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As the development moves towards a climax from bar 283, there is no sig »f a tonicizing dominant, creating a real doubt as to where, tonally, the mov nent is heading. The transition back to the principal theme is quite unusué -onsisting of a sequence of chromatically ascending tonal shifts, from B fl ninor (bar 279) to B minor (bar 283) through harmonies of C major, with th yenultimate chord before the return of A being C sharp major! This is certail y not a dominant preparation —in fact, because C sharp is an axial relative « A it provides no springboard ai all. As a result the arrival of A major at Fig 8 sounds anacrustic, not thetic. If A major here is anacrustic then it entertair he possibility that a completed resolution will take us to D. “xyqmple 11-2 VI-i 287—291

Figure 8 As the development moves towards a climax from bar 283, there is no sig »f a tonicizing dominant, creating a real doubt as to where, tonally, the mov nent is heading. The transition back to the principal theme is quite unusué -onsisting of a sequence of chromatically ascending tonal shifts, from B fl ninor (bar 279) to B minor (bar 283) through harmonies of C major, with th yenultimate chord before the return of A being C sharp major! This is certail y not a dominant preparation —in fact, because C sharp is an axial relative « A it provides no springboard ai all. As a result the arrival of A major at Fig 8 sounds anacrustic, not thetic. If A major here is anacrustic then it entertair he possibility that a completed resolution will take us to D. “xyqmple 11-2 VI-i 287—291

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The note in common between the true subdominant and the tonic is the tonic note itself (c relative to C). In IVB—I the common note also comes from the tonic axis (e). This state of tonic residue is in part responsible for the more relaxed relation between tonic and subdominant; contrary to V—I where the common note preserved is a dominant triad member (g in this case). In the context of a IV—lI cadence, the tonic is defined by three characteristic steps, the plagal leading note (resolution by falling semitone), the bass fourth and the plagal whole-tone (resolution by falling whole-tone). As the above example clearly shows the other axial members share these characteristics relative to a given tonic. As with the dominant axis the two outer axis members are either enhanced or diminished in their linear, tonic defining capacity. Here it is the beta subdominant, with each triad member in a plagal leading note relationship that provides a potent definition of the tonic (note also that the bass fourth is still possible). [Vo is less potent in a cadential sense, but is common at the deener structural levels.
The note in common between the true subdominant and the tonic is the tonic note itself (c relative to C). In IVB—I the common note also comes from the tonic axis (e). This state of tonic residue is in part responsible for the more relaxed relation between tonic and subdominant; contrary to V—I where the common note preserved is a dominant triad member (g in this case). In the context of a IV—lI cadence, the tonic is defined by three characteristic steps, the plagal leading note (resolution by falling semitone), the bass fourth and the plagal whole-tone (resolution by falling whole-tone). As the above example clearly shows the other axial members share these characteristics relative to a given tonic. As with the dominant axis the two outer axis members are either enhanced or diminished in their linear, tonic defining capacity. Here it is the beta subdominant, with each triad member in a plagal leading note relationship that provides a potent definition of the tonic (note also that the bass fourth is still possible). [Vo is less potent in a cadential sense, but is common at the deener structural levels.
provide So aS fo focus attention On We poecue Clements OF NAS WOrkK. Liszt was also aware of the structural potential inherent in double-tonic son- orities. It is a consistent strategy of Liszt's to reflect the primary tonal centres of a work in the opening harmonic sonority. This is clearly the case in Les Préludes where the opening thematic fragments outline two double tonic son- orities a-c-e-g and c-e-(g)-b. It is no surprise that the keys of E and A play such a major role in the work that follows and that, as a last glimpse at the work's tonal thematicism, Les Préludes concludes with alternating E minor and C major triads reflecting the initial double-tonic complex. Example 3-11 Les Préludes bars 3-5 and 416.
provide So aS fo focus attention On We poecue Clements OF NAS WOrkK. Liszt was also aware of the structural potential inherent in double-tonic son- orities. It is a consistent strategy of Liszt's to reflect the primary tonal centres of a work in the opening harmonic sonority. This is clearly the case in Les Préludes where the opening thematic fragments outline two double tonic son- orities a-c-e-g and c-e-(g)-b. It is no surprise that the keys of E and A play such a major role in the work that follows and that, as a last glimpse at the work's tonal thematicism, Les Préludes concludes with alternating E minor and C major triads reflecting the initial double-tonic complex. Example 3-11 Les Préludes bars 3-5 and 416.
