DRAFTS, PAGE PROOFS, AND REVISIONS OF SCHENKER’S DER FREIE SATZ: THE COLLECTION AT THE AUSTRIAN NATIONAL LIBRARY AND SCHENKER’S GENERATIVE PROCESS Jennifer Sadoff Auerbach, B.M., M.M. Dissertation Prepared for the Degree of DOCTOR OF PHILOSOPHY UNIVERSITY OF NORTH TEXAS May 2009 APPROVED: Timothy L. Jackson, Major Professor Frank Heidlberger, Committee Member L. Poundie Burstein, Committee Member Eileen M. Hayes, Interim Chair of the Division of Music Theory, History, and Ethnomusicology James C. Scott, Dean of the College of Music Michael Monticino, Interim Dean of the Robert B. Toulouse School of Graduate Studies Auerbach, Jennifer Sadoff, Drafts, Page Proofs, and Revisions of Schenker’s Der freie Satz: The Collection at the Austrian National Library and Schenker’s Generative Process. Doctor of Philosophy (Music Theory), May 2009, 238 pp., 218 tables, bibliography, 52 titles. When Schenkerian theory began to influence scholarly circles in the United States, the primary – although not the only – work to which scholars had access was Schenker’s last monograph, Der freie Satz. Reading textual passages and examining the many musical graphs in the companion volume of examples influenced their concept of the fundamental structure as Schenker understood it, as well as the relationship of the other levels (Schichten) to the larger structure. The problem is that most of the second generation of Schenkerian scholars were reading the 1956 second German edition, not the 1935 first German edition. The second edition had been altered for textual and musical content by Schenker’s student, Oswald Jonas – so there is already a disconnect between the original version and the text scholars were reading at that time (the 1950s, 60s, and 70s). Furthermore, many younger North Americans were insufficiently fluent in German to be able to read the work in the original language. In order to make Schenker’s treatise accessible to English-speaking scholars, Ernst Oster set about translating the work into English, a task completed in 1979 just after his death. The text was based on the second German edition (ed. Jonas, Vienna, 1956), but the first edition (Vienna, 1935) was consulted also. Examples that were changed from the 1935 edition in the 1956 edition were not restored. The first problem for those interested in gaining a more accurate understanding of Schenker’s theories is that the first German edition is still unavailable in complete translation. The second and more serious issue involves the genesis of the first German edition. All these problems concerning the publication of the various editions have led to an incomplete understanding of the work. Complicating matters is the relatively unexplored state of the late manuscript of Der freie Satz in the Vienna collection. This study investigates the differences between the late manuscript material preserved in Vienna and the 1935 German printed edition of Schenker’s Der freie Satz. The author seeks to provide new insight into the ordering of the text, and reveals, translates, and elucidates some omitted text and analyses. Copyright 2009 by Jennifer Sadoff Auerbach ii ACKNOWLEDGEMENTS Many people have supported and helped me throughout the process of writing this document, and indeed my academic career. I would like to thank each of my committee members. Thank you to Frank Heidlberger, whose knowledge of historic German, languages, and the editorial process contributed so much to the interpretations set forth in this project. Thank you to Ian Bent for his overall expertise in historical music theory, Schenker historiography, and the translation process. I would like to especially thank Timothy Jackson for working with me from the beginning of my graduate career to help me with practically every aspect of my academic upbringing, and for mentoring me with both persistence and care. I am grateful to Hedi Siegel for guiding me in my Viennese research and shaping the process of this dissertation. I appreciate the time Poundie Burstein devoted to discussing my dissertation and pointing me in the right direction on several topics. Thank you to Wayne Petty, Mark Anson-Cartwright, and Joseph Straus for offering me guidance on the textual editorial process. Martin Eybl was a wonderful resource in Vienna and guided me on Viennese source material. I owe a great deal to the staff at the Österreichische Nationalbibliothek, especially Hofrat Thomas Leibnitz, for their willingness to allow me to work in the collection and for reproductions of the collection. Special thanks to Robert Kosovsky for granting me permission to examine the original documents of Oster Collection the in the New York Public Library and for granting me permission to photograph them. Melissa Conway and Eric Milenkiewicz of the