Tradition as Muse Schoenberg's Musical Morphology and Nascent Dodecaphony by Áine Heneghan A dissertation submitted in candidacy for the degree of Doctor of Philosophy to The University of Dublin Trinity College March 2006 DECLARATION I, Áine Heneghan, declare that this thesis has not been submitted as an exercise for a degree at this or any other University and that it consists entirely of my own work. I agree that the Library may lend or copy the thesis upon request, this permission covering only single copies made for study purposes, subject to normal conditions of acknowledgement. Signed __________________ Áine Heneghan March 2006 Summary of the Dissertation Tradition as Muse: Schoenberg's Musical Morphology and Nascent Dodecaphony by Áine Heneghan The University of Dublin Trinity College March 2006 This study reappraises the evolution of Arnold Schoenberg's method of composing with twelve tones by examining the interrelationship of his theoretical writings and compositional practice. Premised on the idea that theory and practice were interdependent for Schoenberg, I argue, on the one hand, that the richness and diversity of his nascent dodecaphony can be fully appreciated only in the context of the development of his musical thought and, on the other hand, that his terminological concepts—for example, Grundgestalt, 'unfolding' [Abwicklung], the distinction between Satz and Periode (sentence and period), and the differentiation of 'stable' and 'loose' construction—came about precisely because of his compositional experiments during the early 1920s. The discussion and musical analyses of selected movements from the Klavierstücke, Op. 23, the Serenade, Op. 24, and the Suite für Klavier, Op. 25, in chapters 3, 4, and 5 are preceded, in chapter 1, by a reassessment of Schoenberg's understanding of his musical tradition and, in chapter 2, by a survey of his changing compositional philosophy between 1909 and 1925. I contend that Schoenberg's re-engagement with the music of the past c. 1917 enabled him to deepen his understanding of tonality and sharpen his awareness of the qualities required by its replacement. Moreover, I show that it was this renewed interest in the past that led to a reconception of tonality: specifically, it was the Gedanke or musical idea—along with its associated laws, principles, and methods—that facilitated the emergence of dodecaphony, presenting itself as the necessary 'key' for unlocking the manifold possibilities of dodecaphony. Contrary to the one-dimensional portrayals of his Formenlehre (theory of forms) and the continued emphasis on motivicization, I aim to highlight the multi- faceted nature of Schoenberg's musical morphology. I, therefore, draw attention in his writings—and in those of his associates (including Anton Webern, Alban Berg, Erwin Stein, Josef Rufer, Erwin Ratz, Hanns Eisler, Leopold Spinner, and Philip Herschkowitz)—to the contrasting principles of polyphony and homophony, showing that one of the tenets of Schoenberg's theory of musical form was the intimate relationship between the technique of motivic presentation and resulting form. Further, I demonstrate that this bifurcation, which formed the basis of Schoenberg's unique conception of music history, was vital to his understanding of his own place in the Austro-Germanic musical tradition, in that his incipient dodecaphony perpetuated the cycles of musical evolution that he identified in the music of the past. In summary, I propose that, for Schoenberg, the abandonment of tonality precluded the composition of large-scale homophonic form (hence, in the period from 1909 to 1923, the prevalence of text-based pieces and shorter non- developmental forms often labelled Charakterstücke), and that his compositions between 1920 and 1923 were characterized by a multiplicity of techniques and practices. The principle of juxtaposition, which formed the basis of the paratactic structures and theme-and-variation forms of movements from Opp. 23 and 24, was superseded by the so-called 'new polyphony'—exemplified by the 'Präludium' from the Suite für Klavier—and the emerging emphasis accorded to rhythm as a constructive element. Finally, through a detailed analysis of the 'Menuett' from the Suite für Klavier, I argue that the formulation of dodecaphony can be understood in relation to Schoenberg's changing conception of the row, something that facilitated the reincorporation of 'developing variation' and the recapturing of large-scale homophonic form. Contents List of Figures ii List of Musical Examples ii List of Tables iii Acknowledgements iv 1. 'The Conservative Revolutionary': Schoenberg and Tradition 1 New Music 1 Progress and Tradition 10 Poetics and Polemics 15 Style vs Idea 21 Historical Consciousness 23 Capturing the 'Essence' 29 Misreading Misreadings 31 Musical Morphology 39 2. 'The Path to the New Music': Schoenberg's Compositional Philosophy, 1909–1925 50 'New Wine in Old Bottles' 54 'The Interregnum' 55 Schoenberg's Volte-Face and Symphonic Ambitions 68 Interpreting the Transformation 80 Evolving 'Laws' and the Gedanke 93 3. 