The tonal outline reveals a tactic of alternation between the two tonic axis members with the introductory A minor becoming the eventual tonic. At first A minor seems only likely to attain subordinate status as it gives way to a conventional sonata movement in F major. But its character as an introduction is certainly not typical. Contrary to the Haydnesque norm, it is, tonally and thematically, clearly articulated, so much so as to constitute a separate unit. In the Haydn model, the ensuing allegro would normally rob the introduction of its autonomy, assimilating its thematic content by superseding it with a more clearly identifiable version. The approach here provides the introduction with so palpable an identity that it can act as a tonal adversary. Mahler uses the same technique to create form-generating duality in his Symphonies 3, 4, 7 and LO.
The tonal outline reveals a tactic of alternation between the two tonic axis members with the introductory A minor becoming the eventual tonic. At first A minor seems only likely to attain subordinate status as it gives way to a conventional sonata movement in F major. But its character as an introduction is certainly not typical. Contrary to the Haydnesque norm, it is, tonally and thematically, clearly articulated, so much so as to constitute a separate unit. In the Haydn model, the ensuing allegro would normally rob the introduction of its autonomy, assimilating its thematic content by superseding it with a more clearly identifiable version. The approach here provides the introduction with so palpable an identity that it can act as a tonal adversary. Mahler uses the same technique to create form-generating duality in his Symphonies 3, 4, 7 and LO.
This intent of bringing the two combatants into high relief is witnessed at the corresponding point in the finale—at the end of the development section (bars 180—7). Here the dominants of both keys vie for the right to enforce the su- premacy of their respective tonics. At bar 196 the victory appears to fall to F and there ensues a stable period of thirteen bars of stable F major, but its reign is cut short by the return of A minor and the principal theme.
This intent of bringing the two combatants into high relief is witnessed at the corresponding point in the finale—at the end of the development section (bars 180—7). Here the dominants of both keys vie for the right to enforce the su- premacy of their respective tonics. At bar 196 the victory appears to fall to F and there ensues a stable period of thirteen bars of stable F major, but its reign is cut short by the return of A minor and the principal theme.
The use of G major as a second tonal area in the exposition is unusual in itself—as was noted in chapter 2, it constitutes a subdominant axis member. Example 4-7 Op. 106 first movement subdominant voice-leading
The use of G major as a second tonal area in the exposition is unusual in itself—as was noted in chapter 2, it constitutes a subdominant axis member. Example 4-7 Op. 106 first movement subdominant voice-leading
Example 4-8 Hammerklavier, second movement bar 160—72.
Example 4-8 Hammerklavier, second movement bar 160—72.
a me fas rhe plagal leading-note conclusion of both the first and the second move- nts reflected the subdominant bias at the background level. In a similar hion the foreground events in the finale reflect the attainment of a structural dominant at the background level, that is, the fugue subject itself prominently em phasizes the leading note, rejoicing in that which had earlier been withheld. This is particularly the case with the concluding bars of the movement, which stand in stark contrast to the closures of the first and second movements both of which were shrouded in subdominant voice-leading relationships. Here there is a striking concentration of leading-note motions outlining the complete B flat major scale (bar 398-409). Reathnvaean'e tactire in Oniie 106 add tr the weight nf avindanre that the "fin, Example 4-9 Schenkerian graph, Largo introduction as a whole-tone intermediary between B flat and G flat) with, once again, ; pronounced articulation of the entire subdominant axis (B-G-ED) in the centra part of the movement. In the final analysis the structural dominant lies, not it any of the movements proper, but in the only section thus far omitted—th Largo introduction to the finale. This establishes the true dominant F at the opening and the alpha dominant as preparation for the cadence into the move: ment proper and B flat major. Most importantly, the intervening material (ba! 3-—8) establishes G sharp minor functioning as va of Va and thus fulfills, ir axial terms, the axiomatic requirements for the dominant axis to attain back. ground level status, which in turn ensures the completion of the Schenkeriar "triangle" for the entire work. ey ee Le ee
