many non-
harmonic tones.

As the second part of the second theme begins, there
is a reference to the foreign key of Bb minor (37-38). The
dominant seventh F7 is suggested through a forest of non-
harmonic tones in the second and third beats of (38). On
beat two the entire major-minor seventh chord on F is
present--plus the non-harmonic E which resolves to F on
the half beat. In the upper voice the sextolet contains
the non-harmonic tones F# and E. Considering the normal
stress pattern for this figure in simple time, neither of
these non-chord tones occurs in a metrically strong
position. It should be noted also that each of these tones
is immediately resolved, albeit abnormally: The F# is
immediately followed by F in the tenor; the E (of the
sextolet) is immediately followed in the same voice by
Eb--a chord tone--thus acting as an unaccented appoggiatura.
These factors account for the F7 interpretation given here.

The memory of this harmony lasts through the
measure even though the fifth drops out. The imitation
of the sextolet an octave lower also implies that the same
harmony is continuing. Against this, in the third beat
Db and Gb occur. The Db resolves on the half beat to the

chord tone C, making Db an appoggiatura. The Gb resolves

77

,to F in the next measure (39), but on a change of harmony
b . . . . . . . .
to B minor in f1rst inver51on--g1V1ng the progreSSIOn

V7-16. The second beat of (39) gives VI in Bb minor; the

third beat, V7-IV. Another interpretation is that the
second beat forms a pivot chord--a Neopolitan sixth in F
minor. This is followed by V and in (40) by the implica-
tion of i6 in F minor. The last mentioned chord is not
actually present, however, as the progression is deceptive:
When the dissonances resolve, Ab7 is found to be the chord
substituted for F minor.

The following five measures (40-44) develop this
part of the theme through fragmentation of the phrase
first presented in (37-39). An allusion to Bb occurs in
(41) where a modified V7-I in that key is found. Beginning
in (40) the accompaniment consists of a series of chro-
matically side-slipping seventh chords, sometimes modified
by suspending the seventh while the root and third first
move down a semitone. The series moves from Ab7 to E7
(actually E9) with the third G# (spelled Ab) now suspended
while root and seventh move down a semitone to form a
quartal sonority on Eb in (43). At the same time quartal
harmony appears in the upper parts moving in a parallel
fashion. Tertian harmony resumes with the c#07 chord

which begins (44), but a six-tone quartal sonority (all

#
perfect fourths on C ) returns to complete the measure

78

and a four-tone quartal chord on E begins the next
measure (45).

Measure 45 and its repetition an octave lower in
(46) brings the tonal reference to B minor back again with
a modified iv-V progression. The sextolet in the lower
voice is formed by a metrical displacement of the sextolet
in (38) which began the second part of this theme. The
implication of a Phrygian cadence in the outer voicemis

as shown in Figure 29.
\\___,_a»-—~”r"'

 

Figure 29.--Scheme of m. 45.

In figure 30 the scheme differs slightly, as it
shows the soprano G becoming a suspension. The final
beats of (45-46) are harmonized F#7 with no non-chord
tones present. The absence of B in the first chord here
modifies the description iv-V7. However, the effect is
similar, despite the quartal-sonority substitution for iv.
As for the numerous tones which seem to be left unexplained,

note that during the dominant-preparation part of this

79

 

Figure 30.--Alternate scheme of m. 45.

progression (i.e., the first two beats) neither A# nor
C#--the tones crucial to the dominant feeling--are sounded,
as they would ”spoil” the progression through anticipation,
whereas fully eight of the ten remaining semitones do
appear. (G# and B are the only pitches not represented

in this measure.) Almost everything that is not part of
the dominant is followed by a clear dominant seventh;

the feeling of ”dominant preparation-ness” is inescapable,
especially in connection with the strong voice leading in
the outer voices.

The next measure (47) finds the voices interchanged,
the sextolet (now delayed a beat) in the upper voice.
Whole-tone sonorities can be found here and through the
closing theme beginning in (49). A brief French sixth
(sixteenth-note duration) ends (47) and in (48-49) the

7 and F#-Fr6.

