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1 Florida State University Libraries Electronic Theses, Treatises and Dissertations The Graduate School 2010 Embedded and Parenthetical Chromaticism: A Study of Their Structural and Dramatic Implications in Selected Works by Richard Strauss Sarah K. Sarver Follow this and additional works at the FSU Digital Library. For more information, please contact lib-ir@fsu.edu

2 THE FLORIDA STATE UNIVERSITY COLLEGE OF MUSIC EMBEDDED AND PARENTHETICAL CHROMATICISM: A STUDY OF THEIR STRUCTURAL AND DRAMATIC IMPLICATIONS IN SELECTED WORKS BY RICHARD STRAUSS By SARAH K. SARVER A Dissertation submitted to the College of Music in partial fulfillment of the requirements for the degree of Doctor of Philosophy Degree Awarded: Summer Semester, 2010 Copyright 2010 Sarah K. Sarver All Rights Reserved

3 The members of the committee approve the dissertation of Sarah K. Sarver defended on July 1, Michael Buchler Professor Co-Directing Dissertation Joseph Kraus Professor Co-Directing Dissertation Douglass Seaton University Representative Evan Jones Committee Member Matthew Shaftel Committee Member The Graduate School has verified and approved the above-named committee members.

4 ACKNOWLEDGEMENTS This project would not have been possible without the unending support, guidance, and encouragement I received from my co-advisors Michael Buchler and Joe Kraus. No matter the question or task, I could count on them throughout the entire process. They have helped me become a better scholar and writer, and I will be forever grateful to them. I would also like to express my sincere gratitude to the rest of my committee Evan Jones, Matthew Shaftel, and Douglass Seaton for their discerning editorial comments and suggestions. It has truly been a pleasure to work with each member of my committee. Indeed, I am indebted to the music theory faculty at Florida State University for fostering a collegial environment for learning and scholarly growth. Additionally, I would like to thank German scholar Christine Lehleiter, who, while at FSU, helped me attain a greater understanding of and appreciation for German literature. I was very fortunate to have had the opportunity to study with her. The professional and personal relationships I have developed while attending Florida State University are ones that will last a lifetime. I cherish the times spent with fellow students, especially those of you who entered into the program in You are all dear to me, and I hope you ll forgive me if I don t thank everyone individually. (You know who you are!) I do, however, want to particularly acknowledge Greg Decker. Whether sharing ideas for lesson plans, walking together to our favorite local dive, or encouraging each other to keep going, our friendship has had such a positive impact on me. My family has also been instrumental in encouraging me not only in the completion of my studies at FSU, but in everything I do. I owe the world to my parents, Bill and Sherry King, whose constant love and support keep me going. They recognized my passion for music and made sure that I had ample opportunities to study and perform. As I reflect upon the years I have spent in Tallahassee, I realize that they have been some of the best of my life. I could not imagine a better person with whom to share these

5 experiences than my beloved husband Bruce. He has made personal sacrifices in order to support me in reaching my goals. I am wholly grateful for his enduring patience, unconditional love, and absolute devotion. Our sweet relationship keeps me grounded and brings me such joy. I love him dearly, and I look forward to the next adventure that awaits us.

6 TABLE OF CONTENTS LIST OF TABLES... vii LIST OF EXAMPLES... viii ABSTRACT... xii CHAPTER 1 INTRODUCTION AND LITERATURE REVIEW Introduction to the Topic Theories of Chromaticism in Tonal Music: Determining the Limits of Tonality Trends in the Analysis of Late- and Post-Romantic Chromatic Music Background for the Concept of the Musical Interpolation Parenthesis as Phrase Expansion Parenthesis as Interruption of Normative Tonal Syntax Parenthesis as Tonal and Formal Device Parenthesis as Chromatic Phenomenon Conclusion CHAPTER 2 EMBEDDED AND PARENTHETICAL CHROMATICISM Embedded Chromaticism Simple Uses of Embedded Chromaticism Extravagant Uses of Embedded Chromaticism Rhetorically Marked Embedded Chromaticism Embedded Chromaticism in Deep Structural Levels Parenthetical Chromaticism Mixed-Boundary Parentheses Rigid-boundary chromatic passages Summary CHAPTER 3 STRUCTURAL AND DRAMATIC IMPLICATIONS OF CHROMATICISM IN SÄUSLE, LIEBE MYRTHE, OP. 68, NO Summary of Issues Concerning the Analysis of Texted Works Overview of Säusle, liebe Myrthe, Op. 68, No Synopsis of the Text Overview of Musical Characteristics... 65

7 3.3 Embedded Chromaticism Embedded Chromaticism at the Middleground Level Embedded Chromaticism at the Foreground Level Parenthetical Chromaticism Summary CHAPTER 4 STRUCTURAL AND DRAMATIC IMPLICATIONS OF CHROMATICISM IN AMOR, OP. 68, NO Overview of Amor, Op. 68, No Synopsis of the Text Overview of Musical Characteristics Embedded Chromaticism Embedded Chromaticism at the Middleground Level Embedded Chromaticism at the Foreground Level Parenthetical Chromaticism Summary CHAPTER 5 CONCLUSION Embedded and Parenthetical Chromaticism: Implications for Further Study BIBLIOGRAPHY BIOGRAPHICAL SKETCH

8 LIST OF TABLES 3.1. Form Chart. Säusle, liebe Myrthe Op. 68, No Form Chart. Amor, Op. 68, No

9 LIST OF EXAMPLES 1.1a b Reproduction of Example 5 from Pärtlas (2003). The examples show two deep-middleground voice-leading sketches of Strauss s Der Rosenband, Op. 36, No a Reproduction of Example 4.11a from Caplin (1998), which shows two internal phrase expansions as interpolations. Mozart, Piano Concerto in F, K. 459, ii, mm b Reproduction of Example 4.11b from Caplin (1998), which reveals the normative grouping structure that underpins the passage shown in Example 1.2a (Caplin s Example 4.11a). Mozart, Piano Concerto in F, K. 459, ii, mm Reproduction of Figure 121, 2a and 2b from Schenker ([1935] 1979). The voice-leading sketch shows an interpolation as an interruption of a normative harmonic progression in the middleground of Beethoven s Sonata, Op. 7, movement four a Embedded chromaticism. Für fünfzehn Pfennige, Op. 36, No. 2, mm b Voice-leading sketch. Op. 36, No. 2, mm c Voice-leading sketch. Op. 36, No. 2, mm d Voice-leading sketch. Op. 36, No. 2, mm a Embedded chromaticism. Für fünfzehn Pfennige, Op. 36, No. 2, mm b Voice-leading sketch. Op. 36, No. 2, mm a Embedded chromaticism. Als mir dein Lied erklang, Op. 68, No. 4, mm b Voice-leading sketch. Op. 68, No. 4, mm a Embedded chromaticism. Salome, Op. 54, Scene IV/Rehearsal h/mm b Voice-leading sketch. Op. 54, Scene IV/Rehearsal h/mm

10 2.5a Rhetorically marked embedded chromaticism. Der Rosenkavalier, Op. 59, Act II, Rehearsals b Voice-leading sketch. Op. 59, II/27/3 through II/36/ a Rhetorically marked embedded chromaticism. Don Juan, Op. 20, mm b Voice-leading sketch. Op. 20, mm. 3, c Voice-leading sketch. Op. 20, mm. 3, d Voice-leading sketch. Op. 20, mm. 3, a b Voice-leading sketches. September, mm (emphasis on mm ) a Parenthetical chromaticism (mixed boundaries). Der Rosenkavalier, Op. 59, II/27/5 II/29/ b Voice-leading sketch. Der Rosenkavalier, Op. 59, II/27/5 II/29/ a Parenthetical chromaticism (mixed boundaries). Capriccio, Op. 85, 140/2 8 through 141/ b Voice-leading sketch. Capriccio, Op. 85, 140/1 8 through 141/ a Parenthetical chromaticism (rigid boundaries). Amor, Op. 68, No. 5, mm b Voice-leading sketch. Op. 68, No. 5, mm a Parenthetical chromaticism (rigid boundaries). Capriccio, Op. 85, 223/ b Voice-leading sketch. Capriccio, Op. 85, 223/ a Primary motive. Säusle, liebe Myrthe Op. 68, No. 3, mm b Variation of primary motive. Säusle, liebe Myrthe Op. 68, No. 3, mm a Schlaf theme on D. Säusle, liebe Myrthe Op. 68, No. 3, mm b Schlaf theme on E. Säusle, liebe Myrthe Op. 68, No. 3, mm c Schlaf theme on Ef. Säusle, liebe Myrthe Op. 68, No. 3, mm d Schlaf theme on D. Säusle, liebe Myrthe Op. 68, No. 3, mm Shallow middleground voice-leading sketch. Säusle, liebe Myrthe, Op. 68, No

11 3.4a Embedded chromaticism. Säusle, liebe Myrthe, Op. 68, No. 3, mm b Voice-leading sketch. Op. 68, No. 3, mm a Embedded chromaticism. Säusle, liebe Myrthe, Op. 68. No. 3, mm b c Voice-leading sketches. Op. 68, No. 3, mm (emphasis on mm ) a Embedded chromaticism. Säusle, liebe Myrthe, Op. 68, No. 3, mm b Example 3.6b. Voice-leading sketch. Op. 68, No. 3, mm a Recomposition with a cadence in C. Säusle, liebe Myrthe, Op. 68, No. 3, mm b Cadence in D. Säusle, liebe Myrthe, Op. 68, No. 3, mm c Voice-leading sketch. Op. 68, No. 3, mm a Parenthetical chromaticism (mixed boundaries). Säusle, liebe Myrthe, Op. 68, No. 3, mm b Voice-leading sketch. Op. 68, No. 3, mm a Parenthetical chromaticism (mixed boundaries). Säusle, liebe Myrthe, Op. 68, No. 3, mm b Voice-leading sketch. Op. 68, No. 3, mm a Motivic association with the words fächelt and fächle, meaning he fans and fan. Amor, Op. 68, No. 5, mm and b Motivic association with the word Amor, or Cupid. Amor, Op. 68, No. 5, mm. 2 3 and c Motivic association with the words Flügel(n), meaning wing(s). Amor, Op. 68, No. 5, mm. 5 6 and d Motivic association with the word Flammen, meaning flames. Amor, Op. 68, No. 5, mm. 8 9 and Middleground voice-leading sketch. Amor, Op. 68, No a Embedded chromaticism. Amor, Op. 68, No. 5, mm b Voice-leading sketch. Op. 68, No. 5, mm

12 4.4a Embedded chromaticism. Amor, Op. 68, No. 5, mm b Voice-leading sketch. Op. 68, No. 5, mm Embedded chromaticism. Amor, Op. 68, No. 5, mm a Embedded chromaticism. Amor, Op. 68, No. 5, mm b Voice-leading sketch. Op. 68, No. 5, mm Embedded chromaticism. Amor, Op. 68, No. 5, mm a Embedded chromaticism. Amor, Op. 68, No. 5, mm b Voice-leading sketch. Op. 68, No. 5, mm Parenthetical chromaticism (rigid boundaries). Amor, Op. 68, No. 5, mm a Parenthetical chromaticism (rigid boundaries). Amor, Op. 68, No. 5, mm b Voice-leading sketch. Op. 68, No. 5, mm a Parenthetical chromaticism. Amor, Op. 68, No. 5, mm b Voice-leading sketch. Op. 68, No. 5, mm

13 ABSTRACT This dissertation includes an exploration of the ways in which various chromatic excursions interact with structural (i.e., prolongational) processes in selected works by Richard Strauss. I classify certain kinds of chromatic passages into two broad categories: embedded chromaticism and parenthetical chromaticism. Episodes containing embedded chromaticism participate in prolongational processes at various structural levels, including the foreground and deep middleground. By way of contrast, surface-level chromaticism that counters or challenges a locally governing diatonic framework is described as parenthetical. Although these parenthetical regions create strong disturbances within events occurring close to the musical surface, the binding diatonic background remains intact. Like parentheses in prose, these musical parentheses temporarily disrupt an otherwise continuous idea. In music, these rhetorically marked passages are structurally separated from the music that frames them, and the aural effect of these interjections is indeed disconcerting. The first chapter of this dissertation includes a thorough review of literature concerning the analysis of chromatic tonal music from the late- and post-romantic eras, focusing on the various theories that attempt to define the boundaries of tonality as well as those that address the limitations of certain commonly used methodological approaches. Since a primary aim of this dissertation is to consider the structural ramifications of highly chromatic passages in Strauss s music (i.e., their impact on prolongational processes), the literature review in Chapter 1 concentrates on theories of prolongation that embrace a Schenkerian perspective of tonal structure, including those that expand upon his pivotal work. The final portion of Chapter 1 considers theories involving musical interpolations. Theorists since at least the late eighteenth century have used the terms interpolation and parenthesis interchangeably in order to describe vastly different types of musical interjections, including those that function as phrase expansions, as tonal digressions that

14 interrupt normative tonal syntax, and as formal devices (insertions that affect the overall formal structure of the composition). Of particular interest to the current project are Kofi Agawu s descriptions of chromatic passages in Mahler s and Strauss s music as structurally parenthetical. I deconstruct the major tenets of Agawu s analyses before presenting a formal introduction to the concepts of embedded and parenthetical chromaticism. Chapter 2 focuses on the structural implications of selected chromatic episodes found in various works by Richard Strauss. The analytical investigation centers on some of the ways in which embedded and parenthetical chromaticism can operate within a fundamentally diatonic framework. The examples of embedded chromaticism presented in Chapter 2 range from simple uses of mixture and tonicization to more complicated and extravagant chromatic techniques. The discussion of parenthetical chromaticism concentrates on two particular kinds of interjections. The first involves striking departures from musical expectation that challenge the unity afforded by the underlying diatonic structure. In these cases, the parentheses may suggest a competing tonal center that strongly contradicts the locally governing tonic. The second chromatic parenthesis features complex dissonances that occur within the context of consonant triadic sonorities. The examples featured in Chapter 2 range from pieces written for voice with piano accompaniment to works of grander proportions, including examples from an orchestrated Lied, an orchestral tone poem, and operas. These selections span sixty years of Strauss s compositional output, with compositions ranging in dates from the late 1880s (Don Juan, Op. 20, written in 1888) to the late 1940s ( September, written in 1948). Chapters 3 and 4 of this dissertation explore the structural and dramatic implications of these chromatic phenomena, concentrating particularly on the ways in which Strauss marks passages with chromaticism in two songs from his Brentano Lieder, Op. 68 Säusle, liebe Myrthe and Amor (Nos. 3 and 5). In so doing, I describe how embedded and parenthetical chromaticism interact with surrounding musical material and how these chromatic events can inform both the musical and dramatic unfolding of each song. Since these chapters concentrate on two texted works, the analytical discussions are prefaced with a brief survey of some issues concerning text-music relationships. In the final chapter of this dissertation, I propose some potential extensions to the ideas introduced in Chapters 1 and 2.

15 CHAPTER 1 INTRODUCTION AND LITERATURE REVIEW 1.1 Introduction to the Topic In this dissertation I will examine the interaction between chromaticism and diatonic structure in selected works by Richard Strauss. An important aspect of the project is the exploration of chromatic passages that are either rhetorically or structurally parenthetical to the musical context in which they occur. Most analyses included in this dissertation center on events that take place relatively close to the musical surface, although deeper structural levels are also considered at times. The goal of the study is to classify different kinds of chromatic phenomena, situating them within the tonally binding structural events that lie beneath the musical surface. A Schenkerian analytic approach will be used to craft graphic sketches of the musical selections considered in this dissertation. Schenkerian analysis is often used to reveal a work s tonal coherence and organic construction, while highlighting the relationships between its various structural levels. The voice-leading sketches included in this dissertation are used to draw attention to certain chromatic passages in Strauss s music, including ones that directly engage in structural processes as well as those that seem to challenge or threaten the structural integrity of the music. In each of the examples cited in Chapters 2 4, deep structural levels remain intact; however, the foundational glue in some of these excerpts appears to be less binding at the musical surface. At the end of this chapter, I will introduce a system for categorizing two kinds of chromatic passages: those that feature structurally integrated voiceleading constructions as opposed to those that suggest localized structural breaks on the musical surface.

16 The examples featured in Chapter 2 of this dissertation will be taken from a variety of Strauss s works, including selections from his Lieder, instrumental works, and operas. These examples will be used to illustrate the various ways that chromaticism may interact with a diatonic structure. Chapters 3 and 4 focus on the structural and dramatic implications of chromatic passages in two complete songs by Strauss, Säusle, liebe Myrthe and Amor, Op. 68, Nos. 3 and 5. I decided to focus my in-depth analyses on these particular songs for several reasons. They feature a large number of highly chromatic episodes within compact, selfcontained tonal entities. Further, the rich display of chromaticism in these songs penetrates beyond the musical surface, which affords an exciting opportunity to consider the interaction of chromaticism and diatonic structure at both shallow and deep structural levels. The presence of the songs texts provides an additional layer to be considered in the analytic study. Therefore, the expressive implications of the highly chromatic musical passages found in these songs can be examined alongside that of the songs texts. Another important factor influencing my decision to focus on selections from Strauss s Brentano Lieder in Chapters 3 and 4 is that indepth analytic studies of these songs are noticeably lacking from the literature. The relatively few published analyses of the composer s songs tend to focus on his other well-known works, including the Vier letzte Lieder and the Op. 27 collection (particularly Morgen! and Ruhe, meine Seele! ). It should be noted, though, that even these analytic studies are typically limited to a single article, book chapter, or even just a passing reference. Instead, most authors tend to focus on Strauss s orchestral tone poems or operatic works, but, as Norman Del Mar (1972) notes, song composition was an important part of Strauss s creative output, and his more than 200 songs were composed during just about every phase of his lengthy career, the only exception being the period spanning For articles and chapters that feature analyses of songs by Richard Strauss, see the following selections: V. Kofi Agawu (1992a), Richard Andrew Kaplan (1994), Margus Pärtlas (2001), Marie Rolf and Elizabeth West Marvin (1990), select chapters from The Richard Strauss Companion, ed. Mark-Daniel Schmid (2003). Selections of larger publications devoted to the study of Strauss s Lieder include Timothy L. Jackson (1988), Alan Jefferson (1971), Suzanne Marie Lodato (1999), and Barbara Petersen (1980). 2 The Brentano Lieder, Op. 68, (along with Opp. 66, 67, and 69) mark Strauss s triumphant return to the genre. These songs were each composed in 1918.