University of California-Riverside library kindly allowed me to examine and photograph parts of the Oswald Jonas Memorial Collection. Thank you to the wonderful staff at the University of North Texas Willis Library, who were helpful along the way. Finally, I would like to thank those close to me for their guidance, support, coaching, and for understanding how important this process has been to me. First and foremost, I thank David Auerbach for his patience throughout this process, and for his support. I thank my parents, Judith Sadoff and Joseph Sadoff for teaching me perseverance, my students, for teaching me how to learn, and special thanks to John Hipple for helping me continue through the most challenging times. iii TABLE OF CONTENTS Page ACKNOWLEDGMENTS……………………………………………………………………………………………………………………………….…………………………….....iii Chapter 1. INTRODUCTION..……………………………………………………………………………………………………………………………………………………………….1 1.1 Premises and Methods……..……………………………………………………………………………………………………………………………….................4 2. REVIEW OF THE LITERATURE…………………………………………………………………………………………………………………………………………….. .8 3. RESEARCH AND FINDINGS………………………………………………………………………………………………………………………………………………….17 3.1 Sütterlinschrift and Issues of Legibility……………………………………………………………………………………………………………..……………….17 3.2 Selected Research Procedures ……………………………………………………..…………………………………………………………………………….……….22 3.3 Philosophy of Editing………..………………………………………………………………..………………………………………………………………….……….23 4. EXEGESIS AND COMPARISON OF THE VARIOUS MANUSCRIPT SKETCHES WITH THE 1935 PRINTED VERSION ……………………...……………………...33 4.1 “Part 1” (The Background)..……………… ………………………………………………………………………………………………….……………………..33 4.2 “Part 2” (The Middleground)...…………………………………………………………………………………………………….………………………………..94 5. CONCLUSION …………………………………………………………………………………………...……………………………..……………………………………….231 BIBLIOGRAPHY……………………………………………………………………..………………………………………………………………………………………………..234 Primary Sources……………………………………………………………………………………………………………………………………………..………………….234 Published Works…………………………………………………………………………………………………………………..……………………………………234 iv Unpublished Works, Letters and Nachlässe…………………………………………...……………………………………………………………………………....234 Secondary Sources………………………………………………………………………………………...……………………………………………………………………234 Translations……………………………………………………………………………………………………………………………………………………………..234 Revision History and the Design……………………………………………………………………………………………………………………………………….235 Guides, Indices, Catalogs……………………………………………………………………………………………………………………………………………….236 Lectures and Presentations……………………………………………………………………………………………………………………………….……………..237 Reviews of Der freie Satz and Free Composition……………………………………………………………………………………………………...………………237 Copy-Text Editing……………………………………………………………………………………………………………………………………………………...238 v CHAPTER 1 INTRODUCTION The documents are kept in two copy-paper boxes that show age and wear. The workers bring them from the warehouse and the boxes sit on the shelves at Musiksammlung of the Österreichische Nationalbibliothek at the patron’s orders. Deteriorating, the contents of the boxes that Anthony van Hoboken left to the library are unknown to most Schenkerian scholars, though the papers inside provide essential clues to the genesis of Schenker’s most esteemed work, Der freie Satz. When Schenkerian theory began to influence scholarly circles in the United States, the primary – although not the only – work to which scholars had access was Schenker’s last monograph, Der freie Satz. Reading the passages in the text volume and examining the many musical graphs in the companion volume of examples influenced their concept of the fundamental structure as Schenker understood it, as well as the relationship of the other levels (Schichten) to the larger structure. The problem is that most of the second generation of Schenkerian scholars were reading the 1956 second German edition1, not the 1935 first German edition.2 The second edition had been altered for textual and musical content by Schenker’s student, Oswald Jonas – so there is already a disconnect between the original version and the text scholars were reading at that time (the 1950s, 60s, and 70s). Furthermore, many younger North Americans were insufficiently fluent in German to be able to read the work in the original language. In order to make Schenker’s treatise accessible to English-speaking scholars, Ernst Oster set about translating the work into English;3 a task completed in 1979 just after his death.4 In his preface to the English edition, Oster states that, “The text is based mainly on the second German edition (ed. Oswald Jonas, Vienna, 1956), but the first edition 1 Heinrich Schenker, Neue Musikalische Theorien und Phantasien. Vol. 3, Der freie Satz (book 1, text; book 2, musical figures), second edition, ed. Oswald