+
harmony alternates between F
The closing theme, an augmentation, though not

strict, of the sextolet of (45) is accompanied by

80

chromatically side-slipping augmented dominant seventh
chords. These are replaced in (51) by major thirds
sliding downward chromatically. At the same pOint
reference to the motive which opened the sonata occurs in
the bass. The motivic considerations of the closing
passage have already been discussed in Chapter III. It
only remains to point out that some rare instances of
major triads occur in (53). Also, in (54-55) a sense of
urgency is created by the use of the hemiola formula.

The use of tonal references in the development
(56-110) is, as mentioned previously, less frequent than
elsewhere in this opus. The use of augmented triads and
related whole-tone sonorities, of quartal sonorities, and
of chromatic side-slippings all serve to obscure the
tonality. As seems to be the case in most of the
suspended-tonality areas in this work, contrapuntal
'interest becomes the motivating and cohesive force of
composition.

Near the beginning of the development (57), the
left hand part consists of the broken chords e6, Gb, d6,
E quartal, Eb quartal--the bass line moving downward
chromatically. In. the second and third beats of (60),
the harmonic implication is C#7, C7. The C7 chord on
the third beat is intensified by use of the accented

chromatic passing tone B and the ninth of the chord enters

last in the measure. Since the fifth of this brief ninth

81

chord is omitted, the result is a whole-tone sonority. In
the next measure (61) the F7 chord appears also with the

B passing dissonance. The tonal reference of Cg-F7 is

then repeated in G minor with D6-g7 being the next two
harmonies. Measures 62-68 can be seen to have a chro-
matically descending bass line. The descent here changes
to whole-tone movement at the end of this section (69).
Above this bass a limited number of chord types occur--
diminished-minor seventh chords, French sixths and related
whole-tone chords. This passage, lacking a harmonic goal,
depends upon the diverging outer voices, the fragmentations
of the motive, the increasing density of the texture in

the resonant middle range, and the marking "accel. e cresc.”
to propel it toward its goal in (67). It is interesting

to note that the climactic chord occurs when the chromatic
bass line reaches F#--the dominant tone of the sonata. A
rapid tapering off concludes the section. The last

measure (69) is constructed from the whole-tone scale on
C--the upper line being four consecutive whole-tones--the
opening motive of this section.

The second part of the development section begins
with part two of the main theme-~the broken diminished-
minor seventh chord with a major ninth on F# in (70). In
(71-72) is a tenuous allusion to Ab major. The highest

pitch of the bass in (71) is Eb and this is approached

82

from the raised fourth D. The continuation of the line

leads to the lowest pitch found in (71-73)--Ab. The

extremities of the bass line give Eb-Ab. Note also that
the sounding of Ab on the third beat of (71) completes the
Ab major triad, the Eb and C of which have already been
sounding through the second beat.

Similar reasoning in the next measure (72) reveals
the important, structural tones in the bass to be Eb-Ab-Db.
The triplet on the second beat rises (so-la-ti-do)
to Db and Ab is present in the upper voice. By the time F
enters (last pitch of the bass line), A has intervened to
prevent a true major tonic on Db. Continuing to move in
fifths, the next key in this series should be Gb. This is,
in fact, the implication in (73). The bass tone Db is
carried throughout the measure to create on the third beat
the augmented dominant seventh of Gb. The half beat brings
in Eb making the chord a dominant ninth with a raised
fifth--a whole—tone chord, incidentally. The dominant
function arouses the expectation of a tonic but the
satisfaction of this expectation does not arrive: The
resolution of the Eb to Db is delayed and even then occurs
with the dominant triad Db again. Similarly, the Db
drops down but misses the mark by a semitone--dropping to

G, which also leaves the expectation unconfirmed. The

last beat of (74) and the first of (75) proceed with a

83

modified half cadence in Ab. The prototype here is
IV-IZ-V7. The modifications include IV+ substituted
for IV, added raised fifth scale degree (E) to clash with

the bass (Eb) of the I6 and the whole-tone V9 (omitted

4,
fifth) substituting for V7

The two motives treated simultaneously in this
section interchange voices throughout (74-76). The Db
augmented triad dominates this passage which concludes
this section with a French sixth chord on B, second beat
of (77), followed by the already-encountered so-fa-do
figure in the bass (77), A major.

Although this completes the phrase, the musical
thought flows continuously into the next section. A
continual accelerando e crescendo, similarity of chord
types, and treatment of the same thematic material serve
to weld the sections together. However, it can be called
a separate section because the material which continues
to be developed is treated differently. Moreover,
this is the first area of the development in which material
from the secondary theme is treated extensively.