17 Before embarking upon the analysis of various types of chromatic passages in Strauss s music, it will be useful to consider first some current trends in the study of chromaticism in tonal music. In the subsections that follow, I will explore theories concerning the boundaries of tonality and the limitations of commonly used theoretical approaches. I will also survey how theorists tend to treat various types of musical interpolations and parentheses in analytical practice. In the last subsection of this chapter, I formally establish how these terms ( interpolation and parenthesis ) will be used in the current theoretical and analytical project. 1.2 Theories of Chromaticism in Tonal Music: Determining the Limits of Tonality The analysis of highly chromatic music that is nevertheless fundamentally tonal presents several complicated issues, especially concerning the applicability and usefulness of existing theories of tonality. Twentieth-century theories of chromaticism in tonal music often reflect the writings of Heinrich Schenker, either holding fast to Schenker s system, utilizing it as a point of departure, or challenging it head on. After presenting a brief survey of Schenker s position on chromaticism, I consider some alternative analytical approaches. A critical issue here concerns the applicability of Schenker s methodology to the analysis of highly chromatic tonal music. Matthew Brown (1986) provides a comprehensive overview of Schenker s position on chromaticism, drawing primarily from Schenker s Harmonielehre (1906) and Der freie Satz ([1935] 1979). In response to claims that Schenker s theories are not equipped to handle highly chromatic tonal music, Brown contends that Schenker s theories are often misunderstood (or perhaps just partially understood). Brown carefully conveys the major tenets of Schenker s theories, focusing on how chromaticism can arise and function in tonal music. A crucial point of his argument one that is of great importance to the current analytical project is that chromaticism in tonal music can appear both in shallow structural levels and in the deep middleground. In a particularly insightful portion of the article, Brown clarifies Schenker s concept of Stufen, which may occur in either diatonic or chromatic forms. The complete range of Stufen comprises seven entities, allowing for two distinct forms of the second, third, sixth, and seventh

18 scale steps. Brown explains, These chromatic Stufen do not elaborate or substitute for diatonic scale steps, they are alternative ways of expressing the same harmonic state. Indeed, as Schenker explains, chromatic Stufen are subject to exactly the same types of prolongation as diatonic ones. This point is particularly relevant for the current project, since mixture and tonicization are relatively common features of Strauss s music. As Schenker further developed his theory of tonality in the 1920s, he concluded that, in Brown s words, monotonal compositions were in fact controlled by a single tonal system and that so-called modulations were merely excursions within one basic framework (Brown 1986, 14c 15). Schenker s discussion of chromaticism in Free Composition ([1935] 1979) focuses on how it may arise and function in the various structural levels of tonal music. Although the fundamental structure must remain strictly diatonic, chromaticism can appear in the deep middleground and in structural levels that are nearer to the musical surface. Chromaticism at the first level appears as mixture of the major and minor third and as the emergence of b2. Chromaticism in the deep middleground can contribute to form, as shown in Schenker s sketch of Chopin s Mazurka Op. 17, No. 3 (Schenker [1935] 1979, Figure 30a). In addition to b2 and mixture of the third, later structural levels allow for even greater chromaticism: the foreground can feature mixture of 6 (as part of a descending fourth from 8 5 or as an upper neighbor to 5), chromatic embellishing tones (as in Schenker s Figure 73, 1 in Der freie Satz, which shows b3 as a passing tone between 3 and 2 in Chopin s Etude Op. 10, No. 12), and tonicizing agents (see Schenker s Figure 38a c). While some Schenkerians faithfully maintain the principles of his system, many modifications and extensions of his theories have been explored, with some gaining widespread 3 Monotonal pieces exhibit a single governing tonic; any tonal excursions within the piece are viewed as subordinate to the tonic key. 4 See in Free Composition for a discussion of chromaticism at the deep middleground level. Chromaticism at the fifth scale degree is also permitted at the first level, as long as it occurs in an inner voice as a decoration of the third divider, IIIs (Figure 15, nos. 1b, 2b, and 3b depict possible mixture of the third Stufe with s5). 5 See also the brief comparison of interrupted and non-interrupted forms in 312 (Der freie Satz).

19 acceptance. Considering the stretched and expanded applications of Schenker s system, one may rightly ask where Schenker s theory begins to lose its foothold. Under which circumstances does his approach need modification? When, precisely, does it become inappropriate (or simply too difficult) to view a piece from a Schenkerian perspective? From an historical standpoint, the closing boundary appears to lie somewhere in the highly chromatic music of Romantic and post-romantic compositions, at a point wherein functional tonality becomes less relevant to musical syntax. Several theorists have concentrated on determining the musical markers in these transitional repertories that point distinctly away from functional tonality. Among the many scholars who have carefully considered issues concerning the analysis of highly chromatic tonal music are Brown, Dempster, and Headlam (1997). In their article, the authors look to the theories of Schenker, Tovey, and Schoenberg to establish a rule of tonalness that serves as a gauge for determining whether a piece can be fruitfully analyzed using a Schenkerian methodology. They write, We argue that the tonalness of a piece is, in fact, a matter of degree that can be explored and measured.... Accordingly, some pieces can be less tonal than others depending upon the extent to which they contain tonal anomalies while conforming to the regularities that define this broad stylistic class (177 8). In their study, the authors focus on one harmonic entity in particular, siv or bv. In Schenkerian theory, siv (or bv) does not directly relate to the tonic of a piece, yet the harmony does occur in tonal contexts. Brown, Dempster, and Headlam outline three possible ways in which siv (or bv) can arise in tonal music: as a tonicization of V, within arpeggiations of other 6 Edward Laufer is often cited as rejecting any extension of Schenker s theories, but his well-known comment in his review of Oster s edition and translation of Der freie Satz is often taken out of context: Schenker s concepts as such are complete: they call for no extensions or modifications (1981, 161). Here, Laufer is explicitly referring to the implausible application of Schenker s theories to the analysis of non-tonal works not to the use of Schenker s theories to examine highly chromatic tonal music. In the paragraph that immediately precedes the familiar quote cited above, Laufer writes, The technical problems of twentieth-century application are obvious. There is no triad to be prolonged: thus, some contextually derived associative sonority must take its place. The concepts of consonance and dissonance, as technically defined, therefore cannot exist, nor can, strictly speaking, the notions of passing and neighbor notes as these were dissonant events. 7 The opening boundary, which lies somewhere between pre-tonal and tonal music, is also heavily debated, but it will not be discussed here.

20 Stufe (e.g., fiii/fiii), or within an expanded passing or neighboring motion. If siv (or bv) does directly relate to the tonic, then the piece exhibits features lying outside the boundaries of tonality: Since direct relationships between I and siv or bv cannot occur in normal tonal contexts, the theory implies that they can be used to create atonal environments (182). The authors hypothesis then states a general rule of tonalness. It defines a range of indirect relations between a tonic and siv or bv that are tonally well-formed and a range of tonally illformed direct relations (180). Their proposed system for determining the tonalness of a piece acknowledges some degree of variance among works composed within the same general time period. The authors are careful to make clear that their hypothesis states a criterion of tonalness and not a necessary condition for inclusion of a piece in the tonal canon (178). The aims of this dissertation are similar to those of Brown, Dempster, and Headlam, insofar as the tonalness of certain chromatic passages in Strauss s music will be ascertained by considering their relationship to and engagement in structural processes. While the underlying diatonic structure remains intact in each of the examples presented in Chapters 2 4, voice-leading disruptions sometimes challenge the tonal coherence at shallow structural levels. For Gregory Proctor (1978), the dividing line that determines the boundaries of tonality (and the applicability of a Schenkerian methodology) is less about degrees of tonalness than about perceived processes of chromatic generation. He proposes that two overlapping systems existed during the turn of the nineteenth century, thus dividing the common-practice era (often described as homogenous) into two separate periods. He makes a case for reading some nineteenth-century compositions as altogether different from their immediate predecessors, and he bases his argument on the ways in which chromaticism is generated in the two proposed practices, which he calls classical diatonic tonality and nineteenth-century chromatic tonality. In classical diatonic tonality, chromaticism appears within a strictly diatonic system. He refers to Schenker s theory of tonality to define the ways in which chromaticism arises in pieces of the earlier practice, determining that it surfaces through tonicization and mixture. 8 Brown, Dempster, and Headlam s expanded list of the possible ways siv (bv) can function at shallow structural levels is included on p. 168 of the article (1997).

21 Proctor recognizes that in his proposed system of nineteenth-century chromatic tonality all of the operations of the classical system are retained in the body of techniques. Also still present are the diatonic processes for generating chromatic notes: mixture and tonicization (131). However, the point of departure between the two systems of tonality is the emergence of a chromatic system based on the equally tempered, twelve-note chromatic scale. Thus, for Proctor, structural backgrounds are no longer defined in terms of a diatonic scale (or even a single major or minor triad), but rather in terms of the chromatic scale. Devices prevalent in nineteenth-century chromatic tonality include enharmonic tonal equivalence (as opposed to the use of enharmonic respellings as a matter of notational convenience in classical tonality), symmetrical divisions of a musical space, and the transposition operation. The constraining diatonic background of music from the early common-practice era, therefore, ceases to exist as a structural element in nineteenth-century chromatic tonality as defined by Proctor. Patrick McCreless (1996) takes Proctor s hypothesis as a starting point in his study of semitone-related keys found in nineteenth-century music. McCreless describes an evolutionary path from diatonicism to a harmonically based chromatic tonal space (98, McCreless s emphasis). And like Proctor, McCreless views chromaticism in certain nineteenth-century pieces as independent paths through the chromatic tonal space instead of, or at least as well as, broad inflections of a stable diatonic space (101). McCreless cites Wagner, Mahler, and Strauss as composers whose compositional procedures suggest a chromatic background. Regarding theories of late-romantic and post-romantic chromatic music, McCreless declares, Whereas Schenker rationalizes forays into chromatic space by showing how they function in terms of diatonic prolongation, the theory of late-nineteenth-century music must rationalize diatonic prolongation by showing how it fits into the larger context of chromatic space (103). Robert Morgan (1999) expresses a healthy skepticism towards the notion of a second tonal practice in his review of The Second Practice of Nineteenth-Century Tonality the book 9 This echoes ideas expressed by William Mitchell (1962). 10 Richard Kaplan (1985) bases his analysis of Strauss s Elektra on Proctor s groundbreaking work. 11 It should be noted, though, that McCreless does not consider any pieces by Mahler or Strauss in the chapter.

22 that includes McCreless s 1996 contribution cited above. Morgan eloquently offers his critique of the publication: There simply is no chromatic tonal system that is in any way analogous to the diatonic system. Can one speak, then, of a "second tonal practice" in nineteenth-century music, as the book's title suggests? The answer for me is clearly "no," since a stable tonal practice presupposes a stable tonal system. This is not to dispute that in much twentieth-century music, and even in a few exceptional nineteenth-century compositions (the only ones I know being by Liszt), chromaticism reaches a point where both tonal centricity and triadic harmony give way, allowing a purely chromatic structure to emerge. But there is a much larger body of work, especially in the previous century, in which chromatic relationships, even if predominant, work in close interaction with diatonic ones (though the latter may be significantly "warped" under their influence).... The evolution of tonality in the nineteenth century thus did not give rise to an entirely new way of doing things, but to modifications and extensions of what was already being done ( ). Richard Kaplan (1985), writing well before the publication of The Second Practice of Nineteenth- Century Tonality, takes a similar stand regarding some expanded chromatic techniques found in nineteenth-century music and their impact on a perceived tonal system. In his assessment of the chromatic techniques outlined in the first chapter of his dissertation, Kaplan writes, And yet, these usages must be regarded as means of expanding, rather than negating, that system. The virtually continuous presence of these materials and techniques make such negation impossible (82). My views on the matter align closely with Morgan s and Kaplan s assessments. I find that the proposed notion of a chromatic system is antithetical to structural features in selected works by Richard Strauss. While parallel voice leading (similar to that of Proctor s transposition operation) and semitone-related keys do appear in Strauss s music, I am not compelled to commit Strauss s compositional style to something that features structural properties that are simply tonal analogues. In other words, the extended chromatic techniques found in selected works by Strauss are ones that are rooted in a tonal, diatonic background structure. In certain cases, though, surface-level digressions challenge the tonal coherence of late structural levels.

23 Although these parenthetical regions create strong disturbances within events occurring close to the musical surface, the binding diatonic background does indeed remain intact. In the second chapter of this dissertation, I will suggest ways in which different kinds of chromatic passages interact with a piece s diatonic structure (either at very shallow local levels or at deeper levels). Although these highly chromatic passages may distort one s perception of a tonal background in the moment, I argue that such difficulties perceiving an atemporal diatonic space do not necessarily negate the presence of one. The diatonic structural backgrounds described by Schenker are still relevant to much of Strauss s compositional output, and the various middleground and foreground prolongational devices are also still at play. In an earlier publication, Patrick McCreless (1990) proposes a radically different view of chromatic tonicization. While he does not question the strength or usefulness of Schenker s theory, he feels that it is sometimes too narrow in its focus and that it fails to account for tonal cross-references among movements in multipartite works. Further, McCreless challenges the notion that all chromatic events arise strictly from voice leading. It is this last point that will be considered in some detail here. In his opposition to parts of Schenker s system, McCreless proposes an alternative view of chromaticism in tonal music, one suggesting that chromaticism may be generated from outside the structural diatonic framework of a piece. The result is that McCreless elevates certain chromatic events to motivic status, which contrasts sharply with the notion that chromatic phenomena result from linear expansions. And while McCreless does allow that such chromatic events can be represented as elaborations of a diatonic voice-leading paradigm, he feels that in certain instances, a given chromatic scale-step, harmony, or even pitch class can assume a motivic role (135). There are a number of questions that come to mind when considering McCreless s hypothesis. Under what circumstances does chromaticism become motivic? How do we reconcile more traditional definitions of what constitutes a motive with McCreless s more liberal use of the term? Finally, if a chromatic chord can be explained as the result of voice leading, how can we defend its harmonic-ness (and how does one deal with this apparent discrepancy in a voice-leading graph)? Regarding the last question, Matthew Brown s careful examination of tonality offers some insight (Brown 2005). Brown looks to Schenker s writings to define some basic principles of tonality. In his discussion of The Complementarity Principle,

24 Brown discusses the role of vertical (harmonic) and horizontal (linear) musical components in Schenker s theories, specifically those outlined in Harmonielehre. Schenker eschewed considering the contrapuntal aspect of a work at the expense of its harmonic elements and vice versa. Schenker echoes this idea in his discussion of specific foreground events in Der freie Satz ([1935] 1979): Throughout the prolongation-levels it is sometimes the horizontal which determines the particular course and meaning of the vertical, sometimes the vertical which by its own voice-leading dictates the horizontal. So, in one instance we can speak of the horizontalization of the vertical, in another instance of the verticalization of the horizontal. ( 277). McCreless s stance on chromaticism in tonal music is perhaps more closely aligned with Schenker s than he lets on; his way of describing chromaticism as a motivic entity is what separates McCreless s readings from ones that more closely reflect Schenker s practice. Similar questions will necessarily need to be addressed in the current theoretical endeavor. Chapter 2 of this dissertation features numerous examples of two principal kinds of chromaticism: ones that are structurally integrated into the voice-leading fabric of the music (embedded chromaticism) and ones that signal a structural departure that challenges the coherence of the musical surface (parenthetical chromaticism). The analytical discussion in Chapter 2 will focus on the ways in which these opposing constructions interact with diatonic structure. Where chromaticism in Strauss s music is interpreted as lying outside the bounds of surface-level structural coherence, my goal will be to establish clear parameters for defining the structural disturbances, based on voice-leading constructions and rhetorical markers. 1.3 Trends in the Analysis of Late- and Post-Romantic Chromatic Music In practice, recent analytical studies of highly chromatic tonal music (including works by Richard Strauss and other late- and post-romantic composers) feature a wide array of approaches. 12 McCreless s consideration of referential chromatic events occurring across various movements of a multimovement work is also outside the bounds of Schenker s system, but this departure will not be considered further here.

25 Since the aim of the current project is to explore the interaction of chromaticism with diatonic structure in selected works by Strauss, the précis included in this section will be limited to methodologies that best reveal prolongational processes of tonal music. My intention is certainly not to downplay or discredit the usefulness of other analytical approaches. Theories of voice-leading transformations in particular have yielded numerous thought-provoking analyses that provide sensitive readings of highly chromatic music. But because voice-leading transformations are well suited to describe relationships between harmonic entities or keys without reference to a hierarchical tonal system, such an approach is not compatible with the aims of this dissertation. It should be noted, though, that Schenkerian and transformational methodologies can be (and have been) considered alongside one another. Some scholars, including Elizabeth Sayrs (1997, 2007) and Steven Rings (2007), have combined transformational and Schenkerian methodologies in their analyses of chromatic tonal music. Sayrs (1997) examines the theoretical implications of multiple approaches, including transformation theory and Schenkerian theory, in her intradisciplinary study of selected songs by Hugo Wolf. The second issue of the Journal of Schenkerian Studies (2007), which features several analyses that utilize both Schenkerian and neo-riemannian methodologies, highlights the growing trend to utilize an intradisciplinary approach like the one adopted by Sayrs. Rings, whose contribution includes an analysis of Schubert s Impromptu in Eb, D. 899 no. 2, is careful to point out that the marriage between the two methodologies is not without problems. He writes, While the twotrack approach acknowledges that the triadic structures in a tonal work may simultaneously exhibit both tonal and triadic-transformational properties, it nevertheless models them in entirely different ways, revealing little about their interaction or mutual influence (39). He later warns that to treat a transformational Klang as a structural Stufe (and vice versa) is to mix theoretical metaphors in a way that courts methodological confusion (44). He proposes that 13 See also Steven Scott Baker s study of parsimonious voice leading and tonal structure in Richard Wagner s Parsifal (2003). 14 See also Sayrs s contribution to the issue, which draws from her previous research concerning multifaceted approaches to the analysis of Wolf s Lieder. Instead of defining surface-level motivic events as they relate to a governing deep-level tonic triad, Sayrs considers various motivic entities as they relate to one another. In other words, the status of surface-level motivic phenomena is greatly elevated in her study.