'Yearning for a Style for Large Forms': Juxtaposition and the 'Popular Effect' in Schoenberg's Nascent Dodecaphony 100 Parataxis and Hypotaxis 102 The 'Popular Effect' in Schoenberg's Music 111 Schoenberg's Album and Panorama 119 Tonality and Geschlossenheit 122 Juxtaposition as Strategy 124 4. Form and Function in Schoenberg's 'New Polyphony' 139 An Affinity with Bach 139 The 'Komposition with zwölf Tönen' Typescript 146 The Grundgestalt as 'Solution' 172 'The Constructive Power of Polyphony' in the 'Präludium' 198 5. Refining the Formal Principles: Capturing the 'Essence' in Schoenberg's Dodecaphony 219 Entwicklung and Abwicklung: Two Sides of the Same Coin? 219 Schoenberg's 'Menuett' and Beethovenian Form 241 Conclusion 254 Bibliography 261 ii List of Figures Figure 3.1 Schoenberg's illustration of 'developing variation' with reference to the first movement of Beethoven's Fifth Symphony 104 Figure 3.2 'Popular Melodies' in Schoenberg's Gedanke manuscript of 1934 107 Figure 3.3 Berg's division of, and annotations in the opening section of the 'Marsch' of Schoenberg's Serenade 113 Figure 4.1 'Credo' by Berg 141 Figure 4.2 Annotations by Fritz Mahler on the indexing copy of the Harmonielehre 168 Figure 4.3 Annotations by Fritz Mahler on the indexing copy of the Harmonielehre 169 Figure 4.4 Transcription of Fritz Mahler's 'overview' for the indexing of the Harmonielehre 170 Figure 4.5 Schoenberg's earliest sketches for the 'Präludium' 184 Figure 4.6 Transcription of the set table for Schoenberg's Suite für Klavier 191 Figure 4.7 Transcription of Berg's notes relating to the tetrachords of Schoenberg's Suite für Klavier 193 Figure 4.8 Partial transcription of Webern's sketch for 'Mein Weg geht jetzt vorüber' 196 Figure 5.1 Schoenberg's calendar entry of 22 May 1922 229 List of Musical Examples Example 3.1 Rhythmic motives in bars 29–41 of the 'Walzer' from Schoenberg's Klavierstücke, Op. 23 117 Example 3.2 Theme of the 'Variationen' from Schoenberg's Serenade, Op. 24 125 Example 3.3 Periodic structure in variation 2 of the 'Variationen' from Schoenberg's Serenade, Op. 24 127 Example 3.4 Periodic structure in variation 5 (bars 56–61) of the 'Variationen' from Schoenberg's Serenade, Op. 24 129 Example 3.5 Principal motive of variation 3 of the 'Variationen' from Schoenberg's Serenade, Op. 24 134 Example 3.6 Multi-voiced abstraction of the 14-note succession in variation 2 of the 'Variationen' from Schoenberg's Serenade, Op. 24 135 Example 3.7 Opening of variation 4 of the 'Variationen' from Schoenberg's Serenade, Op. 24 135 Example 4.1 Treatment of tetrachords in bars 1–3 and bars 10–11 of the 'Präludium' from Schoenberg's Suite für Klavier 192 Example 4.2 Construction of the aggregate in Schoenberg's 'Liebeslied' 194 Example 4.3 Principal rhythmic motives in the 'Präludium' from Schoenberg's Suite für Klavier 205 Example 4.4 Variants of rhythmic motive b 206 Example 4.5 Variants of rhythmic motive a 207 iii Example 4.6 Variants of rhythmic motive c 207 Example 4.7 Rhythmic motives and tetrachordal distribution in the 'Präludium' from Schoenberg's Suite für Klavier 209 Example 4.8 Rhythmic motives in the middle section of the 'Präludium' From Schoenberg's Suite für Klavier 214 Example 5.1 Ratz's analysis of bars 1–2 of Bach's Invention No. 1 in C major 232 Example 5.2 Formal structure of Bach's Sinfonia No. 9 in F minor as analysed by Ratz and Herschkowitz 234 Example 5.3 Sentence structure in the first movement of Beethoven's Piano Sonata, Op. 2, No. 1 244 Example 5.4 Sentence structure in the 'Menuett' from Schoenberg's Suite für Klavier 246 Example 5.5 Middle section of the third movement of Beethoven's Piano Sonata, Op. 22 251 Example 5.6 Middle section of the 'Menuett' from Schoenberg's Suite für Klavier 252 List of Tables Table 3.1 Schoenberg's arrangements in 1921 (select list) 112 Table 3.2 Summary of the form of each variation in the 'Variationen' from Schoenberg's Serenade, Op. 24 128 iv Acknowledgements I wish to thank the staff of the School of Music at Trinity College for creating a supportive and stimulating environment in which to conduct postgraduate research. I am particularly grateful to my supervisors, Michael Taylor and Simon Trezise, for their advice, insightful criticism, and continued encouragement. I also thank Abigail Chantler, who co-supervised this project in its early stages. This project has benefited from the counsel of a number of scholars, especially Regina Busch, John Covach, Hermann Danuser, Reinhard Kapp, Severine Neff, and Martina Sichardt. Thanks are also due to the following people for answering various queries and for sharing their expertise with me: Paul Banks, Neil Boynton, Thomas Brezinka, Julia Bungardt, Maureen Carr, Donnacha Dennehy, Jennifer Doctor, Thomas Ertelt, Alison Garnham, Christopher Hailey, Ethan Haimo, Patricia Hall, Simone Hohmaier, Andreas Jacob, Douglas Jarman, Herwig Knaus, Ludmila Kovnatskaya, Richard Kurth, Klaus Lippe, Henry Mahler, Andreas Meyer, Therese Muxeneder, Stefanie Rauch, Ramona Riedzewski, and Barbara Wiermann.