The section (2b) is vague harmonically, not only
in its lack of tonal reference but also with respect to
the individual harmonies. The whole area is contra-

puntally conceived and implications of vertical sonorities

are at best fleeting.

84

The first measure (78) of this section is con-
structed entirely of the whole-tone scale on C. The
intimation of G minor pervades the next two measures.
Perhaps some would find G minor—major and E diminished-
minor seventh chords more suitable explanations for (79)
and (80), respectively. An equally suitable analysis would
find the contrapuntal element most important with the only
harmonic consideration being to de-emphasize occurrences
of simple triadic sonorities and dominant seventh chords
and to emphasize more strongly advanced tertian sonorities
and whole-tone constructions.

The progression in (80-81) has already been
mentioned as pointing to Eb: Ab7-B7-Bb9. This allusion
is brief, however, giving way to the B major chord in
(82) with appoggiatura C. In (82-83) the following

sonorities (not tonalities) are fleetingly implied: Db,

C, ab, f#, D7, and D+. The juxtaposition of D7 and D+
and g07 in (84) can be construed as quasi-functional
because of the root movement.

The harmonies become clearer in (84) and the
harmonic rhythm slows to dotted halves. The harmonies
are g07, abd7, and A+7 in the first beats of (84), (85),
and (86) respectively. Note also the oblique—motion
treatment.

Measures (86-90) form a parallel structure with

the preceding phrase (82-86), the upper voice being

85

transposed up a perfect fourth. The second portion of the
structure is extended, the climactic Bb being reiterated

a total of four times whereas the F is struck three times.
Oblique motion is again present. Diminished-minor
sevenths are the predominant sonorities here, beginning
measures (88), (89), and (91). Measure (90) contains a
minor seventh chord on E but the soprano Bb can be thought
of as part of a diminished-minor seventh chord, thus
preserving a similarity of chord-type throughout this
passage. The same type (diminished-minor seventh) returns
again to begin (92) and (94). From (92) to (93) side-
slipping seventh chords are found (A+7, Ab7).

The tessitura drops from the climactic (92)--
quadruple forte--in a passage marked ”ritenuto e dimin."
The third beat of (94) and the following two measures
contain some quartal sonorities. As before, this tonally
ambiguous sonority signals a dispersion of tension and
the section closes out with the B9 chord in broken
figuration.

The fourth and last section of the deve10pment
Opens with the secondary theme in E. Thus the preceding
B9 effects a harmonically functional connection of the
sections. The sextolet figure of (38) reappears here in

(101) followed again by the Bg-E9 progression. Ebg, Ab7

9

and c#7 occur in (103), first, third beats, and (104),

86

first and second beats. Each of these features an

appoggiatura figure: A for the Ebg, E and B for Ab7,

and an appoggiatura chord (D minor) for C#7. The re-
occurrence of the D minor chord in (105) renders it

harmonic--part of the B diminished-minor seventh chord.

 

This chord type begins the next two measures-—each time A
. . . o7 07 i
a m1nor third h1gher--d , f . The last of these ; 4
resolves to the E minor triad in (107). The next three
measures serve to usher in the recapitulation. The F :~‘|
i
diminished-minor seventh chord begins (109) and the E

sonorities which follow arise out of chromatic movement
to accompany the augmented triad motive above.

The recapitulation follows the same order as the
exposition in presentation of thematic material. Specific
relationships to material in the exposition has been
discussed earlier. Harmonically, the recapitulation
adds little more to the chord vocabulary. Occasional
differences stem from tones of motives which are added
to existing material, In (112-113), for example, the
upper voices remain essentially the same as in the
exposition,while the lower line is involved with the A
motive which introduced the recapitulation in (110). The
result is more dissonant than its counterpart in the
exposition. Diminished-minor seventh chords occur on

Dg/Eb, F, and G#/Ab in the third beat of (115), and in

87

the first and third beats of (116), respectively. In
(118), the statement of the principal theme is thickened
with major thirds, but the harmonization is equivalent
to that found in the opening of the sonata. Measure

(120) begins with E7 while hints of c, eb, and a0 follow

in the next measure. This area through (126) is mainly
contrapuntal in construction. Tonality remains undefined
and individual sonorities fleeting or ambiguous. Three

measures after E7 in (120) the A chord occurs (123). The
intervening passage destroys the possibility of hearing
the implied functionality; nevertheless, a tendency to
return to the same area in the circle of fifths even
after an area of suspended tonality is revealed to be an
essential component of the harmonic conception of the
work. These occasional returns serve to constrain and
direct an otherwise amorphous harmonic language.