26 The most productive way to understand the relationship between Schenkerian and transformational discourses is thus not through assimilation into a single method, nor through competition, but through dialogue (45). Frank Samarotto (2003) also draws attention to the inherent differences between the types of structures transformational and prolongational theories describe, but he does not deny that these structures can exist together in music. Samarotto offers examples from selected works by Brahms that feature nested transformational passages within larger diatonic contexts. He suggests that, in certain instances, these transformational episodes cannot be easily reconciled by diatonic prolongational processes. Although he never refers to these discrepancies as structurally parenthetical, the model presented in his Figure 2c (reproduced here as Figure 1.1) indicates a break in tonal coherence at the level of the Diatonie (i.e., the governing diatonic system). His analysis of Brahms s Rhapsody in B minor, Op. 79, No. 1 (mm. 1 66), reflects the type of tonal conflict modeled in his Figure 2c (my Figure 1.1). In the first forty-four measures of the work, a transformational path involving an equal-interval cycle of major thirds leads the music into the realm of the lowered dominant ( V). The discrepancy between V# (F#) and V (F ) is not something that can be comfortably reconciled within a diatonic structural framework. 15 Several of Samarotto s examples feature equal-interval cycles that divide musical space into thirds, but he resists describing the relationships between the individual chords along the cycles in terms of neo-riemannian voiceleading transformations (e.g., as a PL cycle). 16 The major third cycle connects F#3 to Gb2 in the bass, which Samarotto does not interpret as being enharmonically equivalent sonorities. Rather, the Gb major chord functions within the local key of Bb as bvi. Motion out of an inner voice then transforms the Gb major sonority into an augmented-sixth chord in Bb, which then leads to its dominant (F ). 17 Samarotto (2003) does not reference Brown, Dempster, and Headlam s #IV (bv) hypothesis (1997) in his unpublished talk, but the juxtaposition of V and V in Brahms s Rhapsody in B minor from Op. 79 is quite clear. Samarotto s voice-leading sketch depicts V (F ) as part of a prolongation of the dominant proper (as an altered version of the diatonic Stufe) and not as a direct relation to the tonic. Samarotto acknowledges that one could present a more conventional Schenkerian interpretation of the piece, but he feels that his reading captures more accurately the true essence of the musical structure.

27 Figure 1.1. Reproduction of Figure 2c from Samarotto (2003). Model of diatonicism in conflict with transformational passages. To be certain, the marriage of prolongational and transformational methodologies could reveal interesting relationships between various entities found in highly chromatic music. The blending of these approaches can afford the analysts greater flexibility in the ways in which they communicate their findings. Nevertheless, a blended approach that incorporates both Schenkerian and transformational methodologies is not particularly well suited for the project at hand. The kinds of chromatic passages discussed in Chapters 2 4 of this dissertation exemplify two particular types of voice-leading constructions: ones that are integrated into prolongational processes (embedded chromaticism) and ones that are structurally separated from the larger context in which they occur (parenthetical chromaticism). Episodes of embedded chromaticism are subsumed by the underlying diatonic structure and can be comfortably accounted for using a Schenkerian approach. On the other hand, in treating structural discrepancies as parenthetical, I aim to present a reading that places the disturbances in direct opposition with the prolongational techniques that surround them. In so doing, I hope to draw attention to the sense of otherness that these rough voice-leading breaks create on the musical surface. Lastly, the content that sounds within the parenthetical boundaries often features complex vertical dissonances for which neo-riemannian voice-leading transformations cannot account. Since the methodology that will be used in this dissertation aligns with a Schenkerian perspective, it will be useful to survey analyses of chromatic tonal music thatt also embrace a Schenkerian-based approach. Prolongational studies of late- and post-romantic music are

28 abundant, but I will limit the discussion here to a selected few in order to demonstrate some of the ways in which Schenker s theories of tonality can be applied to the analysis of chromatic music. In many cases, Schenker s ideas are modified or expanded in some way in an attempt to fit the model to the music and not the reverse. Robert Morgan (1976) explores Schenker s concept of prolongation and expands it to better account for dissonant prolongations at deep structural levels. While Schenker s strict adherence to analyzing music in terms of a consonant background prohibited dissonant prolongations, Morgan points out the notable irony that Schenker has provided a working model for an analysis of this music an analysis that invokes many of the procedures employed by Schenker in dealing with earlier music. The dissonant prolongations Morgan presents in the music of Brahms, Schubert, Schumann, and Wagner are determined by the context in which they arise, which is not influenced by conventions of the tonal system. His examples include Schubert s Die Stadt, in which a diminished-seventh chord supports the Kopfton in the second verse of the song, and a passage from Liszt s Faust Symphony, in which an augmented triad is the referential sonority that serves as the basis for the dissonant prolongation. Other extensions of Schenker s principal theories may arise from a broadening of the repertoire deemed appropriate for viewing through a Schenkerian lens. Deborah Stein s noteworthy contribution on Hugo Wolf s songs is but one example (1985). Stein utilizes a (quasi-)schenkerian approach in her study. She is aware of the limitations of Schenker s system, and she evaluates its applicability throughout the project. Not surprisingly, Stein must confront several problematic issues that Schenker s theories simply cannot account for without some adjustments, including perplexing harmonic and tonal ambiguities, double tonality, the occasional lack of a structural Ursatz, and her proposed plagal axis. 18 See, for example, studies by William J. Mitchell (1967), Warren Darcy (1990), and Patrick McCreless (1989), which focus on the applicability of Schenker s theories of prolongation to the analysis of Richard Wagner s music. Mitchell s analysis considers the structural aspects of the Tristan Prelude. Darcy presents a structural reading of an excerpt from Wagner s Das Rheingold, revealing a tonal Ursatz. McCreless (1989) concentrates on the analysis of Götterdämmerung, specifically the Norns scene. 19 Howard Cinnamon presents a case for prolongational procedures involving third-related harmonies. Like Morgan, he presents an analysis of Liszt s Faust Symphony. See his Tonic Arpeggiation and Successive Equal Third Relations as Elements of Tonal Evolution in the Music of Franz Liszt, Music Theory Spectrum 8 (1986): 1 24.

29 Rather than forcing a conservative Schenkerian reading onto her interpretations of Wolf s songs, Stein remains sensitive to the limitations of Schenker s system and utilizes it as a gauge to determine the range of extended-tonal techniques featured in selected songs by Wolf. She writes, Where Schenkerian analysis remains applicable, the extended-tonal technique can be characterized as relatively conservative. Where Schenkerian analysis becomes inapplicable and inappropriate, the extended-tonal technique can be considered unusual and innovative (3). Some of the innovative characteristics that Stein describes include third-related harmonies, tonal ambiguity, double tonality, and harmonic substitution. Double tonality and harmonic substitution occurring at deep structural levels are particularly noteworthy because these extended techniques are not compatible with the fundamental tenets of Schenker s theories. 20 While Stein states that she will neither modify Schenker s system nor impose a strict Schenkerian reading where inappropriate, her thoughtful presentation of novel structures in Wolf s songs is undeniably an overt modification of Schenker s theories of tonality. To be certain, Stein s use of terms such as Ursatz, Kopfton and Urlinie, and her reference to various structural levels is taken directly from Schenker s writings. When these elements do not behave as described by Schenker, Stein liberally modifies the system to account for the proposed tonal innovations. The conclusion to the book s second chapter provides a concise example. Here, Stein includes a side-by-side comparison of two background structures: the Schenkerian Ursatz and a modified background showing a plagal axis in place of a dominant axis. The notational figures are the same in each paradigm, suggesting that both are structurally equivalent (i.e., that both are plausible tonal backgrounds). The departures from Schenker s model are readily apparent in Stein s depiction of the plagal axis, which she acknowledges in her comparison of the two structures. She notes the lack of a Kopfton descent and she describes the substitution of the subdominant for the dominant at the deepest structural level as an inherent structural weakness (56). In this dissertation, I use Schenkerian terminology to describe structural aspects of Strauss s music that are prolongational. In the special cases in which tonal coherence is threatened by non-prolongational phenomena, the use of a 20 Double tonality involves two competing tonal centers at the deepest structural level. Harmonic substitution can occur at various structural levels, but the replacement of the dominant at the background level is particularly noteworthy.

30 Schenkerian approach will be temporarily discontinued in order to more clearly reflect some of the innovative chromatic features of Strauss s musical language. Similar extensions of Schenker s theories are seen in prolongational analyses of Richard Strauss s music. In his consideration of harmony and voice leading in two songs by Strauss, Margus Pärtlas (2003) interprets perplexing surface-level chromatic passages as transformations (or deformations ) of proposed Classical tonal models. He contends that a diatonic tonal paradigm exists at deep structural levels, serving as the governing force behind highly chromatic surface-level events even if these background events cannot literally be traced to the musical surface. Pärtlas s thesis is that deformations of diatonic models result in false tonal steps and mistaken tonal turns in the music. Pärtlas s analysis of Strauss s Das Rosenband, Op. 36, No. 1, proposes one such false move that occurs when a local octave progression progresses one semitone too far, which transforms an underlying linear octave progression into an augmented octave. The distorted octave progression connects the Kopfton 5 (E) with its shadow, b5 (Eb). In his Example 5, which is reproduced below as Examples 1.1a b, Pärtlas normalizes the linear progression that occurs in mm. 1 11, showing 5 and b5 in the same register as E5 and Eb5. The harmonic support for the altered Kopfton is bv, which Pärtlas treats as equivalent to the dominant proper ( V, note the dotted slur that connects the lowered dominant in m. 11 with the diatonic dominant in m. 27). In the complementary deep structural reading that Pärtlas provides, the realm of the shadow tonality is corrected to reflect a purely diatonic structural underpinning (this is shown in my Example 1.1b). The contradiction between these structural levels is problematic, because Pärtlas suggests an underlying background structure that cannot be traced to events occurring on the musical surface. Pärtlas s analyses do, however, communicate a certain amount of musical truth that resonates with some general stylistic characteristics of Strauss s music. By relating perplexing surface-level chromatic phenomena to simpler diatonic models, 21 Pärtlas borrows the notion of shadow tonalities from Richard Bass (1988). 22 This is not entirely different from the readings of diatonic conflict in Brahms s music presented by Frank Samarotto (2003). A notable difference, though, is that Pärtlas incorporates these altered Stufen (e.g., bv) into a prolongational reading of Strauss s music. He eventually reconciles the tonal tension by normalizing non-diatonic Stufen at deep structural levels.

31 Pärtlas presents readings that are in tune with Strauss s stylistic positioning as a post-romantic composer. At times, though, Pärtlas forces these extravagant chromatic events to fit into a more conservative Schenkerian perspective one that neatly situates them within a normative diatonic model, thus downplaying the idiosyncratic details of these surface-level events. My proposed model resists radical normalizations of chromatic passages that deviate from conventional prolongational processes, seeking instead to preserve (even highlight) the peculiarity of the voice-leading constructions involved in these digressions. 1.1a 1.1b Examples 1.1a b. Reproduction of Example 5 from Pärtlas (2003). The examples show two deep-middleground voice-leading sketches of Strauss s Der Rosenband, Op. 36, No. 1. In this dissertation, certain departures from traditional structural processes are viewed as parenthetical interjections that threaten the tonal coherence of the musical surface in selected works by Strauss. These digressions are characterized by extended passages featuring harmonically ambiguous, complex vertical dissonances or by redirected cadential progressions that strongly suggest a (temporary) competing tonal center. The lack of surface-level coherence does not, however, imply strength or weakness in Strauss s tonal fabric. The chromatic passages that are found to lie outside of the bounds of normal tonality will be interpreted as

32 parentheses that do not participate in structural processes. The enclosing of such departures within left and right curved brackets in the Schenkerian sketch can elegantly indicate where these departures occur on the musical surface, without forcing a wholly linear reading onto the interjections and without relying on extended tonal techniques as a strained explanation for their occurrence. 1.4 Background for the Concept of the Musical Interpolation There are certain musical passages that can create the effect of interjections. These episodes seem to be parenthetical to the larger context in which they occur. When describing such passages, music theorists often use such terms as interpolation and parenthesis interchangeably. In this dissertation, the term parenthesis will be used explicitly to describe chromatic passages that signal structural breaks on the musical surface. The term interpolation may be used to describe structurally integrated chromatic episodes called embedded chromaticism, including ones that feature parenthetical rhetoric but no structural separation from the surrounding musical materials. Broadly stated, common types of musical interjections involve phrase expansions, tonal digressions, and formal devices (insertions that affect the overall formal structure of the composition). In this section, I will survey the various descriptions of musical interpolations and parentheses in music-theoretic studies. In doing so, I will address the parameters the authors use to determine where parentheses occur in music and comment briefly on their correlation to the types of parentheses described in this dissertation Parenthesis as Phrase Expansion The use of the term parenthesis to describe musical phenomena dates back to at least the late eighteenth century, beginning with Heinrich Christoph Koch s treatise, Versuch einer Anleitung zur Composition ([1793] 1983). In the work s third volume, Koch outlines several different ways that a composer can expand a given melodic phrase using internal interpolations. These nonessential passages are placed either between the segments of a phrase or between a complete melodic section and its repetition (160). Koch discusses several

33 kinds of melodic parentheses, and he briefly considers the various contexts in which a parenthesis may be used. Koch s consideration of musical parentheses is couched in terms of their use as a compositional device as a way of extending the mileage of a given melodic phrase. Not surprisingly for a composition treatise, the focus is entirely on melodic construction, and Koch s treatment of the topic offers little in the way of how one goes about recognizing a parenthesis in a larger musical context (i.e., from the analyst s perspective). A consideration of the interpolation s structural implications is also well beyond the scope of Koch s discussion. His description of ancillary passages as somehow parenthetical certainly makes clear his sensitivity to their musical effect as brief interruptions within an otherwise well-formed (and complete) melodic thought. William Caplin (1998) explores interpolations in his study of musical form in the instrumental music of Haydn, Mozart, and Beethoven. For Caplin, an interpolation arises as a deviation from the model period form. The interpolation interrupts two logically succeeding formal functions, and it must not be motivically connected to the musical material that precedes it, lest it be heard as an extension (55). Further, the interpolated material can be reduced out to restore the model grouping structure. 25 An example of this kind of phrase 23 Rothstein (1989) explores the structural implications of some of the examples provided by Koch. He notes that at least one interpolation alters the underlying tonal structure so much that it may not be rightly deemed parenthetical at all (i.e., that Koch s proposed parenthesis is actually an essential part of the resulting structural skeleton). 24 Some earlier twentieth-century studies of musical form, including those by Green (1965) and Berry (1966), also discuss interpolations within phrases, but these studies typically do not define them as narrowly as does Caplin. For instance, Green uses the term broadly and includes examples of interpolations that are indeed motivically related to the surrounding musical material. 25 Deborah Rifkin (2006) uses Caplin s theory of phrase structure particularly his prototypes for sentence and period structure to examine how some twentieth-century composers thwart tonal expectations with anomalous chromatic gestures (133). She describes the effect of these chromatic phenomena as creating a sense of dislocation, a frustration of conventional expectations, and disorienting juxtapositions (146), but the kinds of tonal disruptions she presents behave much differently from those presented in this dissertation. In her examples, innovative uses of chromaticism are shown to operate within phrases that adhere to a normative grouping structure (i.e., the regular hypermetrical organization of the phrases would be disrupted if the chromatic phenomena were reduced out). In this dissertation, some chromatic interjections are described as parenthetical if they are not essential components of phrase structure and if they operate outside of normative voice-leading constructions. These parenthetical disruptions can be reduced out to reveal an underlying normative tonal syntax.

34 modification is shown in Caplin s Examples 4.11a and 4.11b (54), reproduced below as Examples 1.2a and 1.2b. The excerpt highlights two interpolations (one in the expansion of an antecedent phrase, the other in the expansion of a consequent phrase), as well as a recomposition that illustrates the normative grouping structure. Example 1.2a. Reproduction of Examples 4.11a from Caplin (1998), which shows two internal phrase expansions as interpolations. Mozart, Piano Concerto in F, K. 459, ii, mm Example 1.2b. Reproduction of Examples 4.11b from Caplin (1998), which reveals the normative grouping structure that underpins the passage shown in Example 1.2a (Caplin s Example 4.11a). Mozart, Piano Concerto in F, K. 459, ii, mm The types of internal phrase expansions described by Koch and Caplin noticeably impact the hypermetrical structure of a prototypical phrase, and it is this interaction that primarily interests William Rothstein (1989). Rothstein notes that these length-altering phrase transformations are most readily observable when a contextually established norm is altered. These alterations are especially clear when a basic (unaltered) phrase is available for comparison. Rothstein observes, however, that a basic phrase is not always present. He writes, Where no literal statement of the basic phrase appears... other factors may give clues to the presence of an expansion: a significant slowing of harmonic rhythm, a clear connection across a

35 parenthetical gap, (or more weakly) a sudden increase in phrase length or the disruption of an established hypermeter (271). When an abiding musical logic is obscured or difficult to perceive, Rothstein suggests that listeners may elevate interpolations to a higher perceptual status than the concept of parenthesis would seem to imply. The result, for the listener, was (and is) likely to be an increased emphasis on the perception of foreground melodic recurrences, probably at the expense of larger tonal and rhythmic motions that may still be present (271). Use of the terms parenthesis and interpolation in scholarly discourse is certainly not limited to matters concerning melodic construction or phrase expansion as described by Koch ([1793] 1983), Rothstein (1989), and Caplin (1998). Other theorists, including Schenker ([1935] 1979), Agawu (1992a), and Bribitzer-Stull (1996), have considered a broader application of these terms. In the subsections that follow, I will outline some alternate views of musical parentheses, ones that consider the interjection s interaction with both the vertical and horizontal dimensions of the music as well as its large-scale structural and formal ramifications Parenthesis as Interruption of Normative Tonal Syntax Schenker s reading of a musical interpolation in the final movement of Beethoven s Sonata in E b major, op. 7, centers on the interruption of a fairly common harmonic progression. His analysis compares two passages from the rondo: mm and mm (see Schenker s Figure 121, 2a and 2b from Der freie Satz reproduced as Example 1.3 below). The first features a deceptive motion from V to vi in E b major. The motion to vi is embellished by a chromatic passing tone, B. He notes the dramatic presentation of pitch-class B in octaves, which marks the passage for memory. The later excerpt (mm. 154 and following) is cued as a restatement of the harmonic progression heard in mm , complete with the chromatic slip away from the dominant of E b to the marked octave B s. However, the recontextualization of the passage leads into, in Schenker s words, a dreamlike digression into E major (101). The interpolation of the E-major episode is an essential aspect of the work s tonal structure, though, since it allows for the introduction of Gs/A b (4) over consonant support. Notice that Schenker s sketch connects Gs to its enharmonic equivalent pitch, A b, which arrives after the close of the interpolation. Although material within the interpolation is structurally linked to the more

36 substantive passages that surround it, Schenker s use of parenthetical punctuation in his sketch is remarkable. To be sure, the enclosed interpolation is partitioned off from the broader musical context, perhaps suggesting a structural divide at the shallowest levell (or at least that the parenthetical material is structurally subordinate). Example 1.3. Reproduction of Figure 121, 2a and 2b from Schenker ([1935] 1979). The voice- harmonic leading sketch shows an interpolation as an interruption of a conventional progression in the middleground of Beethoven s Sonata, Op. 7, movement four. In his review of Schenker s Der freie Satz, Edward Laufer (1981) explores further the possibility of structural parentheses and provides an alternate reading of the finale movement of Beethoven s Sonata Op. 10, No. 3 a reading that proposes a parenthetical interpolation in mm (this section comprises the final rondo refrain in the movement). Laufer s analysis is heavily influenced by both harmonic and registral associations bridging across the interpolated material: notice especially Laufer s linkage of the dominant in m. 80 to the one in m. 91. The last refrain, then, is not viewed as a return to tonic but as a parenthesis that delays the arrival of 4 (as an incomplete neighbor to the Kopfton 3) that continues to 2 over the dominant in m Parenthesis as Tonal and Formal Device Perhaps the most thorough exploration of musical parentheses to date is Matthew Bribitzer- Stull s work (1996), although the interpolations he examines operate under very different parameters from those outlined by Koch, Caplin, Rothstein, Schenker, and Laufer. In his study, Bribitzer-Stull investigates the parenthetical nature of the cadenza, focusing on the ways in 26 Edward Laufer (1985) presents examples of structural parentheses in works by Mozart and Liszt. I am extremely grateful to Matthew Bribitzer-Stull for sharing materials from Laufer s unpublished presentation.