A diminished-minor seventh chord on G in the
second eighth note of (124) is followed in (125) by C7
temporarily pointing to without confirming F minor. The

prototype is, of course, iiO7-V7. The C7 and the chord

O7--both feature dissonant resolutions.

following in (126)--c
The implication of C7 occurs in (125) with the passing
tone F in the soprano. The resolution of the F is E,

which is, in fact, sounded in the soprano on the second

eighth note. Simultaneously, however, the harmony C7, of

88

which E is a part, is modified as G#, dissonant to the
former sonority, also makes its entrance on the second
eighth note in the lower voice. The resolution effect is
thus denied the listener after he has been led to expect
it--exactly the type of effect which causes many listeners
to describe this style as "frustrating.” Again in (126),
the soprano F resolves dissonantly over the co7 sonority.
The expected resolution is Eb; it occurs, but with the
semitone dissonance D.

The next measure of whole-tone sonorities leads
to the B minor triad of (128). Augmented triads and
diminished-minor seventh chords are implied here. The
D7 chord in (131) opens the second part of the theme as
it did in the exposition. Various types of seventh and
ninth chords, as well as whole—tone sonorities are found
throughout the abbreviated statement of this portion of the
theme. Root movement in fifths links this section to the
statement of the second theme in (137). Thus, the second

and third beats of (136) contain Ci;9 respelled Db9 and

FIT+7 while the following measure begins the second theme

with B9.

The sonorities are here again altered from those
of the exposition only by the inclusion of more contra-
puntal interest. Expository material of (33-36) is

deleted. Harmony from the last eighth note of (140) to

the second eighth note of (142) is essentially the B minor

89

triad. A and G in the bass of (141) can be thought of as
passing tones, although they do form a minor seventh chord
and a major seventh chord,respectively. The E of the last
beat of (141) can be thought of as an appoggiatura as it
resolves to the chord member F# in the second eighth note
of (142), although it, too, forms with its surroundings a
minor seventh chord.

07 with

The b2 formed in (142) then passes to e
appoggiatura A in the broken chord figure of the upper
line, and then to D minor, implication of which is con-
tained throughout (143). This moves by fifth to an
eleventh chord on G, spaced in such a way that the F major
triad is prominent in the inner voices. The third (B) is
omitted from the chord. The prominence of F major lends
a feeling of functionality to the progression to the minor-
major seventh chord on Bb in the second beat of (144).

The progression corresponds to that found in the first and
second beats of (34). The following measure (145) with its
D minor implication corresponds to (39) transposed up a

major third. The B7 with double appoggiatura C and E

occurring on the third beat of this measure prepares the

. . . . it
way for the E m1nor tr1ad of (146). The intervening f 07
of the first beat, however, interpreted as iiog introduces

o6
5

only a weak establishment of tonality. Although the root

. 7.. . .
retrogre551ve root movement V -11 -1 and the result 15

 

90

movement is in fifths, the progression F#§-bO7 (no third)
found in (147) cannot be considered a tonal reference. In
this analysis the E of the upper voice, third beat of
(147) is an appoggiatura with displaced resolution. The
bO7 chord serves as leading tone chord to the C7 which
follows in the first beat of (148). This, in turn,
‘progresses in the third beat of (148) to a07. It can be
noted that (148) forms a sequence with the previous (147)
melodically and, to some degree, harmonically.

While melodic sequence continues in (149), the
harmonic background changes. An appoggiatura D over CO7
occurs initially and in the third beat is found a quartal
chord over A. An alternate analysis is possible for the
quartal sonority: The harmony may be thought of as a
dominant seventh chord on D (in second inversion). The G
is then a chromatic upper neighbor to the F# (spelled Gb
here), and the F may be construed either as an added tone
with displaced resolution or as the minor third of a
chord with a split third. However, since the F continues
to sound through its resolution below, and since the
resolution itself lasts but a sixteenth-note duration, the
over-all effect is that of a non-functionalquartal sonority.
Yet another element of this chord should be noted. The
bass A forms a minor seventh with the G which then moves

chromatically downward to the minor seventh Ab-Gb and so

91

on throughout the next four measures (150-153) whose
counterparts are measures (40-43) in the exposition.
Note also that again in (153) and (155) the minor seventh
occurs in the context of a quartal sonority.

In a passage resembling the climactic measures
88-92 of the development, the scale-segment motive (L-3)
is stridently repeated (triple forte) throughout (155-159).
While the harmonic background is non-functional in the
sense of dominant-tonic relationships, it does function in
the sense of providing a changing harmonic context for
the repeated high D of the scale motive. The structural
bass line again moves obliquely to the D: F#, E, Eb, D
in (155-158)--a device already encountered in the develop-
ment. The specific chords of these measures are F#-

07, c6, d07.

quartal, e The occurrence of the motive in
(159) is accompanied with an extremely dissonant con-
struction which can be described variously as (1) an
augmented triad on D over a fully diminished seventh
chord on A, (2) an eleventh chord on A with triad and
seventh diminished, ninth minor, eleventh perfect, or
(3) a C diminished-minor seventh chord with appoggiatura
D above and pedal A below.

Extreme dissonance gives way to strong tonal
references which extend through the final bars. Over
the bass G which forms the first note of the three-note

opening motive (A) stated here (159-160) the V+7 of G

92

minor is implied. The Bb may be considered a passing
tone. It is this tone which reveals the minor mode of
the key of G. Deceptive progressions abound throughout

7

(161-164). After the V+ of (160) an appropriate Roman

numeral analysis for the following four measures would be

as shown in Figure 31.

    

5, W H Y7 Y1 Y7 VH7“ v17 vLL‘U L: Y] V0 ’53"; 7 E7

Figure 31.--Roman numeral analysis of mm. 161-164.

Although the B minor tonality is pointed to in
(165), confirmation does not occur until (169). Measure
(165) ends in a French sixth on E while (166) contains
all whole-tone sonorities. Measures (167-170) carry the
closing theme first in the highest voice, then transposed
a tritone, in the lowest voice. The tritone relation is a
modification of the usual F#-B perfect fifth relation in B
minor as the ultimate goal of the passage is in no way
obscured. In (167-168), a French sixth on F# is followed
by a series of augmented-minor seventh chOrds--all whole-
tone sonorities. The chromatic side-slipping of the
sevenths is prominent in the bass line because of the

#
chord spacing. The last seventh chord (on Db) goes to A --

93

the leading tone of B minor. The leading tone is resolved
to B in the next beat—~an unmistakable tonal function is
in operation here. It must be noted, however, that while
in one octave the A# proceeds directly to its goal, in
the lowest octave the pitch C intervenes. This is of
importance for several reasons. First of all, it creates
the interval of an augmented sixth which is enharmonic
with a major seventh-~in fact the major seventh which would
have been the next in the series of chromatic side-slippings.
Thus it creates continuity with what precedes. Secondly,
the resolution of the augmented sixth outward provides
further impetus toward B--both A# and C now moving by
half-steps to this goal. Moreover, the C, by its strong
association with A#, the leading tone, now possesses the
function of a second, upper leading tone to B. This is
further substantiated by the use of A# and C together again
in the last beats of (170) and (l72)--both deceptive pro-
gressionstx1B--and in an ”authentic" cadence (174—175).
The pairing of the two pitches so successfully imparts the
function of ”leading-toneness” to the pitch C, that the
last five measures use the upper leading tone C exclusively
with no loss of strength to the feeling of the tonality of
B minor.

Harmonically the last passage (169-175) can be
described as follows: At the second beat of (169) the

tonic is found with passing tone C#. On the last eighth

94

of (169) D7 in first inversion occurs. At the beginning
of (170) is a major seventh chord on C. The A# of the
third beat of (170) gives a German sixth on the lowered
second scale degree in B minor. In (171) the resolution
occurs but with a seventh in the bass making the sonority
b;. The seventh resolves normally downward to the root of
the g#07 chord. The soprano (C#) is non-harmonic here.
This, in fact, is the same chord (transposed) which Opened
the sonata. Another interpretation is that the chord is