37 which it can relate to a work s tonal structure and form. Regarding these local- and global-level interactions, a cadenza may be essential, inessential, or somewhere in between (237). His proposed cadenza types account for all nine potential tonal and formal relations (e.g., tonally essential and formally unclear, tonally inessential and formally unclear, etc.). One of the possible cadenza types Bribitzer-Stull considers is the tonally and formally essential cadenza. He suggests that cadenzas of this kind are typically found in nineteenth- and twentieth-century pieces in which the cadenza is written into the score itself: That composers... grew increasingly concerned with the content of the cadenza proper and resorted to writing it out suggests that the cadenza material was not parenthetical... to the formal and/or tonal structure (220). Bribitzer-Stull argues that the linguistic metaphor may not be applicable to all the tonal and formal functions of the cadenza. However, his analyses (including his overview of the tonally and formally essential cadenza from Liszt s Piano Concerto no. 1 in Eb major) consistently incorporate lunulae, the curved brackets used to indicate a parenthetical insertion in writing. It seems clear that the tonally and formally inessential cadenza is truly parenthetical based on the given parameters, but what are the specific musical events that trigger a parenthetical digression? And what are the components that shape the interior of the parenthesis? These questions must necessarily be addressed in Strauss s music, as various chromatic interjections are described in the second chapter of this dissertation Parenthesis as Chromatic Phenomenon Kofi Agawu s studies of chromaticism in the music of Richard Strauss and Gustav Mahler focus on voice leading, structural coherence, and interpolations (1992a and 1997). 27 Situating Mahler s poetic flights against a backdrop of a more conventional tonal syntax, Agawu (1997) proposes that the diatonic structure of Mahler s music is enriched through the use of chromatic phenomena, specifically mixture and interpolation. By describing interpolations as enrichments of a diatonic framework, it would seem that these chromatic episodes may actively participate in Auskomponierung, but Agawu s interpretation of how these voice-leading 27 Kaplan (1978) explores chromatic voice leading in Mahler s Tenth Symphony. He examines passages that feature various degrees of chromatic complexities, including those that may be traced to simpler diatonic origins and those that result in striking harmonic discontinuities. Kaplan s methodological approach is based on that presented by William Benjamin (1976).

38 constructions interact with a work s diatonic structure triggers a significant departure from Schenker s theories. In Agawu s words, mm of Das Lied von der Erde, movement three, include a larger-than-life interpolation between the framing articulations of F not a composing-out of F major Stufen. This is not to imply a loss of tonal meaning; rather, such meaning is guaranteed by the motivic process even as the passage as a whole renounces traditional processes of Auskomponierung (232). Agawu s hypothesis that structural (i.e., tonal) coherence can derive from surface-level motivic processes is indeed radical. In Der freie Satz, Schenker makes clear his argument that musical coherence can be achieved only through the fundamental structure in the background and its transformations in the middleground and foreground ([1935] 1979, 6). The discussion of parentheses in this dissertation will also investigate the structural implications of certain chromatic disturbances. I maintain, though, that these interjections are surface-level phenomena that do not penetrate deep structural levels and that tonal coherence at the background remains intact. Agawu (1992a) also considers chromatic interpolations that occur in selected works by Strauss, situating them against the kinds of episodes found in Mahler s music. His contribution to Richard Strauss: New Perspectives on the Composer and His Work focuses on the Schoenbergian notion of extended tonality in brief excerpts of music often comprising only a handful of measures. Agawu uses a paradigmatic approach to compare recurring passages of extended tonality, but he also engages in a Schenkerian methodological approach to describe prolongational processes and diatonic structure. His findings lead to the generalization that, while Mahler was ultimately concerned with the linear dimension of musical space, Strauss had a tendency to stress the vertical over the horizontal (72). Particularly relevant to the current project is Agawu s interpretation of a densely chromatic passage in Strauss s Ruhe, meine Seele! Op. 27, No. 1. In his analysis, Agawu situates the song entirely within the realm of C major, but he suggests that mm See also Schenker s relatively lengthy diatribe against the use of the terms melody, motive, and idea (Der freie Satz, 50).

39 constitute a structural parenthesis that disrupts tonal syntax. It is not entirely clear how the span relates to Agawu s reading of the diatonic structure, but he later concludes that in this dramatically end-oriented context, extended tonality has less the character of an interpolation or digression than of a larger-than-life enrichment of a 5-line, which suggests that the passage is in fact not parenthetical at all (70). Agawu s (eventual) reading of the chromatic interpolation as integrated within structural processes of Auskomponierung marks a significant divergence from his use of the same term ( interpolation ) to describe structural departures in Mahler s Das Lied von der Erde, movement three. The paradox is indeed baffling, but it is one that can be easily reconciled. In this dissertation, I will carefully describe the parameters for embedded and parenthetical chromaticism, placing these voice-leading constructions in opposition to one another. Further, the word interpolation will be supplanted, in order to avoid causing unnecessary confusion. 1.5 Conclusion The foregoing discussion reveals the multivalent nature of parentheses in musical discourse. This dissertation also considers musical parentheses, but in markedly different terms. Parentheses will not be defined as formal or tonal devices; rather, they will be defined as chromatic phenomena that challenge the notion of a tonally coherent musical surface. These shallow-level constructs are shaped by the interaction of chromaticism with diatonic structure, but they exist and operate outside that structure. In the second chapter of this dissertation, I propose a new way of thinking about certain chromatic passages in Strauss s music. The methodology I will employ takes into consideration both the linear and vertical dimensions of a chromatic span of music to determine its structural implications. I will classify two broad categories of chromaticism: embedded chromaticism and parenthetical chromaticism. Embedded chromaticism is prolongational or embellishing in nature, and it is subsumed by the music s underlying diatonic structure, even if rhetorically separated from its surrounding materials by pauses, sudden registral changes, or other discontinuities. Embedded chromaticism commonly features mixture and tonicization, which are both described by Schenker ([1935] 1979). In addition to these fairly normative uses of

40 chromaticism, Strauss frequently exploits chromatic voice-leading constructs that are more typical of a late- or post-romantic tonal style. As the examples in Chapter 2 will show, some of these more extravagant chromatic passages are also readily accounted for in Schenker s theories, and they can be shown in relation to an underlying diatonic structure using his reductive analytical approach. As Matthew Brown (1986) clearly establishes, Schenker s system allows for the appearance of chromatic elements in shallow structural levels as well as in the deep middleground. In Strauss s music, even extravagant chromaticism can sometimes penetrate deeper structural levels, and will still be classified as embedded chromaticism. By way of contrast, chromatic parentheses create structural gaps on the musical surface. They are usually accompanied by salient rhetorical markers that are immediate indicators of the surface-level break, but these breaks by themselves do not establish a passage as parenthetical. Rather, the most important feature of this kind of chromaticism is its detachment from the structural processes that bind its surrounding musical context (e.g., prolongation via foreground diminutions). Chromatic parentheses are incongruent passages that create an aurally disrupting (and potentially disorienting) effect through the use of complex vertical dissonances, redirected cadential progressions, and the like. The particular features of both embedded chromaticism and parenthetical chromaticism will be carefully defined and illustrated through a series of musical examples in the following chapter.

41 CHAPTER 2 EMBEDDED AND PARENTHETICAL CHROMATICISM At the end of Chapter 1, I introduced two broad types of chromatic passages that are found in Strauss s works: embedded and parenthetical chromaticism. In this chapter, both types of chromaticism will be discussed formally, and examples of each will be provided and explored in detail. The focus in this chapter will be on the structural implications of these chromatic episodes, with a thorough investigation of some of the ways in which chromaticism can operate within a fundamentally diatonic structural framework. 29 In most cases, the analytical discussion will primarily be confined to events that lie close to the musical surface, but at times deeper structural levels will also be considered. The examples featured here range from pieces written for voice with piano accompaniment to works of grander proportions, including examples from an orchestrated Lied, an orchestral tone poem, and operas. These selections span sixty years of Strauss s compositional output, with compositions ranging in dates from the late 1880s (Don Juan, Op. 20, written in 1888) to the late 1940s ( September, written in 1948). 30 The analytical approach used throughout this dissertation takes into account both the linear voice-leading paths and the resulting vertical sonorities that shape the featured musical selections. When these elements contribute to and participate in diatonic processes, the chromaticism is described as being embedded that is, incorporated within the musical fabric. These structurally integrated threads of chromatic voice-leading often facilitate smooth transitions between distantly related keys and chords at both the foreground and middleground levels, and these chromatic phenomena can inform both the musical and 29 The expressive implications of certain chromatic passages will be explored in Chapters 3 and The breadth of examples featured in this chapter exemplify some consistencies in Strauss s tonal style.

42 expressive content of the music. As I mentioned in the previous chapter, embedded chromaticism is readily accounted for in Schenker s theories of diatonic tonality with little or no modification. In each of the examples of embedded chromaticism presented in Section 2.1, chromaticism engages in structural processes that are supported by a broader diatonic underpinning. In some instances, embedded chromaticism is paired with rhetorical markers that create a sense of separation on the musical surface without challenging the tonal coherence of the underlying diatonic structure. Examples of rhetorical markers include sudden changes in dynamics, instrumentation, timbre, texture, register, and contrapuntal constructions. Although Bribitzer-Stull s discussion does not focus on chromaticism in musical interpolations, his tonally essential cadenza types exemplify rhetorically marked interpolations that participate in the structural unfolding of the music (1996). The examples discussed in Subsection of this chapter feature embedded chromaticism that is complemented with parenthetical rhetoric. By way of contrast, chromaticism that counters or challenges a governing diatonic framework creates structural parentheses on the musical surface (i.e., chromatic parentheses). This kind of chromaticism will be explored in Section 2.2. Two notable features of this type of chromaticism are the pairing of parenthetical rhetoric with voice leading that defies tonal coherence. These marked passages are structurally separated from the music that frames them, and the aural effect of these interjections is certainly disconcerting. In certain cases, chromatic parentheses are shaped by complex dissonances that operate outside of the diatonic framework at the foreground level. Other instances of structural parentheses involve striking breaches in musical expectation that challenge the unity afforded by the underlying diatonic structure. In these cases, the parentheses may suggest a competing tonal center that strongly contradicts the locally governing tonic. 2.1 Embedded Chromaticism My consideration of embedded chromaticism begins with a brief discussion of mixture and tonicization, citing several pieces by Strauss that feature these fairly straightforward types of chromaticism. After exploring an example in detail, the study will move directly to more

43 extravagant uses of embedded chromaticism (see Examples ). Each example featured in this section contains embedded chromaticism that can be subsumed by the locally governing diatonic structure. Therefore, a necessary condition that must be met in each of the examples provided here is that a diatonic framework be present at either a local or deep structural level Simple Uses of Embedded Chromaticism In cases where mixture is involved, the modally inflected Stufe still operates within the diatonic system governed by the tonic triad (Brown 1986). Other kinds of embedded chromaticism may be more prolongational or embellishing in nature, but it is imperative that it be anchored within a broader diatonic context. While embedded chromaticism is a common feature of Strauss s compositional style, it is certainly not unique to his music. Schenker s discussion of chromaticism in works by Brahms, Beethoven, Chopin, Haydn, and others reveals examples of mixture and tonicization enriching a structural skeleton that is fundamentally diatonic. A single example from a song by Strauss will suffice in illustrating a straightforward use of embedded chromaticism, but there are certainly other examples available in Strauss s music. 31 The excerpt shown in Example 2.1a features embedded chromaticism involving tonicization at a very shallow structural level in Strauss s Für fünfzehn Pfennige, Op. 36, No. 2 (mm. 1 14). The two phrases in the selection constitute a period construction in the home key of G major. Examples 2.1b and 2.1c juxtapose voice-leading reductions of these phrases. Tonicization surfaces near the end of the first phrase, which comprises mm The succession of tonicizations begins in m. 6 with the secondary leading-tone chord tonicizing E (VI or II/V) and continues through the half cadence in m. 7 (the dominant that punctuates the phrase ending is preceded by its dominant seventh chord A 7 ). The voice-leading sketch in Example 2.1b highlights the chromatic voice leading in contrary motion that occurs within the span of embedded chromaticism. The chromaticized ascent in the bass in mm. 6 7 is paired with a descending gesture in the upper voice. This type of contrapuntal writing is a common 31 See, for example, Zueignung, Op. 10, No. 1, which features mixture and tonicization at a very shallow structural level (mm. 6 7, mm. 8 and 26, mm , and mm ) and Spruch, without opus number (mm. 2 4).

44 feature of Strauss s compositional style, and it plays an important role in other types of chromatic episodes that will be discussed in subsequent sections of Chapter 2. The voice-leading sketch featured in Example 2.1c depicts the complementary perfect authentic cadence that closes the song s second phrase (mm. 8 14). 32 The contrapuntal construction in this excerpt bears a strong resemblance to that shown in Example 2.1b: the bass ascends chromatically while the upper voice descends into the cadence. In both examples, tonicization is the driving force behind the chromaticism in contrary motion. The voice-leading sketch included in Example 2.1d portrays events lying just beneath the musical surface of the entire excerpt (mm. 1 14). The reduction in Example 2.1d communicates my interpretation that, although chromaticism is an essential component of the voice-leading paths in this opening passage, it is ultimately subsidiary to the prolongation of the tonic triad that transpires beneath the musical surface. The diatonic underpinning of this opening period structure readily accounts for the foreground chromaticism. Example 2.1a. Embedded chromaticism. Für fünfzehn Pfennige, Op. 36, No. 2, mm (continued on next page) 32 Although the use of chromaticism in this passage is unremarkable (i.e., it is representative of a simple use of embedded chromaticism), the opening period does have some interesting features. The recontextualization of the melody in the consequent phase is quite surprising, and it underscores the discordant (and humorous) relationship between the maiden and the scribe.

45 Example 2.1a continued. Embedded chromaticism. Für fünfzehn Pfennige, Op. 36, No. 2, mm mm G: I IV vii o6 ii 6 Ger o3 V 7 5 V (back-relating dominant) I Example 2.1b. Voice-leading sketch. Op. 36, No. 2, mm. 1 7.

46 mm IN 2 1 G: ii V 7 I Example 2.1c. Voice-leading sketch. Op. 36, No. 2, mm mm G: I ii V 7 I Example 2.1d. Voice-leading sketch. Op. 36, No. 2, mm Extravagant Uses of Embedded Chromaticism The selection from Für fünfzehn Pfennige shown in Example 2.1a featured a fairly conventional use of chromaticism tonicization. The sketches included in Examples 2.1b d illustrated the interaction between chromaticism and diatonicism from a Schenkerian perspective, revealing an interpretation that reconciles the chromaticism as integrated in the fundamentally diatonic musical fabric. More extravagant uses of embedded chromaticism in Strauss s works can also be viewed through a Schenkerian lens, though these densely chromatic passages often reflect a more late-romantic (or even post-romantic) tonal language than that

47 used by many of the composers whose works were considered by Schenker in Der freie Satz. A common trait of Strauss s expanded use of chromaticism is the type of voice leading highlighted in my discussion of Examples 2.1b and 2.1c: chromatic voice leading in contrary motion. While the linear and horizontal dimensions of the passages in Examples 2.1b and 2.1c yield functional harmonic progressions, other episodes featuring this type of contrapuntal construction in Strauss s music reveal a more complex use of chromaticism that, while still being entirely integrated into diatonic structural processes, do not necessarily result in functional harmonic progressions. For this type of embedded chromaticism, we will turn to another excerpt from Für fünfzehn Pfennige, Op. 36, No. 2. Measures 56 64, which are shown in Example 2.2a, comprise a single phrase in the home key of G major. The phrase opens with an oscillating gesture featuring the tonic harmony and the modally inflected submediant (bvi). Within the phrase, there is an extended chromatic span featuring voice leading in contrary motion (see mm ). Although the chromatic passage does not correlate with a functional harmonic progression, it does operate at a shallow level as a prolongation of the mixture chord built on b6 (Eb). Chromaticism in contrary motion directly links the Eb major triad (bvi) in m. 57 with the German augmented-sixth chord (bvi with added s4) in m The passage in mm functions as a kind of interpolation between the two chromatic chords (i.e., the bvi and the German augmented-sixth chords). Indeed, the structurally subordinate episode can easily be reduced out to reveal more clearly the connection between the chords that frame it. The type of chromatic interpolation heard here, however, does not generate a structural parenthesis. Rather, the chromatic voice leading in contrary motion smoothly connects one modally inflected harmony to another without creating a structural disturbance on the musical surface. In contrast to examples of rhetorically marked embedded chromaticism (like those in Examples 2.5 and 2.6), the chromatic wedge created by the outer voices in mm is integrated in the larger musical context. Note in particular the continuity in the voice-leading 33 The Bf2 in the left-hand piano part in mm is an inner voice that descends into the lower voice in the passage of embedded chromaticism that follows.