a passing chord to the D7 on the third beat: The soprano
C# is then a chromatic neighbor to the C, while the bass
G#, is a chromatic neighbor to an implied A in the following
beat. The inner voices remain constant. The dominant
seventh chord on D progresses functionally to the G major
chord (with fifth D only implied). On the second eighth
note of (172) it becomes apparent that deception is
involved here as G and B are quickly discovered to be
seventh and ninth, respectively, of the dominant ninth
chord on A. The third beat of (172) brings in the German
sixth on C again--and once more the resolution is deceptive
as the augmented triad on B is sounded in the upper voices
against C in the bass. By the second beat of (173) all
but the third of D13 (a dominant thirteenth in G major but
for the minor ninth Eb) have occurred. In the third beat
of (173) and the first beat of (174) aO7-c#07 appear. The

first of these functions as a preparation of a dominant

95

preparation. That is, it is essentially a viid7/ii
(which would be B#-D#-F#-A) except for respelling and
raising the fifth a semitone (to give C-Eb-G-A). The

use of G for F# here anticipates the G of the following
chord--iiog--in (174) but it is more likely that a desire
to use G to effect a smooth chord connection is
outweighed by a desire to avoid F# so as not to spoil the
final cadence in (174-175). Indeed, the tone F# is not
used for a span of nearly three measures (172-174). Even
in (173) where it is implied in the D13 chord it is not
actually sounded.

In (174), then, after the 110?, a French sixth on
the lowered sixth (third inversion) and a dominant ninth
with lowered fifth precede the long-anticipated tonic.
The V9, it should be pointed out, is formed by the addition
of the pitch F# below the German sixth on C found pre-
viously in a similar harmonic context (170-171). Totally
in character with the previous harmonic treatment of this
passage, the tonic triad is actually delayed an eighth
note by the suspension of the seventh and ninth of the
previous chord, thus giving the briefest allusion to a
plagal cadence iv-i. Not only the comparative brevity of
.duration but also the overpowering functionality and
greater density of the preceding V9 prevent the feeling of

a true plagal cadence. A remarkably similar cadence is

96

found in Mahler's "Nicht Wiedersehen!” from Des Knaben

Wunderhorn (see Figure 32).

If

 

Figure 32.—-Mahler, "Nicht Wiedersehen," final cadence.

Note also the bass movement on the main beats in (172“175)~
Stepwise movement predominates until the final cadence.

Figure 33 shows the movement condensed into a single octave.

 

 

 

 

 

Figure 33.--Scheme of bass movement, mm. 172-175.

The final cadence is repeated, and an arch-shaped

. . . . . . #
phrase rising With the opening motlve over a sustained F ,
then descending on tones of the B minor triad, concludes

the work.

97

Summary
The present chapter deals with the topic of

harmony in Berg's Piano Sonata. The opening discussion is

 

on harmonic ambiguity and the analytical problems it
presents. Principles which take context into account are
employed as a practical solution to the problem of chord
identification. Dissonance resolution patterns are
treated next. Such patterns which occur regularly in the
sonata are isolated and defined, and examples are given.
With regard to isolated sonorities, a preference for
diminished-minor and major-minor seventh chords, as well
as for augmented triads, can be noted.

The topics of harmonic allusion, quasi-functional,
and non-functional devices are then treated. The process
of alluding to a functional progression by retaining only
its essential characteristics is found to be common
throughout the work. Certain types of voice leading
("oblique-motion treatment") and certain types of
sonorities (whole-tone scales) are found only in certain
areas of the sonata. These are called formally--not
harmonically--functional. A suggested term for these
and similar types of harmonic usage is ”quasi-functional.”

Non-functional chromatic side-slipping and
chromatic voice leading in general are the last topics.

It seems reasonable to conclude that a preference for

 

98

half-step movement in the bass governs many of the
harmonic progressions in the sonata.

A concluding section brings all the previously
discussed topics into play including a description of

the sonata with respect to harmony.

CHAPTER V

SUMMARY

The discussion of Berg's Piano Sonata, Op. 1,

 

undertaken in this paper consists of four main chapters:
Biographical Sketch and Historical Setting, General
Characteristics of the Sonata and its Form, Melody and
Motivic Development, and Harmony.

The first of these parts serves to place the
composer and his work in historical perspective. {The
general tendencies found in music of the late nineteenth
century are inCreased use of chromaticism, frequent
modulations, and suspended tonality. Whole-tone con-
structions and quartal sonorities also appear in this

period. These tendencies can be traced in works from

Wagner through Schoenberg; the usages are likewise

 

employed in the Piano Sonata.

In the second chapter, the general character-
istics of the sonata are described. Formally, the one-
movement work in B minor corresponds rather closely to
the first movement sonata form of the classical sonata.
Two themes of contrasting character are found in the

exposition, the first in B minor, the second in A major.

99

100

The closing theme is formed from the material of the
second theme. The development section, sub-divided into
three distinct sub-sections, is the least tonal in the
sonata. The recapitulation presents thematic material in
the same order as the exposition. Here, however,
extensions and deletions are found. Also, the second
themeoccurs on the tonic level (in B major) in the
recapitulation.

It can be noted that the sonata consists of
shorter, quieter sections alternating with longer, louder
sections. Also, areas of rising tessitura are usually
marked "crescendo ed accelerando.” The over-all effect
of this is a work of high intensity.

The third chapter deals with the subjects of
melody and motivic development.) The use of wide melodic
range has precedents from Wagner to Schoenberg. A study
of intervals of the melodic line reveals two distinct
trends. The first of these is that the smaller the inter-
val, the more frequently it is used. The second is that
large intervals tend to be used ascending, small intervals
descending. A comparison of the use of appoggiaturas and
anticipations in the first and second theme areas of the
exposition reveals a difference in usage dependent upon
the theme area. For example, in the first theme area

appoggiaturas which ascend and whose resolutions are

101

anticipated predominate, whereas descending appoggiaturas
without anticipations are not found at all. Conversely,
in the second theme area, gply descending appoggiaturas
lacking anticipations are found.

A decided preference for the augmented triad
outline in the melodic line is in evidence, as well as
a weaker tendency to use quartal chord outlines melodically.
Whole-tone passages can also be found, but these are used
in transition material more frequently than in the body
of the themes.

An analysis of the sonata from the viewpoint of
motivic construction and development permits several
conclusions.f One of these is that the composer chooses
motives which are related to one another either inter-
vallically, rhythmically, or by similarity of contour.)
Moreover, similar motives are frequently substituted for
each other. Another device encountered is that of frag-
mentation; motives may be divided into submotives and
regrouped to form new motives. Lastly, instances of
motivic metamorphosis are found. By this technique the

r—_-—\

specific intervallic structure and the rhythm may be

 

changed successively rather than simultaneously. Variants
of a motive are introduced gradually by this method.
The chapter dealing with harmony is itself sub-

divided into several sections: Harmonic Ambiguity,

102

Treatment of Dissonance, Isolated Sonorities, Chord
Progression, and Description of the Sonata from the
Harmonic VieWpoint.

Harmonic ambiguity, as found in many works of

approximately 1890-1910 as well as in Berg's Piano Sonata,

 

arises out of the freer use of dissonance characteristic
of much of the music of this period. Although the harmonic
ambiguity of the style makes chord identification dif-
ficult, several principles are adopted to overcome this
problem, namely, the principles of voice leading, harmonic
implication, and function. The principles are somewhat
arbitrary, it must be admitted, and must be used with
some degree of subjectivity. Nevertheless, it must be
remembered that in a style which is characteristically
ambiguous, care must be taken not to impose more order
than is actually present, and by so doing, give faulty
analysis by misrepresenting the music. The principles
adopted in this paper, therefore, appear to be a
practical solution to the problem of harmonic ambiguity.
Regarding the treatment of dissonance, the con-
cept of resolution is expanded to include the dissonance-
resolution patterns more frequently encOuntered in the
sonata. These provide "shorthand” names for concepts
to avoid repetitive explanations later in the paper.

Examples from the Piano Sonata are given to illustrate

 

the use of the terms.

103

A study of isolated sonorities reveals seventh
chords of the diminished-minor and major—minor varieties
to be most frequent, with augmented triads next most
frequent. Ninth chords, augmented-minor seventh chords,
and perfect quartal chords also occur with high frequency.
Of these, all are found dispersed fairly evenly through-
out the sonata with the exception of the quartal sonori-
ties, which are found concentrated in several areas.

The topic of chord progression begins with a dis-
cussion of the concept of “harmonic allusion.” Many of
the progressions found in Berg's opus can be analyzed as
modifications of a simpler prototype found in earlier
music. Such progressions are termed "allusions." Proto-
types most often occurring throughout the course of the
work are V-I, V-vi, IV-V, and, less often, IV-I.