48 strands involved in the chromatic wedge as well as the smooth voice leading that connects it to the framing musical passages. Within the span of embedded chromaticism, the wedge is shaped by a series of passing tones that simply fill in the space between the two chords (the arrows in Example 2.2a parallel the trajectory of the outer voices). The chromaticism here is similar to that seen in Examples 2.1b d: the chromatic passage featuring contrary motion is integrated into the voice-leading paths at the foreground level, but it is subordinate to the prolongation of the chromatic predominant heard in mm. 57 and 61. (The voice-leading sketch provided in Example 2.2b reflects this interpretation.) The linking mechanism observed in Example 2.2a is similar to the type of voice-leading construct that is involved in a chromatic voice exchange, but the linear paths of the two voices participating in the chromatic wedge in Example 2.2a do not result in a voice exchange of any kind. Example 2.2a. Embedded chromaticism. Für fünfzehn Pfennige, Op. 36, No. 2, mm (continued on next page)

49 G: I 6 fvi I 6 fvi Ger V 6 V 5 I Example 2.2a continued. Embedded chromaticism. Für fünfzehn Pfennige, Op. 36, No. 2, mm mm f3 f3 n3 2 1 G: I fvi Ger +6 V I Example 2.2b. Voice-leading sketch. Op. 36, No. 2, mm Examples 2.3a and 2.3b show another instance of chromatic voice leading in contrary motion. The selection from Strauss s Als mir dein Lied erklang, Op. 68, No. 4, features the

50 closing six measures of a phrase that is heard locally in the key of the dominant C# major. A passage of embedded chromaticism comprising voice leading in contrary motion prolongs the span supporting local 2 (Ds) as the phrase approaches its cadence. The episode of embedded chromaticism begins in m. 30 with the arrival of the secondary dominant of V (Ds 7 ), which supports local 2 (Ds). Following the secondary dominant is a linear progression that connects the chromatic predominant to the dominant-functioning cadential six-four in m The intermediary chords in m. 30 through m. 31 are the result of the chromatic wedge that prolongs the span of music supporting local 2. The chromaticism in contrary motion generates smooth voice leading while heightening the build-up of tension leading into the local dominant prior to the authentic cadence that occurs in m n3 2 V 7 nvi V 7 V Fs: V Example 2.3a. Embedded chromaticism. Als mir dein Lied erklang, Op. 68, No. 4, mm (continued on next page) 34 The cadential six-four in m.32 introduces Cs as the lower neighbor to The local chromatic submediant (A, or VI/V) in m. 29 is also an example of embedded chromaticism. The lowered submediant comes to pass via mixture at the foreground level.

51 F#: V 57 3 V I Example 2.3a continued. Embedded chromaticism. Als mir dein Lied erklang, Op. 68, No. 4, mm mm F#: I V 7 nvi V 7 V 6-3 I V Example 2.3b. Voice-leading sketch. Op. 68, No. 4, mm Although there are many other examples of this type of chromaticism in Strauss's works, one final example will suffice for our purposes here. 36 The excerpt in Example 2.4a features the last part of Salome s erotic dance from the opera Salome, Op. 54, [Scene IV/Rehearsal h/mm. 36 Other examples of this kind of embedded chromaticism are found in Befreit, Op. 34, No. 4 (mm. 4 6), Als mir dein Lied erklang, Op. 68, No. 4 (m. 64), and Ich wollt ein Sträusslein binden, Op. 68, No. 2 (mm ).

52 11 23] (the voice-leading sketch is in Example 2.4b). 37 The descending third gesture (3 2 1) performed in octaves at the beginning of the quoted passage reestablishes the tonic (A) prior to the arrival six-four that appears in the following measure (the arrival six-four is enclosed within a blue box). Chromatic voice leading in contrary motion begins at the point of the arrival sixfour and binds it to the root-position tonic triad that occurs at the end of the passage (highlighted in green). 38 A chromatic wedge shapes the space between the two tonic triads. The wedge commences from E (shown in Example 2.4a as E4/E5 in the upper voice and E2/E3 in the lower voice) and concludes when the upper voices reach Cs and the lower voices reach A. As in the other examples of embedded chromaticism involving contrary motion in two voices, the sonorities that enrich and fill in the vertical space created by the chromatic wedge do not yield a functional harmonic progression. Rather, the succession of vertical sonorities is ultimately passing and subordinate to the anchoring tonic triads that frame it. 37 Throughout this chapter, I will reference selections from operas according to the act or scene in which the excerpt is found, the rehearsal marker occurring just prior to the selection, and the measures occurring after the rehearsal marker: Act (or scene)/rehearsal marker/measure(s). 38 Robert Hatten (1994, 288) uses the term arrival six-four to denote an expressively focal cadential six-four serving as resolution of thematic or tonal instabilities. The sonority does not necessarily need to fulfill a syntactic function by resolving to the dominant proper. Hatten (15) writes, The cueing of closural stability by the cadential six-four is such that one may exploit it without ever completing the cadence. In the example from Salome, the arrival six-four points toward the imminent structural closure without resolving to the dominant proper. While an E-major triad does sound within this passage at Scene IV/h/17, it appears as a passing six-four chord within the extended stretch of embedded chromaticism.

53 IV/h/11 IV/h/18 A: I Arrival 6 4 I Example 2.4a. Embedded chromaticism. Salome, Op. 54, Scene IV/Rehearsal h/mm Scene IV/h: mm A: I I Example 2.4b. Voice-leading sketch. Op. 54, Scene IV/Rehearsal h/mm Rhetorically Marked Embedded Chromaticism Each of the examples of embedded chromaticism described above features smooth voice leading and a consistency in musical elements that contribute to a strong sense of coherence on the musical surface. Theree are examples, though, in which passages of embedded

54 chromaticism are marked with parenthetical rhetoric that separates the chromatic episodes from the surrounding musical material. These rhetorical markers include (but are not limited to) sudden changes in dynamics, variations in texture or instrumentation, and registral shifts. It should be noted that these markers do not necessarily produce a structural parenthesis. Indeed, just as formal divisions within tonal music may be articulated by cadences and differences in thematic material without compromising the structural integrity of the music, embedded chromaticism may be accompanied by rhetorical markers without introducing chromatic parentheses. In such cases, these differentiations are matters of design and not structure. A remarkable example of rhetorically marked embedded chromaticism is shown in Example 2.5a (the complementary voice-leading sketch is included in Example 2.5b). This excerpt from Der Rosenkavalier, Op. 59 [II/34/1 through II/36/6], occurs near the end of Mir ist die Ehre widerfahren the scene in which Octavian presents the silver rose to Sophie. In II/34/3 5, a Cs dominant seventh chord prepares for the return of the tonic (F#). 39 Tension builds as Sophie and Octavian sing rising melodic gestures over the sustained dominant pedal leading into the final section of the scene. The musical and dramatic highpoint of the scene occurs as Sophie and Octavian strive toward 7 and 2 respectively [II/34/5]. A resolution to the tonic seems imminent as the prolonged dominant harmony primes the musical atmosphere for an authentic cadence, but the anticipated dénouement is delayed by a chromatic digression centering on biii [II/35/1 4]. The frustration of musical expectation contributes to an increase in tension in the musical and dramatic unfolding of the scene. The Cs dominant seventh chord returns in II/35/4 and resolves locally to an altered tonic (I b7 or V 7 /IV). The surprising arrival of biii in II/35/1 is marked with parenthetical rhetoric, including dramatic changes in dynamics and instrumentation, but the interjection does not signal a structural parenthesis on the musical surface. Rather, biii can be reconciled within the diatonic framework of the excerpt. The lowered mediant participates locally as part of a prolongation of V: it provides consonant support for b3, which is the chromatic upper neighbor to 2 in the highest voice. The presence of these rough changes on the musical surface contributes to the 39 The C# 7 is spelled as Db 7 in the score in II/34/3 5.

55 surprising effect of the lowered mediant s entrance, but it does not necessarily challenge the governing tonal structure of the passage. Example 2.5a. Rhetorically marked embedded chromaticism. Der Rosenkavalier, Op. 59, Act II, Rehearsals (continued on next page)

56 Example 2.5a continued. Rhetorically marked embedded chromaticism. Der Rosenkavalier, Op. 59, Act II, Rehearsals Act II: 27/3 34/3 35/1 35/2 35/3 35/4 36/1 36/3 36/ N F#: I V niii V 3 4 niii 6 V 7 I (IV) I V I Example 2.5b. Voice-leading sketch. Op. 59, II/27/3 through II/36/ The voice-leading sketch encompasses a larger span than the score excerpt in order to show the opening 3 over tonic.

57 Examples 2.6a d highlight a rhetorically marked passage of embedded chromaticism from Strauss s symphonic poem Don Juan. Two noticeable features of the excerpt are the extended episodes of chromatic voice leading in contrary motion and the dramatic pause that is created by the rests in mm The rests are a kind of rhetoric that opens up the space for a potential rigid parenthetical boundary, but a close examination of the voice leading surrounding this surface-level disturbance suggests a different interpretation. At the beginning of the excerpt featured in Example 2.6a, a local descending third progression from 3 (G#5) initiates a move into an inner voice (E5, m. 25). An expansive linear unfolding in mm enables a lengthy departure from the inner-voice E5, connecting it with the upper-voice F#5 in mm The linear progression spans an ascending ninth (E F#), which is divided into two fifths. Chromatic voice leading in contrary motion in mm facilitates the composing out of the first fifth from E5 to B5. The arrival of B5 is supported and prolonged by a local cadence in III (G) in mm The second ascending fifth from B5 to F#5, which occurs throughout mm , is divided with an arpeggiation through D 6/D 5 (there is a register transfer during the local prolongation of the third divider in mm ). The rests and the abrupt registral change in mm. 36 and 37 are rhetorical markers that briefly interrupt the prolongation of Dn. These markers do not, however, signal a structural break on the musical surface. Rather, the foreground punctuation is a dramatic rhetorical device that intensifies the anticipation of local closure, which arrives at the authentic cadence in the tonic in m. 40. The prolongation of D 6/D 5, which is supported locally by G major and Bf major, is retained throughout the passage. Immediately following the theatrical pause in mm , another span of chromatic voice leading in contrary motion from D 5 completes the extended linear progression that began in m. 27 with the inner-voice E5. The arrival of F#5 in m. 38 finalizes this motion (F#5 is initially supported by the secondary dominant of V, F# 7 in first inversion). The chromaticism heard throughout the passage is fundamentally integrated within the voice-leading span connecting E to Fs (a ninth that is divided into two fifths). The parenthetical rhetoric, including the dramatic pause in mm and the registral changes that occur in these same measures,

58 creates a break on the musical surface, but this break does not create a breach in the harmonic and contrapuntal structure Example 2.6a. Rhetorically marked embedded chromaticism. Don Juan, Op. 20, mm

59 mm rd E: I V I 7 IV V III I Example 2.6b.. Voice-leading sketch. Op. 20, mm. 3, mm E: III V 7 V 9 I Example 2.6c. Voice-leading sketch. Op. 20, mm

60 mm E: I III V 7 V 9 I Example 2.6d.. Voice-leading sketch. Op. 20, mm. 3, Embedded Chromaticismm in Deep Structural Levels The examples discussed above highlight surface-level chromaticism that is entirely integrated within the voice-leading fabric of selected works by Strauss. The middleground voice-leading sketch in Examples 2.7a and 2.7b illustrate how embedded chromaticism penetrates deep structural levels in Strauss s September, the second song from the Vier letzte Lieder. 41 The first part of September is shaped by an arpeggiation from the tonic (D) to its chromatic mediant (Fs major, which is spelled as Gb major in the score) by way of a major-third cycle. 42 The structural predominant (G major) arrives in m. 28. The move from structural IV to structural V is embellished by an extended passage of embedded chromaticism thatt permeates the middleground in mm The chromatic episode connecting the two structural Stufen is marked by a series of enharmonic reinterpretations that generates a chromaticized descending fourth progression in the lower voice. This descending fourth progression, which connects the 41 Since September is still protected under copyright, the complete score is not available for reproduction here. For additional examples of embeddedd chromaticism that participate in deep structural levels, see my analytical discussions in Chapters 3 and It is also possible to relate these key areas using neo-riemannian voice-leading transformations. Each successive key in mm is related by PL: D major Bb major Fs major/gb major.

61 upper fifth of structural IV (D) to V (A), correlates with a succession of keys that are related by step. The first note in the descending fourth progression occurs in m. 31 and supports V 7 /IV (D 7 ), which is reinterpreted as its enharmonic equivalent a German augmented-sixth chord in the key of Fs. This reinterpretation triggers the move from D to Cs in the lower voice. The expectation of a key-confirming cadence in Fs is established by way of the prolonged dominant harmony heard in m. 32 and following, but authentic motion in the new key is avoided as the bass remains on Cs. A common-tone diminished-seventh chord in m. 35 facilitates the next step in the fourth progression as the bass moves from Cs to B. Two additional enharmonic respellings of dominant-seventh chords as German augmented-sixth chords accompany the bass s descent through Bb (mm ) and A (mm ). The A 7 chord arrives in preparation for the structural descent to the tonic in the final section of the song. The embedded chromaticism that appears in the middleground of September suggests musical correlations to the song s text a poem by Hermann Hesse, a contemporary of Strauss. The elaborate and extended chromatic span connecting structural IV and V suggests a musical lingering that parallels the description of the personified summer as it remains by the blossoming rose bushes ( Sommer lächelt erstaunt und matt in den sterbenden Gartentraum ). The chromaticized descent in the bass linking D 7 to A 7 is complemented on the musical surface by an ascent in the vocal line in mm The rising vocal line could be heard as a musical depiction of longing: it suggests summer s striving toward the peace and rest afforded by autumn. Another rising gesture in the vocal line is heard leading into the structural closure on the tonic in m. 57. Two additional examples of embedded chromaticism at deep structural levels and their expressive implications will be explored in the detailed analyses of the two Brentano Lieder discussed in Chapters 3 and 4.

62 2.7a mm enh. D: I fvi III IV V I 2.7b mm D: IV V I Examples 2.7a b. Voice-leading sketches. September, mm (emphasis on mm ). 2.2 Parenthetical Chromaticism While embedded chromaticism directly participates in diatonic structural processes, parenthetical chromaticism occurs when incongruent passages of music momentarily disrupt the linear unfolding of a piece. These chromatic events are analogous to parentheses found in prose they are asides that interrupt an otherwise continuous idea. The interpolated musical material creates a strongly disorienting aural effect, and this disturbance arises when the interjected material seems out of place given its structural context. Extended passages of embedded chromaticism can also create a disorienting aural effect, but these operate under

63 very different conditions. Embedded chromaticism is a prolongational phenomenon; structural parentheses are not. Parenthetical passages lie outside of the work s structural processes, thus creating surface-level breaks that threaten the linear coherency of the musical surface. Structural parentheses are often accompanied by rhetorical markers that underpin the aural effect of the disturbance. Rather than showing these chromatic episodes in relation to the larger musical context in which they are found, I depict them as self-contained departures that are structurally unrelated to preceding and succeeding passages. Two specific kinds of chromatic parentheses will be discussed in the following sections: mixed-boundary and rigid-boundary parentheses. The two boundary types reflect the kind of voice leading found at the entry into and the departure from the parenthesis as well as the relative strength of the rhetorical markers that frame the interjected episode. A mixedboundary parenthesis contains one porous and one rigid boundary; a rigid-boundary parenthesis features rigid boundaries at both ends. A porous boundary, which is represented in my analytical sketches with a dotted curved bracket, denotes a passage that contains smooth voice leading and that may be accompanied by extremely subtle musical markers (if there are markers at all). A very common voice-leading construction that contributes to the porousboundary type is chromaticism in contrary motion. What separates the mixed-boundary parenthesis from embedded chromaticism is the pairing of smooth chromatic voice-leading at one end of the parenthesis with a rough structural break at the other. The structural break is indicated by a solid curved bracket in my analytical sketches, denoting a rigid boundary. In order for an interpolation to function as a parenthesis, at least one of the two boundaries must be rigid. These rigid boundaries are used to reflect both the strong rhetorical markers that accompany the parenthetical boundary and the extraordinary voice-leading motions that signal a structural departure Mixed-Boundary Parentheses An example of a mixed-boundary parenthesis is found in Mir ist die Ehre widerfahren from Strauss s Der Rosenkavalier, Op. 59 (Examples 2.8a b). In the opera s second act, Octavian presents a silver rose to Sophie on behalf of Baron Ochs. The opening of the scene features

64 mostly tonic and dominant harmonies, which firmly establish the tonic (Fs). 43 After an authentic cadence in II/27/3, the submediant is generated by a 5 6 exchange (see II/27/5, the first measure in Example 2.8a). A Gs 7 chord (V 7 /V, II/28/1) prepares for the impending return of the dominant, and the tension builds as the secondary dominant is prolonged for three full measures. The anticipated V is delayed, though, by a brief chromatic digression in II/28/3 4. Example 2.8a. Parenthetical chromaticism (mixed boundaries). Der Rosenkavalier, Op. 59, II/27/5 II/29/2. 43 There is some surface-level chromaticism throughout the scene s opening. See, for example, II/25/2, 7 8, II/26/5, and II/27/7. With the exception of the passage in II/27/7, these non-functional chords always appear over a sustained 5 in the home key of Fs major. (The one in II/27/7 occurs over the sustained local tonic, Ds.) The dominant pedal anchors the chromatic passages within the context of the local tonic.