Consideration is given to chord progressions, which,
while not reducible to some prototype, nevertheless seem
to be functional. Typical of such cases is the oblique-
motion treatment found near climactic points of the
movement. In these "quasi-functional" cases, a repeated
note is placed in a continually changing harmonic context,
thereby creating the illusion of a functional harmonic
progression. This illusion is strengthened by a movement
toward consonance as the passage proceeds. Since this
type of progression occurs only at specific formal points

during the course of the work, it may be called ”formally

104

functional." Whole-tone passages, too, exemplify formal
functionality, as they occur only as links and bridges
between non-whole-tone material.

A desire for highly chromatic sounds is likely
the chief motivation underlying the composer's choice of
chord progressions. Except when voices are engaged in
melodic or contrapuntal activity, movement by half-step
predominates. This trend is demonstrated in a study of
the bass line throughout the sonata,which reveals that
instances of movement by half-step outnumber all other
types of bass movement combined.

The topics of harmonic ambiguity, dissonance
treatment, isolated sonorities, and chord progression

having been discussed, a description of the Piano Sonata

 

from the harmonic vieWpoint follows. All of the tepics
in the final chapter are thus brought into focus by
applying them simultaneously in the analysis of the

entire sonata. The analysis section concludes the paper.

BI BLIOGRAPHY

105

BIBLIOGRAPHY

Carner, Mosco. A Studyyof Twentieth Century Harmony: A
Treatise andquide for the Student-Cemposer ofTOday,
Vol. 2. London: Joseph Williams, Ltd., 1942.

 

Collaer, Paul. A History of Modern Music. Translated
by Sally Abeles. Cleveland and New York: World
Publishing Co., 1961.

 

‘Krenek, Ernst. Music Here and Now. Translated by
Barthold Fles. New YOfk: W. W. Norton and Co.,
Inc., 1939.

 

Reich, Willi. The Life and Work of Alban Berg. Trans-
lated by Cornelius Cardew. Londbn: Thames and
Hudson, 1965.

 

Szabolcsi, Bence. "The Decline of Romanticism." Studia

Musicologica Academiae Scientiarum Hungariae 12
(I970):263-289.

106

APPENDICES

107

APPENDIX A

TABLE Al.--A study of range and phrase length in measures
0-28, Piano Sonata, Op. 1, by Alban Berg.

 

 

 

phrase Measures Length in Range by Range in
Occupied Measures Interval Semitones

1 0-3 3 P8 12

2 3-7 4 P12 19

3 8-10 3 m6 8

4 ll-l3 3 M13 21

5 13-14 1 M14 23

6 15-16 2 M7 11

7 16-18 2 mlO 15

8 18-20 2 All 18

9 20-22 2 p11 17

10 22-25 3 m10 15

11 25-28 4 M16 26

TOTALS: 11 phrases

29 measures
185 semitones

AVERAGES: 29 t 11 = 3 measures
185 t 11 2 l7 semitones

 

From these observations it can be concluded that
in the first theme area (measures 0-28), the average
phrase length is slightly less than 3 measures and the
average range of a phrase is 17 semitones, or a perfect
eleventh.

108

APPENDIX B

TABLE A2.-—A study of the appoggiatura figure in measures
0-55, Piano Sonata, Op. 1, by Alban Berg.

 

 

 

Occurrences Occurrences Occurrences
Type Description in Areas in Area IIa in Area Ilb
Ia, Ib
I Leap upward, 4 0 0
resolution
anticipated
II Leap downward, l 0 0
resolution
anticipated
III Leap upward, 3 0 10
no anticipation
IV Leap downward, 0 4 1

no anticipation

 

109

APPENDIX C

*
TABLE A3.--A study of non-melodic bass movement in Piano
Sonata, Op. 1, by Alban Berg.

 

 

 

Type of Movement Occurrences
1n2, M7 156
M2, m7 27
P4, P5 22
m3, M3, m6, M6 12
Tritone 0

 

it
Since the focus of attention is on bass movement

as it applies to harmonic progression, instances in which
the bass serves a melodic functibn (such as in contra-
puntal imitation) are deliberately excluded.

110

WICHIGQN STnTE UNIV, LIBRRRIES
IiWWIIIllIIIIIWIIIIIIIIIIIIWIIIHIIll
31293107066429