65 II/25/5 II/28/3 II/28/3 4 II/29/ F#: I 5 6 V 9 (Bf: V 7 V 6 ) 4 3 I Example 2.8b. Voice-leading sketch. Der Rosenkavalier, Op. 59, II/27/5 II/29/2. The departure is triggered by a deviant melodic strand in the clarinets line (highlighted in blue in Example 2.8a), which leads to an unresolved secondary dominant of III instead of the expected V (V 7 /III, E# 7, appears as its enharmonic equivalent, F 7, in II/28/4). The melodic line presented by the clarinets is a modified repetition of the melody presented by the oboes (highlighted in green in Example 2.8a; note that the vocal score splits the oboes line between two staves). At first the only deviation from the original melodic fragment appears to be the augmentation of the final ascending gesture. As the clarinets line ascends through As4 and Bs4, it is plausible to expect that the line will end on the downbeat of II/28/4 with a resolution of the secondary leading tone (Bs Cs) and the arrival of the anticipated V (Cs). 44 However, the upward course of the line is reversed with a descending leap from Bs4 to A4. The unexpected change sounds out of place and disrupts the prolongation of the chromatic predominant, V 7 /V (Gs 7 ). In addition to the surprising shift in the clarinet line, another deviant melodic strand in the horn part further adds to the disrupting effect of the sudden departure from V 7 /V (the horn part is highlighted in yellow in Example 2.8a). The horn line ascends from Cs4 to D4 in II/28/3. If 44 Alternatively, the line may be heard as continuing through to Ds5, which would preserve the trajectory of the oboes line. This reading would anticipate a continuation of the V7/V instead of a resolution of the secondary dominant.

66 the listener anticipates that the clarinets line will lead to a resolution of the sustained V 7 /V, then it is reasonable to expect that the D4 in the horn part in II/28/3 will return to Cs4 in II/28/4, acting as its chromatic upper neighbor. The wayward voice-leading strand, however, continues its ascent, leading to Eb4 instead. 45 The errant melodic strands in the clarinet and horn parts are accompanied by smooth voice leading in the remaining instruments: most of the other parts sustain tones of the secondary dominant (V 7 /V) in II/28/3 before moving chromatically to the other chord members of the V 7 /III in II/28/4. The sudden arrival of the cadentially charged V 7 /III(F 7 ) is striking, but the mostly chromatic voice leading in II/28/3 4 smoothes out the shift. This is marked in my voiceleading sketch as a porous left boundary (Example 2.8b). Immediately following the F 7 in II/28/4, a new phrase begins on beat 4 as Sophie resumes singing, and the anticipated V that was prepared by the V 7 /V from II/28/1 3 provides harmonic support for her melody. 46 The V 7 /III, then, is interpreted as structurally disconnected from the cadential six-four and dominant proper that follow it in II/29/1. The passage is rhetorically marked by the re-entry of the voice in II/28/4. Other rhetorical indicators include a change in register, texture, and instrumentation as the clarinet and horn parts drop out when Sophie begins singing again. In my voice-leading sketch, this reading is represented as a rigid right parenthetical boundary. Another mixed-boundary parenthesis is found in Strauss s last opera, Capriccio, Op. 85. In the excerpt included in Example 2.9a, Oliver (a poet) and Flamand (a composer) debate the value and importance of words and music. The correlation between the text featured in this scene and the chromatic parenthesis underscores the discordant relationship between Oliver and Flamand and highlights their philosophical differences. 45 If the alternative reading of a potential return to V7/V is expected in m. 29, then the Eb4 in the horn part would be read as the enharmonic equivalent of Ds4. However, the F7 that sounds on the downbeat of m. 29 still thwarts the listener s expectations by implying a false move to the mediant key. 46 Note that Sophie s melody is the same as the line presented by the oboes in mm transposed to begin on Cs but continues quite differently.

67 The beginning of the excerpt features music sung by Oliver, whose material from 140/1 through the beginning of 140/4 is entirely diatonic in the key of Ef major. 47 As Oliver delivers the line..., dem sie entsprießen (..., from which they spring forth ), a local-predominant expansion gives way to the dominant (Bb) in 140/4. A cadence in the tonic is evaded as the V4/2 at the end of Oliver s vocal phrase springs abruptly into a complex, dissonant sonority that violently interrupts the otherwise diatonic and cohesive passage. The vertical array on the third beat of 140/4 juxtaposes G, Gb, Ab, Bb, Cb, Eb, and Fb into a nonfunctional, nontertian sonority (this chord is highlighted in blue in Example 2.9a). The sudden eruption of dissonance within a functional and mostly consonant context indicates a chromatic parenthesis that opens with a rigid left boundary. 48 The exclamation of this strikingly dissonant chord is rhetorically marked with and performance indicators, which heightens the sense of separation created by the surprising disruption of harmonic syntax. The second sonority within the parenthesis is a polychord that combines a B 7 chord with a C# half-diminished seventh chord into a single sonority: a B 9 chord with an added lowered 13 th (this sonority is highlighted in green in Example 2.9a). This dissonant chordal pairing continues to distract from Eb major. As Flamand interjects in 140/4 6, the jarring verticalities that shape the structural parenthesis are repeated. When Oliver reacts to Flamand, the polychordal sonority smoothly resolves into the Bb 9 chord that arrives in 140/8, which marks the close of the parenthesis as well as a return to the stability afforded by Eb major. The smooth voice leading that signals the departure from the dissonant sonorities heard in 140/4 7 indicates a closing parenthetical boundary that is porous. Notice that the B 7 chord in the lower register acts as an enharmonically respelled German augmented-sixth chord in Eb, which resolves seamlessly into the Bb 9 chord in the lower register, and the C# half-diminished seventh chord in the upper register of the polychord slips chromatically into the upper notes of the Bb 9 chord (the respelling of the B 7 as a German 47 Capriccio is an opera in one act that does not have specific scene divisions. For Examples 2.9a b and 2.11a b, I will refer to specific places in the music using only the rehearsal markings and measure numbers. 48 Several chromatic parentheses in Amor, Op. 68, No. 5, are also marked by a sudden departure from a locally diatonic (and otherwise consonant) musical context. See Chapter 4 for a detailed discussion of the parentheses in this song.

68 augmented-sixth chord is shown in Example 2.9b). After the initial pass into the dominant Bb ninth chord, chromatic voice leading in contrary motion further contributes to the departure from the parenthesis. 140/2 140/5 Ef: V V 4 2?? Cs 7 Ger 6 V 9 141/1 VIn II V 7 Example 2.9a. Parenthetical chromaticism (mixed boundaries). Capriccio, Op. 85, 140/2 8 through 141/1 2.

69 140/1 140/2 140/3 140/4 140/8 141/ Ef: I II 6 V 7 I IV 6 II 6 V 4 V 9 2 V+5 7 VIn Example 2.9b. Voice-leading sketch. Capriccio, Op. 85, 140/1 8 through 141/ Rigid-boundary chromatic passages Rigid-boundary parentheses signal rough structural breaks on both ends of the interjected material. Like the mixed-boundary parentheses, they challenge tonal coherence, contributing to a marked musical passage that may be jarring and aurally disorienting. In all rigid-boundary parentheses, the voice-leading motions into and out of the disruption will be extraordinary and will not connect smoothly across the boundary into the surrounding musical material. The opposition introduced in a rigid-boundary parenthesis may interpose flagrant dissonances within a context that is relatively consonant and stable. An example of this kind of rigid-boundary parenthesis is found in Strauss s Amor, op. 68, no. 5 (Example 2.10a b). Measures of Amor feature a parenthetical episode that briefly interrupts the prolongation of an F-major triad, momentarily directing the focus away from the locally governing sonority. The F-major triad is heard unambiguously in mm and again from m. 14 to the downbeat of m. 15. Between these two statements, though, a non-functional, chromatic passage is forced onto the voice-leading fabric. Although the interpolated material is motivically linked to the surrounding musical passages, it does little to prolong or support the consonant F-major sonority it interrupts. On the contrary, the parenthesis is brimming with complex dissonances that divert the focus away from the locally governing harmony. Notice especially the Cs 7 with added minor ninth that

70 sounds on the articulation of each beat in mm and the F+ 7 with added enharmonic minor ninth that sounds on each offbeat. The effect of these dissonant sonorities is quite disorienting. The Cs 7 with added minor ninth could imply a potential move to Fs, but this implication is never realized. Instead, dissonance is answered with more dissonance. Alternatively, one could interpret the Cs 7 with added minor ninth as an enharmonically respelled German augmented-sixth chord in F major with an added D natural. However, in attempting to explain away the strangeness of this passage, we risk downplaying the degree to which the parenthetical chromaticism surprises the listener by stepping outside the essentially consonant musical context in which it occurs. 49 The aural effect is one of unexpected separation from the material that both precedes and follows it Example 2.10a. Parenthetical chromaticism (rigid boundaries). Amor, Op. 68, No. 5, mm The functionally ambiguous F+ 7 with added enharmonic minor ninth returns within the context of G major in mm (see Examples 4.10a and 4..10b). 50 The expressive implications of this excerpt will be discussed in detail in Chapter 4.

71 mm G: III/V (parenthesis) Example 2.10b. Voice-leading sketch. Op. 68, No. 5, mm Other rigid-boundary parentheses may exhibit familiar tertian sonorities that cannot be easily reconciled with the musical context that frames them. At times, the interpolated material may strongly point toward an opposing key area that threatens the unity of the musical surface. Under these conditions, the implied key will be abandoned as the musical path is corrected in the passage that follows the interruption. The score excerpt and voice-leading sketch in Examples 2.11a b depict a rigid-boundary parenthesis that occurs in Capriccio, Op. 85. The parenthesis here encloses familiar tertian sonorities that challenge the tonal coherence of the surrounding musical context. The passage occurring prior to the interjected material establishes B as the local tonic. The dominant (F# 7 ) arrives by way of the lowered supertonic (Cn) in 223/8. The lowered supertonic is then repeated and prolonged via a chromatic voice exchange in 223/10 12, which transforms II into IIb. The arrival of the minor chord built on the lowered supertonic signals an arpeggiation in the upper voice from Cn (n2) to Ef (equivalent to D#, thus enharmonic 3). The chromatic mediant (D#, respelled as Ef) that arrives in 223/13 provides additional support for enharmonic 3, but its presence is undermined by the rigid-boundary parenthesis that follows in 223/ The opening boundary of the parenthesis is marked by a half-diminished seventh chord built on E# (#4/b5). The interjection then moves to an arrival six-four, suggesting a local shift to F. The sudden departure from the arrival six-four marks the closing boundary of the parenthesis. The arrival six-four is rhetorically marked, and it is separated structurally from the larger musical context in which it occurs. Although a key-confirming cadence in F does not arise, its implication presents a tonally ill-formed relation involving #IV/bV (Brown, Dempster, and

72 Headlam 1997). The relative strength of the arrival six-four challenges the local prolongation of III# 6 in its role of supporting 3 as an upper neighbor to 2. Immediately following the close of the parenthesis in 223/16, the chromatic mediant returns. The connection between the two statements of the chromatic mediant is depicted clearly in my voice-leading sketch (Example 2.11b). 223/7 223/10 B: I II 6 V 7 V 7 II 6 IIf 6 Example 2.11a. Parenthetical chromaticism (rigid boundaries). Capriccio, Op. 85, 223/7 18. (continued on next page)

73 223/13 223/16 V 4 III 6 * 65 4 (F: ii V 6 ) III 6 V 7 Example 2.11a continued. Parenthetical chromaticism (rigid boundaries). Capriccio, Op. 85, 223/7 18. *The true bass here is G#2, as notated in the orchestral score. 3 n2 2 (enh. 3) (enh. 3) 2 1 B: I nii 6 V 7 nii 6 enh. V 4 enh. IIIs 6 6 nii f 2 (F: ii 5 V4 6 ) IIIs 6 V 7 I Example 2.11b. Voice-leading sketch. Capriccio, Op. 85, 223/7 18.

74 2.3 Summary This chapter has explored two principal types of chromaticism that are found in selected works by Strauss. The first kind, embedded chromaticism, features chromatic voice-leading strands that are incorporated into a work s prolongational processes. Simple uses of embedded chromaticism are mixture and tonicization, but more extravagant examples are abundant as well, including ones involving extensive chromatic voice leading in contrary motion and/or rhetorically marked passages. These chromatic events are subsumed by the music s diatonic structure and can be comfortably shown in a reductive voice-leading sketch. Embedded chromaticism is ubiquitous in Strauss s works, and it can penetrate even deep structural levels. Parenthetical chromaticism, alternatively, involves self-contained, unanchored voiceleading constructions. These surface-level phenomena challenge the structural coherence of a local span of music. The two types of chromatic parentheses explored in this chapter were defined in terms of their framing boundaries. Mixed-boundary parentheses contain one porous and one rigid boundary; rigid-boundary parentheses include rigid boundaries on either side of the interjection. The porous end of a mixed-boundary parenthesis is characterized by smooth voice leading, and it might not be accompanied by any rhetorical markers. Rigid parenthetical boundaries are marked by abrupt departures from structural voice-leading processes (e.g., disjunct leaps, a sudden shift into a passage governed by nontertian, dissonant sonorities, blatant departures from musical expectation, etc.). Rigid boundaries are also paired with parenthetical rhetoric that intensifies the sense of otherness and isolation that these digressions create. The aural effect of both types of structural disturbances mixed- and rigidboundary parentheses can be disconcerting. Many of the examples featured in this chapter were selected in order to demonstrate the various features of embedded and parenthetical chromaticism without going into much detail regarding their deep-structural ramifications (and, I hope, to show how this technique pervades Strauss s tonal language). Chapters 3 and 4 of this dissertation will provide significantly more comprehensive analyses of two complete songs by Richard Strauss Säusle, liebe Myrthe and Amor, Op. 68, Nos. 3 and 5. These analyses will concentrate on the ways in which embedded and parenthetical chromaticism interact and engage with prolongational

75 processes at various structural levels. In addition to considering the structural implications of these chromatic episodes, I will also explore their expressive implications and how they contribute to the dramatic unfolding of the songs.

76 CHAPTER 3 STRUCTURAL AND DRAMATIC IMPLICATIONS OF CHROMATICISM IN SÄUSLE, LIEBE MYRTHE, OP. 68, NO. 3 In Chapter 2, I proposed analytical categories that account for the ways in which chromaticism may interact with a diatonic structure in selected works by Richard Strauss. The theoretical exposition featured examples selected from various works by Strauss, including songs, operas, and an orchestral tone poem. In Chapters 3 and 4 of this dissertation I will present detailed analyses of two complete songs by Strauss, focusing on both the structural and expressive implications of certain chromatic passages. In this chapter, I consider Strauss s Säusle, liebe Myrthe the third song from his Brentano Lieder, Op. 68; the song I will examine in Chapter 4 will be Amor, Op. 68, No. 5. The chromatic excursions in Säusle, liebe Myrthe are noteworthy. Expanded passages of embedded chromaticism are prevalent at various structural levels, including the deep middleground. Also, the parenthetical episodes are framed exclusively by mixed boundaries. The abundant chromatic displays contribute to both the dramatic and musical unfolding of the song. Since these chapters concentrate on two texted works, I will preface the analytical discussions with a brief survey of some issues concerning text-music relationships. I will then provide an overview of the text and general musical features of Säusle, liebe Myrthe before exploring the structural and expressive implications of the chromatic elements that permeate the song s various structural levels.

77 3.1 Summary of Issues Concerning the Analysis of Texted Works The intersection of words and music in Lieder contributes an additional layer to the musical and dramatic unfolding one that will be explored in the coming analyses. Scholars, including Susanne Langer (1953), Edward Cone (1974 and 1989), Lawrence Kramer (1984), and Kofi Agawu (1992b), have considered the relationship between the semantic dimension of language and the expressive powers of music in texted works. These discussions often focus on the definition of song (e.g., whether a song is simply the marriage of words and music or something else entirely) and on which of its dimensions (text or music) should be prioritized in song analysis. Not surprisingly, these issues have become a point of conflict among scholars. 51 Agawu, for instance, proposes his own step-by-step analytical method for analyzing Lieder. His approach promotes a careful analysis of the music and its semantic suggestions prior to a consideration of the song s text. He argues that an analysis of the poem too early in the analytical process could perhaps sway the analyst toward considering only the musical events that align with important moments in the song s text. Deborah Stein and Robert Spillman (1996), by contrast, elevate text to a greater standing in the analytical process. Their consideration of a song s text within the early stages of the analytical process is clear in the ordering of chapters in their book on Romantic Lieder. The first section, which comprises two chapters, is entirely devoted to the language of poetry. In this opening section, poetic rhyme schemes, formal structures, and common poetic themes and images are considered in detail, but without much attention paid to the interaction of text and music in song. The ordering in which Stein and Spillman conduct their analyses text first, music second is not an analytical fault, as Agawu suggests, but an analytical choice. A careful study of the issues put forth by Agawu, Cone, Kramer, Langer, and others would exceed the scope of the present theoretical and analytical project. Rather, the core aims of the analyses presented in Chapters 3 and 4 of this dissertation are to investigate select 51 Agawu (1992b) provides an insightful précis of common approaches to the analysis of Lieder. See Theory and Practice in the Analysis of Nineteenth-Century Lied, pp

78 chromatic passages in complete works by Richard Strauss, to describe the ways these passages engage with the diatonic structure, and to explore how chromaticism may inform a hermeneutic reading of a texted work. I will present the songs texts and translations near the beginning of Chapters 3 and 4 as a way of introducing the songs to the reader; the analyses in these chapters will follow a music-based approach. 3.2 Overview of Säusle, liebe Myrthe, Op. 68, No Synopsis of the Text The text for Op. 68, No. 3, is from Brentano s fairy tale Das Märchen von dem Myrthenfräulein (the text and translation are provided below). In the literary work, a prince falls in love with a myrtle tree that he acquires from a local potter and his wife. Each night, the myrtle tree transforms into a beautiful maiden, who sings to her beloved prince as he falls asleep. The prince is mesmerized by the mysterious tree-maiden, and he decides to capture her while she is in human form so that he can enjoy her company whenever he wants not just in the evenings. He offers to sing her a song when she emerges from the tree the next night. Once she succumbs to his lullaby, he uses a net to trap her. The first two stanzas of text are sung by the tree-maiden in the original literary context, and the third stanza marks the beginning of the prince s song. The shift in tone and the change in line lengths in the third stanza differentiate the prince s material from that of the treemaiden. In Strauss s setting of Brentano s text, though, recurring motives unify the musical material, so the text could be interpreted as sung by a single persona. For ease of reference, I will present the song as a solo piece, since the general sentiments expressed in it are the same as those found in its earlier context.

79 Säusle, liebe Myrthe Säusle, liebe Myrthe! Wie still ists in der Welt, Der Mond, der Sternenhirte Auf klarem Himmelsfeld, Treibt schon die Wolkenschafe Zum Born des Lichtes hin Schlaf, mein Freund, o schlafe Bis ich wieder bei dir bin! Säusle, liebe Myrthe Und träum im Sternenschein, Die Turteltaube girrte Ihre Brut schon ein. Still ziehn die Wolkenschafe Zum Born des Lichtes hin, Schlaf, mein Freund, o schlafe Bis ich wieder bei dir bin! Hörst du, wie die Brunnen rauschen? Hörst du, wie die Grille zirpt? Stille, stille, laßt uns lauschen, Selig, wer in Träumen stirbt; Selig, wen die Wolken wiegen, Wenn der Mond ein Schlaflied singt; Oh! Wie selig kann der fliegen, Dem der Traum den Flügel schwingt, Daß an blauer Himmelsdecke Sterne er wie Blumen pflückt; Schlafe, träume, flieg, ich wecke Bald Dich auf und bin beglückt! Whisper, Dear Myrtle Whisper, dear myrtle! How quiet it is in the world, The moon, the star-shepherd In the bright field of heaven, Drives the cloud-sheep already To the spring of light; Sleep, my friend, o sleep, Until I am with you again! Whisper, dear myrtle! And dream in the starlight; The turtledove has already cooed Her brood to sleep. Quietly the cloud-sheep float Toward the spring of light; Sleep, my friend, oh sleep, Until I am with you again! Do you hear how the fountains rush? Do you hear how the cricket chirps? Hush, hush, let us listen. Blessed is he who dies in his dreams; Blessed is he whom the clouds cradle, When the moon sings a lullaby; Oh! How blissfully can he fly, He who brandishes wings in his dreams, So that on the blue roof of Heaven He may pick stars like flowers; Sleep, dream, fly I will awaken You soon and I am delighted! Adapted translation. Original translation by Emily Ezust, available at Text and Translation of Säusle, liebe Myrthe, by Clemens Brentano Overview of Musical Characteristics Richard Strauss s Säusle, liebe Myrthe, Op. 68, No. 3, is a through-composed song that divides into three primary sections, each section of music aligning with one stanza of Brentano s text (an overview of the song s form and dramatic unfolding is included in Table 3.1). Recurring

80 musical motives and themes create a sense of unity and continuity across the three formal sections, and two musical ideas in particular contribute to the greater part of the song s musical material. The first musical idea is the säusle motive, which is first introduced in the vocal line of the song s opening two measures (Example 3.1a). It consists of a descending stepwise third (B4 A4 G4) that develops under the reiteration of a superimposed voice (D5). The motive marks the beginning of the first two stanzas, which both begin with the word säusle ( whisper ). Additionally, it is a pervasive element that recurs throughout the song in either the vocal part or in the piano accompaniment (or both). The score excerpt in Example 3.1b shows two variations of the motive that appear in the accompaniment in mm The first variation occurs in mm The descending line featured in the motive is compressed to span a major second, beginning with Fn5 in the right-hand part of the accompaniment and continuing to Ef5 (circled and labeled in Example 3.1b). The motive is transformed further in mm , where it is truncated and then inverted to create an ascending gesture (marked in Example 3.1b with rectangles). Cover tone on D5 Descending gesture Example 3.1a. Primary motive. Säusle, liebe Myrthe Op. 68, No. 3, mm. 1 2.

81 F5 E5 Eb5 Example 3.1b. Variation of primary motive. Säusle, liebe Myrthe Op. 68, No. 3, mm The second recurring musical idea in Säusle, liebe Myrthe is the schlaf theme, which is characterized by a gentle, lyrical melody with melismatic text setting. The theme occurs each time the word schlaf is mentioned in the song; an additional statement of the theme occurs at the setting of lines These four primary presentations of the schlaf theme produce an arch shape in the trajectory of the song. The arch begins with a statement of the theme that centers on D in mm ; it ascends to E in mm ; the theme then moves through Ef in mm before returning to D in mm for its final statement. The beginnings of each principal statement are included in Examples 3.2a d. The arch created by these four statements of the schlaf theme parallels the beloved s journey into sleep. The pinnacle of the arch is reached as the beloved begins to enter a sleep-like state, lingering between the conscious and the subconscious realms. The descending portion of the arch is a path of relaxation that directly correlates with the beloved s succumbing to a deeper state of slumber. The arch created by the schlaf theme penetrates even the song s deep structural levels, contributing in particular to the musical unfolding at the middleground level. The structural and expressive significances of the schlaf theme will be discussed in greater detail in Section Although the word schlaf does not actually appear in lines 21 23, the notion of sleep is present here.

82 Table 3.1. Form Chart. Säusle, liebe Myrthe, Op. 68, No. 3. Musical Section A A B Text Stanza 1 Stanza 2 Stanza 3 I V (local interruption) I(b) VI# (as fii/fvi) D (5) Relaxation Singer describes the peaceful stillness of night. She addresses her beloved, encouraging him to sleep. E (6) Intensification Continuation of sentiments and imagery expressed in the first stanza of text. Beloved begins to drift between the conscious and subconscious realms. fvi V I (structural closure) Ef (f6) D (5) Release of Tension Relaxation Marked change in imagery at the beginning of the stanza. The singer now describes the nighttime sounds and activities of nature. The end of the stanza reflects a return to the peaceful images associated with night. Measures Example 3.2a. Schlaf theme on D. Säusle, liebe Myrthe Op. 68, No. 3, mm

83 Example 3.2b. Schlaf theme on E. Säusle, liebe Myrthe Op. 68, No. 3, mm Example 3.2c. Schlaf theme on Ef. Säusle, liebe Myrthe Op. 68, No. 3, mm Example 3.2d. Schlaf theme on D. Säusle, liebe Myrthe Op. 68, No. 3, mm The detailed analysis middleground structure, with that follows will begin with a discussion of the song s a particular emphasis on the embedded chromaticism that saturates it. I will then discuss specific instances of chromaticism that are embedded within the musical surface. The final analytical undertaking considers chromatic parentheses that

84 punctuate the musical surface of the song. Throughout the analytical discussion, I will present a reading of the ways in which chromaticism shapes the dramatic unfolding of the song. 3.3 Embedded Chromaticism Embedded Chromaticism at the Middleground Level Embedded chromaticism is a pervasive feature of both the shallow and deep structural levels of Strauss s Säusle, liebe Myrthe. Chromaticism penetrates the middleground of the song as a way of prolonging the diatonic and modally inflected forms of the Kopfton, 3 and f3 (B4 and Bf4). As the Kopfton fluctuates between 3 and f3, it engages in a boundary play with various cover tones ranging from 5 to 6 (Example 3.3 includes my voice-leading sketch, which reflects this reading of the song). Throughout mm. 1 86, the Kopfton remains dormant, centering on either 3 or f3, while various cover tones project an arch above it. The arch at the middleground of the song parallels that created by the four statements of the schlaf theme on its musical surface. The rise and fall of the superimposed voice correlates with an increase in dramatic tension that is counterbalanced with a state of relaxation. The pinnacle of the arch, 6 (E5), arrives at the dramatic cadence in E major in m. 40. The boundary play between 6 and 3 introduced here signals an escalation in tension in the dramatic unfolding of the song. The sudden upward thrust to 6 in the superposed voice also intensifies the return of the schlaf theme, which appears for a second time in mm The elevated setting of the theme transforms the gentle lullaby into a more fervent and impassioned plea. This intensification carries through the beginning of the third formal section, throughout which E major remains active via an unfolding of the locally governing E major triad (mm ). As the song shifts into its third formal section, the music also suggests a sense of unrest that parallels the changes in tone and imagery that occur in the corresponding text. Following the elevated setting of the schlaf theme, the speaker no longer encourages her beloved to sleep and dream, but rather to actively attend to the sounds and energy of their surroundings,

85 including the rushing stream and chirping crickets. 53 This is a marked contrast to the peaceful and ethereal images described in the text s first two stanzas (e.g., the moon, clouds, and nesting turtledoves). The intensification associated with the boundary play between 3 (B4) and 6 (E5) relaxes in m. 63 as E major yields to Ef major (E major is the enharmonic equivalent of Ff major the Neapolitan of Ef). The descent of the cover tone to f6 in m. 63 creates a boundary play with the modally inflected Kopfton, f3. This musical shift occurs at the setting of the word stirbt ( dies ), which signals another change in imagery in Brentano s text. The active sounds of nature that were described in the beginning of the third stanza now give way to the romanticized depiction of death in line 20. An augmented return of the schlaf theme that centers on the local key of Ef major (fvi) continues to contribute to the sense of relaxation that is association with the boundary play between f3 and f6 (Bf4 and Ef5). 54 The boundary play between 3 and 5 returns in mm , which coincides with the final presentation of the schlaf theme in its original tonal context of G major. This final subsection of music also indicates a return to the tranquil and serene lullaby-like qualities of the song s first large formal section (mm. 1 22). Over the course of the entire song, then, the trajectory that is shaped by the projected cover tones (D, E, Ef, D) informs both the dramatic and structural unfolding of Säusle, liebe Myrthe. 53 Petersen (1980) notes the picturesque descriptions in this section of music, including the onomatopoetic depictions of the rushing spring in the accompaniment in mm and the chirping cricket in the vocal line at zirpt in m. 56. Beginning in m. 75, a local move to B major continues to provide consonant support for the cover tone on enharmonic f6 (D#).

86 mm G: I If enh. fii/fvi f3 enh.fii fvi enh.fii V I 63 f n fvi I IV 9 V I Example 3.3. Shallow middleground voice-leading sketch. Säusle, liebee Myrthe, Op. 68, No. 3

87 3.3.2 Embedded Chromaticism at the Foreground Level Embedded chromaticism is also prevalent on the musical surface of Strauss s Säusle, liebe Myrthe. Structurally integrated threads of chromatic voice leading facilitate smooth transitions between distantly related keys and chords at the foreground level, and these chromatic entities inform both the musical and expressive content of the song.my consideration of embedded chromaticism at shallow structural levels begins with the events that shape the song s opening (mm. 1 14; the score is provided in Example 3.4a). My voice-leading sketch, which is provided in Example 3.4b, depicts an ascent in the outer voices in mm The chromatic ascent in the upper voice begins with the Kopfton (B4) in m. 1, moves upward to C5 in m. 5 (this occurs in the right-hand part of the accompaniment), and arrives at Df5 in m. 9 (again, this is found in the right-hand part of the accompaniment). The rising bass line complements the upper voice, mirroring it by moving in parallel tenths; its ascent begins with G2 in m. 1 and ends with Bf2 in m. 9. In m. 13, the Df5 in the upper voice is enharmonically respelled as Cs5, and the lower voice steps down to A2. The upper voice then advances to D5 for the cadence in m. 14, which completes an ascending chromatic third progression spanning B4 to D5. The chromaticism here is integrated into the composing out of the ascending upper line, which accompanies a local move from the tonic to the dominant at the tonicized half cadence in m The chromatic passage in mm will be discussed in detail in Section 3.4 (see Examples 3.7a and 3.7b).

88 Example 3.4a. Embedded chromaticism. Säusle, liebe Myrthe, Op. 68, No. 3, mm

89 mm (10) G: I V 7 V Example 3.4b. Voice-leading sketch. Op. 68, No. 3, mm The embedded chromaticism in mm also contributes to the dramatic unfolding of the song. The first stanza of the song s text is saturated with metaphors for love and the evening sky, and this first chromatic pass could be heard as a musical metaphor that correlates with the images depicted in the corresponding text. The opening line of the song ( Säusle, liebe Myrthe ) introduces the myrtle tree, which is a sacred plant associated with the goddess of love, Aphrodite. The tree symbolizes love in the song, representing the unbreakable bond between the two lovers. After the opening line, the singer describes how the moon ushers the clouds across the clear night sky, likening it to the way in which a shepherd carefully guides his flock. The rising vocal line in mm. 1 14, which is colored by chromatic elements that are integrated into structural processes, could correlate with the journey of the sheep-like clouds. Another passage of embedded chromaticism occurs at the end of the second stanza, leading into the beginning of the third formal section (Examples 3.5a b, mm ). This portion of the song is governed locally by E major, which is prolonged throughout mm via an elaborate composing out of the E major triad (this is shown in the middleground voiceleading sketch in Example 3.3). The dense chromatic span initiated in m. 44 marks the beginning of a chromaticized ascending step progression that ultimately links bass E with its upper third in m. 52 (G#, which is enharmonically spelled as Af; this portion of music is shown in the voice-

90 leading sketch in Example 3.5b). The motion E 7 F# G# (Ab) is composed out by an ascending 5 8 sequence (the variant of the ascending 5 6 that features root-position chords exclusively). The embedded chromaticism featured in mm is shaped by a series of enharmonic reinterpretations that link E 7 to the C# major triad that occurs in m. 47 (Example 3.5c). The E 7 and Ef 7 chords in mm are both reinterpreted as German augmented-sixth chords that generate a local chromatic descent from E3 to D3 in the bass. The descending stepwise bass motion continues to Cs3 on beat 4 of m. 47, which marks the end of the local bass descent. The Cs-major triad here functions locally as a secondary dominant, tonicizing the Fs-minor triad that follows in m E 7 (+6) Ef4 6 Ef (+6) Passing 4 V/F# 48 F# Example 3.5a. Embedded chromaticism. Säusle, liebe Myrthe, Op. 68. No. 3, mm

91 3.5b mm I VI# 3.5c mm I VI# Examples 3.5b c. Voice-leading sketches. Op. 68, No. 3, mm (emphasis on mm ) The surface-level framework of mm underpins the local motion from the E 7 chord to the Fs-minor triad as part of an ascending 5 8 sequence. This motion is embellished by the descent in the bass that occurs between E 7 and C#. The embedded chromaticism heard here is structurally subordinate to the local span in E major, which signals an intensification in the dramatic unfolding as the superposed cover tone pushes upward to 6 (E5). The composing out of the E major triad in mm could relate to the Romantic perspective of sleep, in which subconscious thoughts are activated (the composing out of E major is shown in the middleground voice-leading sketch in Example 3.3).

92 The complex musical lingering between E 7 and Fs in mm could be heard as a metaphor for the beloved as he begins to linger in the liminal space between consciousness and sleep. As he continues to drift in mm , the singer references sounds of nature, including rushing fountains and chirping crickets. An abrupt change in the music accompanies this portion of the text, including an increase in rhythmic activity in the accompaniment and a dramatic shift into a lower vocal tessitura. The images in the text as well as the intensity of the music in this passage parallel the arousal of the subconscious. 56 A final example of surface-level embedded chromaticism occurs in mm of Säusle, liebe Myrthe (Examples 3.6a and 3.6b). This selection features chromatic voiceleading in contrary motion within a larger passage that connects the chromatic major mediant (B) with the secondary dominant of V (A 9 ) in mm In the first part of the excerpt, the chromatic major mediant (IIIs) is prolonged over a bass pedal on B2 (mm ), which provides consonant support for the local boundary play between the 3 (B4) and enharmonic f6 (Ef spelled as D#; the enharmonic transformation prolongs Ef/D# prior to the return of the schlaf theme on D in m. 83). A cadence in IIIs is primed by the sustained secondary dominant (V 7 /IIIs) in mm , but the anticipated cadence is evaded by a deceptive move to G (nvi/iiis) on the downbeat of m. 79. An altered secondary dominant of IIIs returns at the end of m. 79, and this chromatic chord is linked to the secondary dominant of V via an episode involving chromatic voice leading in contrary motion. The chromatic wedge begins with the C3/A#4 of the augmented-sixth chord in m. 80 (enharmonically spelled as C 7 ) and ends with A2/C#5 of the secondary-dominant ninth chord in m. 82 (V 9 /V), which then tonicizes the dominant proper (D) for the return of the tonic (G) in the last portion of the song. The chromatic episode in these measures pushes the cover tone on enharmonic b6 (Eb spelled as D#) upward once again to n6 just before the return the tonic in m. 83. The passage of embedded chromaticism could be heard as a musical depiction of the flower-like stars mentioned in the corresponding line of text ( Sterne er wie Blumen pflückt, Stars he plucks 56 The more immediate text-music correlation occurs in m. 48: the upward shift to F# minor demarcates the beginning of the third stanza of text. The passage in Fs is structurally subordinate to the composing out of E major, which supports the boundary play between 3 and 6.

93 like flowers ). The path soaring upward is especially noticeable in the accompaniment in mm The dramatic intensity of this text-music correspondence is then balanced with a lessening of tension as the gentle schlaf theme returns in the correct key in m. 83, centering on 5 in the home key of G major Example 3.6a. Embedded chromaticism. Säusle, liebe Myrthe, Op. 68, No. 3, mm

94 mm G: I V III# (VI) V V 9 V 6 5 I Example 3.6b. Voice-leading sketch. Op. 68, No. 3, mm Parenthetical Chromaticism The chromatic parentheses in Säusle, liebe Myrthe are characterized by the avoidance of local closure at dramatic high points. These structural parentheses are each framed by mixed boundaries, featuring a porous left boundary paired with a rigid right boundary. Within the opening fourteen measures of Säusle, liebe Myrthe, which were discussed in Example 3.4, there lies a mixed-boundary chromatic parenthesis one that threatens to prevent the completion of the rising third progression from B4 to D5 in the upper voice. The parenthesis occurs in mm , and in order to fully appreciate the nature of this disturbance, we will first need to consider events that take place close to the musical surface. The beginning of the parenthesis occurs in m. 11 when the vocal line dips into the middle-voice register and begins moving in contrary motion against the now descending bass line. As the bass descends from Bf2 to G2, the vocal line ascends chromatically from F4 to G4 (the vocal line here is doubled in octaves in the right-hand part of the accompaniment). A French augmented-sixth chord in C emerges in m. 11, and the chromatic predominant then moves to a cadential six-four in C in m. 12. With the arrival of the strong cadential marker (the cadential six-four), a cadence in C minor seems imminent. Example 3.7a shows a recomposition of mm , ending with a possible cadence in C. However, this alternate phrase ending is not realized. Instead, the

95 anticipated cadence is thwarted, and an upward chromatic shift in m. 13 prompts a cadence in D, which is shown in Example 3.7b. The chromatic shift prevents the resolution of the dissonant fourth in the cadential six-four in C. The foiled cadence in C and the unforeseen upward shift in m. 13 create the disorienting aural effect that is associated with chromatic parentheses. This effect is intensified by the harsh juxtaposition of the unresolved cadential six-four in mm. 12 and 13 with the Fs-minor six-three chord in m. 13. (Note that the Fs-minor six-three is a displacement of the dominant A7 chord.) f G: fvii Fr +6 V i Example 3.7a. Recomposition with a cadence in C. Säusle, liebe Myrthe, Op. 68, No. 3, mm iv f G: fvi (- - V 6 5 parenthesis - -) 3 i V Example 3.7b. Cadence in D. Säusle, liebe Myrthe, Op. 68, No. 3, mm

96 The opening of the parenthesis in m. 11 of Säusle, liebe Myrthe is marked simply by a change in contrapuntal motion. The chromatic voice leading in contrary motion flows smoothly into the interpolated material without causing an obvious surface-level break. The boundary that distinguishes the beginning of this interruption is permeable, allowing voice-leading strands to seep through. In my voice-leading sketch, which is provided in Example 3.7c, I represent this porous boundary with a broken, curved bracket. By way of contrast, the end of the parenthesis in m. 13 is marked by the sudden chromatic shift away from the illusory cadential six-four. It is an overt disruption on the musical surface that creates a powerfully disorienting effect. This boundary is depicted in my voice-leading sketch by a solid, curved bracket. mm G: 8 7 fvi (parenthesis) V I V Example 3.7c. Voice-leading sketch. Op. 68, No. 3, mm The parenthesis in mm is a diversion that pulls the listener s attention away from the retention of pitch-class 1 in the upper voice. The retention of this pitch class is necessary for the completion of the chromaticized, ascending third progression that occurs in the upper voice in mm Recall that Df5 is present in the upper voice before the interruption and its enharmonic equivalent, Cs5, is present immediately after. The interpolated material

97 temporarily breaks this retention and delays the completion of the ascending third progression. 57 Another mixed-boundary parenthesis occurs in mm of Säusle, liebe Myrthe, (Examples 3.8a and 3.8b). The loosening of the musical surface at the entrance into the parenthesis begins as the outer voices move chromatically in contrary motion, creating a wedge-like expansion in pitch space (m. 34 and following). This chromatic wedge is generated by the voice-leading strands in the vocal line, which ascends chromatically from Af4 to G5, and bass, which descends from Df3 to Bf2. The digression leads to a cadential six-four in Ef minor (fvif), which establishes the expectation for local closure in Ef in the measures that follow. The illusory cadential six-four, however, is thwarted in m. 39 by an upward chromatic shift that leads to a surprising cadence in E major (VI#). The closing boundary of the parenthesis occurs as the cadential marker is jolted upward one semitone in preparation for a cadence in E major (VIs). An interesting aspect of the reading presented in Example 3.8b is that the two Bf2s that occur in the bass are not treated as equivalent pitches. The bass Bf at the beginning of the sketch is preceded by its dominant (F 7, shown in the score excerpt provided in Example 3.8a, m. 31). The authentic motion affirms a local move to fiii, which provides consonant support for the modally inflected Kopfton f3 (Bf4). The second Bf2 (m. 38), which is enclosed within the parenthetical boundaries, occurs after the chromatic voice leading in contrary motion has destabilized the chromatic mediant (fiii). The recontextualization of Bf2 strongly suggests a move into Ef. When the expectation for closure is denied, the aural effect is quite disorienting. The structurally parenthetical rhetoric in this passage (i.e., the voice leading in contrary motion that leads into an unresolved cadential six-four and the surprising cadence that occurs just after the closing parenthetical boundary) has its origins in the parenthesis heard previously in the song (mm ). 57 My hermeneutic reading of this passage will be discussed with Examples 3.8a and 3.8b.

98 Example 3.8a. Parenthetical chromaticism (mixed boundaries). Säusle, liebe Myrthe, Op. 68, No. 3, mm

99 mm f3 n3 G: fiii (parenthesis) V I VI# (enh. fii/fvi) Example 3.8b. Voice-leading sketch. Op. 68, No. 3, mm The chromatic parentheses in mm and mm seem to be motivated by a metaphor featured in the first and second stanzas of the song s text. As the chromaticism in contrary motion leads into the parenthesis in m. 11, the music appears to stray off course. The parenthesis could be heard as a musical depiction of sheep who have wandered away from their shepherd. The errant chromatic passage introduces a false cadential marker, suggesting a cadence a whole step below that which arrives in m. 14. Just as the shepherd imagined in the poem redirects his wayward sheep, the music redirects the wayward progression on beat 2 of m. 13. The introduction of A as the dominant of D suddenly pulls the deviant voice-leading strands back on course, allowing for the completion of the rising chromatic third progression in the upper voice. The second stanza of text features a reprise of some of the images depicted in the first stanza, specifically that of the cloud-sheep. Further, the chromatic parenthesis in mm sets the same text as the first parenthesis. As the voice-leading strands drift further into a chromatic space, the image of wandering sheep again comes to mind. The sudden upheaval marking the rigid closing boundary of the parenthesis signals the correction that brings the wayward voice-leading lines (like sheep) back on course. The final mixed-boundary parenthesis in Strauss s, Säusle, liebe Myrthe occurs just prior to the structural descent of the Urlinie (Examples 3.9a and 3.9b). In the measures leading

100 up to the parenthesis, the tonic triad in m. 86 (G) transforms into an altered secondary dominant of IV in m. 87 (a G 7 chord with an augmented fifth). The IV 9 that arrives at the end of m. 87 provides a momentary sense of resolution, but the passage that follows in mm diverts the foreground-level voice-leading strands into a chromatic space that challenges the sense of tonal coherence on the musical surface. The structural parenthesis juxtaposes the IV 9 heard in m. 87 against an F 9 chord with augmented fifth in mm The porous opening boundary of the chromatic parenthesis is blurred by the descending fifth root motion that occurs in mm (i.e., G C Fn) as well as by the increase in surface-level chromaticism just prior to the structural break. Once the move into the parenthesis is completed, the music remains fixed on the altered F 9 chord. The prolonged emphasis on the F 9 chord with augmented fifth marks the jarringly dissonant sonority and elevates it to a greater status on the musical surface. The ambiguous function of the F 9 chord with augmented fifth also weakens the tonal coherence of this passage. The dissonant chord could be heard as fulfilling a dominant function, signaling a false move to the chromatic mediant, fiii. This apparent target, however, is not realized. Perhaps the most perplexing aspects of this parenthesis are the pitch-class elements that constitute the F 9 chord, which is comprised of tones that are each separated by whole step, and this unique feature of the sonority is exploited in the accompaniment. 58 When paired with the two unresolved melodic tritone leaps in the vocal line (G5/C#5 and D#5/A5), the relative strength of the governing tonic (G major) is indeed put into question. The rhetorical markers that signal the opening and closing boundaries of the structural parenthesis in mm further separate it from its surrounding musical context. The move into the parenthetical region, which is prefaced by a brief rest in the vocal line, initiates an immediate departure from the schlaf theme that is presented just prior to the interjection. The material enclosed within the parenthesis is also marked by a change in accompaniment as well as by the surprising arrival of the intensely chromatic and functionally ambiguous F 9 chord with augmented fifth. The exit from the parenthesis is shaped by a rough break on the musical 58 Even though each of the tones are separated by interval-class 2 (e.g., C#, Eb, F, G, and A), the arrangement of the chord at the second eighth-note beat of m. 88 projects Fn2 as the bass and chordal root.

101 86 90 surface, which is most noticeably punctuated by the rests that separate the parenthesis from the material that follows. Just after the interjection, the music moves directly from a passage marked by a bizarre whole-tonee inflection to a cadential six-four in the tonic key in m. 90. The closing parenthetical boundary is formed as the music snaps back into the functional harmonic progression that connects the tonicized IV 9 in m. 87 with the embellished dominant- functioning six-four chord in m. 91. Example 3.9a. Parenthetical chromaticism (mixed boundaries). Säusle, liebe Myrthe, Op. 68, No. 3, mm

102 mm G: I IV 9 (parenthesis) V I Example 3.9b. Voice-leading sketch. Op. 68, No. 3, mm The strangeness of the whole-tone collection enclosed within the mixed-boundary parenthesis in mm has an ethereal quality that maps onto the relaxed sleep-state to which the beloved has succumbed. The parenthesis marks the passage and underscores the opposition between consciousness and sub-consciousness. The singer remains alert as she sings the lullaby to her beloved. Her state of being that of conscious awareness is reflected in the normative tonal syntax of the surrounding musical context. The beloved s state that of subconscious dreaming is represented by the exotic otherworldliness of the whole-tone collection and dissonant F 9 chord with augmented fifth. 3.5 Summary The types of chromatic phenomena featured in Strauss s Säusle, liebe Myrthe, Op. 68, No. 5, include elaborate swathes of embedded and parenthetical chromaticism. At the deepmiddleground level of the song, embedded chromaticism engages in structural processes particularly involving the prolongation of the diatonic and modally inflected forms of the Kopfton (3 and f3). The deep expressive implications of these episodes parallel the beloved s journey into the realm of the subconscious. On the musical surface, structurally integrated chromatic embellishments facilitate smooth transitions between distantly related harmonies and key areas. These foreground chromatic passages typically depict specific images described in the lullaby (e.g., the journey of the floating cloud-sheep in the first stanza).

103 The mixed-boundary parenthetical episodes in the song are each framed by a porous left boundary and a rigid right boundary. The motion into the first two parentheses is shaped by chromatic voice-leading in contrary motion, which leads the errant voice-leading threads into an area of tonal conflict (mm and 34 39). The departure from these parentheses is signaled by an abrupt abandonment of a marked cadential cue the cadential six-four. These chromatic parentheses both set the same text and have expressive implications that result in a one-to-one text-music mapping. The final parenthesis of the song is initiated by a descending fifth pattern in the lowest voice, but the sequential bass motion guides the music into a bizarre passage that is saturated with interval-class 2 (mm ). The closing boundary is formed as the path of normative tonal syntax is restored, leading into the structural close of the song. This parenthesis has a deep expressive implication one that suggests an opposition between consciousness and subconsciousness.

104 CHAPTER 4 STRUCTURAL AND DRAMATIC IMPLICATIONS OF CHROMATICISM IN AMOR, OP. 68, NO. 5 The analysis presented in Chapter 3 considered the structural and expressive implications of embedded chromaticism and mixed-boundary parenthetical chromaticism in Strauss s Säusle, liebe Myrthe, Op. 68, No. 3. The analysis presented in this chapter explores the structural and expressive implications of chromatic passages in Amor, the fifth song of Strauss s Brentano Lieder, Op. 68 (1918). This song is known particularly for its daring coloratura passages, which are similar to those that distinguish Zerbinetta s musical material in Strauss s Ariadne auf Naxos (1912/1916). Of the six Brentano Lieder, Amor features the most elaborate and complex vocal writing. The song s demanding voice and accompaniment parts are coupled with highly chromatic surface-level events, which are characterized by frequent and surprising tonal shifts. Both the coloratura writing and ubiquitous chromaticism contribute to the musical as well as the dramatic unfolding of the song. The organization of this analytical chapter will parallel that of Chapter 3. The first section provides a synopsis of Brentano s poem as well as an overview of some of the musical characteristics of the song. The detailed analytical discussion that follows will begin with an examination of chromaticism that penetrates beyond the musical surface of Amor. In this part of the analysis, I make a case for situating the highly chromatic events on the musical surface of the song within the composing-out process of a tonal, diatonic background. The focus will then shift to a consideration of embedded and parenthetical chromaticism that occurs at shallow structural levels. My analysis of the song will explore both the structural and the hermeneutic implications of these chromatic phenomena. In so doing, I will describe how

105 instances of embedded and parenthetical chromaticism interact with their surrounding musical material and how these chromatic events can inform various aspects of the song s unfolding. 4.1 Overview of Amor, Op. 68, No Synopsis of the Text Brentano s poem, which is arranged in three stanzas, tells a story of a young shepherdess who is tricked by Cupid (the poem and translation are provided below). The beginning of the poem focuses entirely on the cunning child (the schlaues Kind ). The first stanza depicts a scene in which the blind, devious child is sitting near a fire, smiling mischievously as he fans his wings. While the first stanza does not directly reveal Cupid s motivation for sitting so close to the fire, it does contain subtle clues that suggest that the child is scheming as he warms himself. Consider also the repetition of the words fächelt and lächelt ( (he) fans and (he) smiles ). The repetition of these key words subtly indicate that the child is not merely sitting by the fire for warmth, but that he is cooking up a clever plan. In the beginning of the second stanza, Cupid s wing catches fire and he runs crying to a shepherdess for help. As the shepherdess consoles Cupid at the beginning of the third stanza, his ruse is unveiled: it was the impish child s intention all along to set the shepherdess s heart on fire. He simply needed a clever way to get close enough to her to carry out the task. Amor An dem Feuer saß das Kind Amor, Amor und war blind; Mit dem kleinen Flügeln fächelt In die Flammen er und lächelt, Fächelt, lächelt, schlaues Kind. Cupid" By the fire sat the child Cupid, Cupid and was blind; with his little wings he fans into the flames and smiles; He fans, he smiles, wily child. Text and Translation of Amor, by Clemens Brentano (continued on next page)

106 (Text and translation of Amor continued) Ach, der Flügel brennt dem Kind! Amor, Amor läuft geschwind! O wie ihn die Glut durchpeinet! Flügelschlagend laut er weinet; In der Hirtin Schoß entrinnt Hilfe schreiend das schlaue Kind. Und die Hirtin hilft dem Kind, Amor, Amor bös und blind. Hirtin, sieh, dein Herz entbrennet, Hast den Schelmen nicht gekennet. Sieh, die Flamme wächst geschwinde. Hüt dich vor dem schlauen Kind! [Fächle, lächle, schlaues Kind.] Ah, the child's wing is burning! Cupid, Cupid runs quickly. O how the burning hurts him deeply! Beating his wings, he weeps loudly; To the shepherdess's lap runs, crying for help, the wily child. And the shepherdess helps the child, Cupid, Cupid, naughty and blind. Shepherdess, look, your heart is burning; You did not recognize the rascal. See, the flame is growing quickly. Save yourself, from the wily child! [Fan, smile, wily child.] Adapted translation from German to English by John Glenn Paton, available at Text and Translation of Amor, by Clemens Brentano Overview of Musical Characteristics The musical form of Amor comprises three large sections that feature some recurring musical motives, though the song is through-composed (Table 4.1 presents an outline of the song s form and narrative scheme). Each formal section of the music aligns with the setting of one stanza of Brentano s poem. The demarcation of the musical form is punctuated by elided cadential gestures that create a sense of both closure and fluidity in the music. For example, the elided cadence in m. 16 provides closure for the first formal section while facilitating a seamless transition into the beginning of the second section (see Example 4.6a, which includes 59 The bracketed text at the end of the poem is Strauss s addition; it is not part of the original literary source. It is interesting that Strauss s addition introduces a change in the narrative of the song. This closing line, which is sung after structural closure has been attained, is the only time during the song that the narrator directly addresses Cupid.

107 this portion of the score). The primary key areas in the song also contribute to the differentiation of formal sections: section A is bound by I (G) and V (D); section B is shaped by rising chromatic half steps that lead to III# (B); section C remains in the tonic (G). Within these three formal sections, embedded chromaticism further contributes to the sense of continuation by fluidly navigating between distantly related chords or key areas. Examples of these kinds of passages are shown in Examples Table 4.1. Form Chart. Amor, Op. 68, No. 5. Musical Section A B C Codetta Text Stanza 1 Stanza 2 Stanza 3 Line 5 I fvi V (no interruption) Narrator describes Cupid, who is sitting by a fire. #I/fII II III# I I Cupid s plan is activated as his wing catches fire. He runs to the shepherdess for help. The motivation behind Cupid s plan is revealed when the shepherdess s heart begins to burn. The narrator warns the listeners to guard their hearts. Reminder of Cupid s mischievous ways. Measures In addition to the ubiquitous chromaticism and melismatic coloratura passages that characterize the musical surface of Amor, the song also features several recurring motives that correspond directly to particular words in Brentano s poem. In certain instances, the textmusic pairings are examples of word painting. For example, the word fächelt (or fächle ), which means (he) fans, is depicted in the music by an oscillating gesture that is embellished with lower and upper neighbor figures (Example 4.1a). The music here is a direct portrayal of Cupid s wings as they fan open and closed. At other times, the text-music pairings do not result

108 in word painting. Rather, they are couplings that attain greater meaning through repetition. An example of this is the undulating third motive that sounds each time Cupid s name is mentioned (Example 4.1b). 60 By itself, the motive does not convey any recognizable association with the mischievous child. It is through repetition that the pairing begins to develop meaning in the song. 61 A selection of some of the recurring text-music associations found in Amor is included in Examples 4.1a d.... Example 4.1a. Motivic association with the words fächelt and fächle, meaning he fans and fan. Amor, Op. 68, No. 5, mm and #... Example 4.1b. Motivic association with the word Amor, or Cupid. Amor, Op. 68, No. 5, mm. 2 3 and Barbara Petersen (1980) includes the Amor motive in her consideration of text-derived rhythmic motives (see her Table 2 on pp ). 61 The oscillating third gesture is also linked with the words fächelt and fächle (Example 4.1a). As Cupid fans his wings, the Amor motive colors the text setting.