a me fas rhe plagal leading-note conclusion of both the first and the second move- nts reflected the subdominant bias at the background level. In a similar hion the foreground events in the finale reflect the attainment of a structural dominant at the background level, that is, the fugue subject itself prominently em phasizes the leading note, rejoicing in that which had earlier been withheld. This is particularly the case with the concluding bars of the movement, which stand in stark contrast to the closures of the first and second movements both of which were shrouded in subdominant voice-leading relationships. Here there is a striking concentration of leading-note motions outlining the complete B flat major scale (bar 398-409). Reathnvaean'e tactire in Oniie 106 add tr the weight nf avindanre that the "fin, Example 4-9 Schenkerian graph, Largo introduction as a whole-tone intermediary between B flat and G flat) with, once again, ; pronounced articulation of the entire subdominant axis (B-G-ED) in the centra part of the movement. In the final analysis the structural dominant lies, not it any of the movements proper, but in the only section thus far omitted—th Largo introduction to the finale. This establishes the true dominant F at the opening and the alpha dominant as preparation for the cadence into the move: ment proper and B flat major. Most importantly, the intervening material (ba! 3-—8) establishes G sharp minor functioning as va of Va and thus fulfills, ir axial terms, the axiomatic requirements for the dominant axis to attain back. ground level status, which in turn ensures the completion of the Schenkeriar "triangle" for the entire work. ey ee Le ee
The second movement follows the same pattern of a slow introduction fol- lowed by a sonata-allegro. The adagio section briefly re-establishes C major before wandering through a succession of diminished sevenths. Beethoven is clearly dramatizing the tonal dichotomy that he has set up between C and A minor; with C emerging quietly victorious at the re-appearance of the Andante theme at bar ten. It would seem that Beethoven is indicating that the first son- ata allegro in A minor was something of a false continuation of the C major introduction and that now he 1s retracing his steps so that he might continue down the correct path. The sonata-form finale is straightforward enough al- though the two passages at the head of the development section and coda re- kindle a degree of tonal suspense, only to dissolve that tension in outbursts of baLioouery (bars 15— 7a).
The second movement follows the same pattern of a slow introduction fol- lowed by a sonata-allegro. The adagio section briefly re-establishes C major before wandering through a succession of diminished sevenths. Beethoven is clearly dramatizing the tonal dichotomy that he has set up between C and A minor; with C emerging quietly victorious at the re-appearance of the Andante theme at bar ten. It would seem that Beethoven is indicating that the first son- ata allegro in A minor was something of a false continuation of the C major introduction and that now he 1s retracing his steps so that he might continue down the correct path. The sonata-form finale is straightforward enough al- though the two passages at the head of the development section and coda re- kindle a degree of tonal suspense, only to dissolve that tension in outbursts of baLioouery (bars 15— 7a).
major by bar 190, by which time half the theme has run its course. It is a mar- velous touch of structural dovetailing of the kind that Mahler himself was fond of using at such structural junctures (see [V-1, [I-i1i) and all in a day's work for the experienced Brahms (note the corresponding point in the First Movement of the Fourth Symphony). But the avoidance of the structural dominant is the crucial point. Like the two late Beethoven works, the Trio can ive on the tension of anticipation: and like the Beethoven works this is not re- ieved until the finale is reached. Son 7 Aa 4tnr Or 1 ree+ ff.” ny ce. a. oe re 2
major by bar 190, by which time half the theme has run its course. It is a mar- velous touch of structural dovetailing of the kind that Mahler himself was fond of using at such structural junctures (see [V-1, [I-i1i) and all in a day's work for the experienced Brahms (note the corresponding point in the First Movement of the Fourth Symphony). But the avoidance of the structural dominant is the crucial point. Like the two late Beethoven works, the Trio can ive on the tension of anticipation: and like the Beethoven works this is not re- ieved until the finale is reached. Son 7 Aa 4tnr Or 1 ree+ ff.” ny ce. a. oe re 2
Our expectation at this point is that we will receive a structural dominant,
Our expectation at this point is that we will receive a structural dominant,
Example 4-17 Piano Quintet Op. 34 (first movement principal theme)
Example 4-17 Piano Quintet Op. 34 (first movement principal theme)
Example 4-23 Symphony No. 3, first movement, 116-120.
Example 4-23 Symphony No. 3, first movement, 116-120.
The above diagram shows Mahler's dependence on subdominant modu- lations. The expressive intent of this in the first and third songs is to underline the protagonists darkening spirits. The final song forms a subdominant rela- tionship with the closing tonality of song three (e being ivB of eb) and then proceeds to effect another subdominant modulation to F for the song's conclusion. In the end, the cycle does not finish on the relative major of the initial tonic D-——the two tonal centres are never brought into close enough con- tact to justify this view. Because F is reached via a sequence of subdominant progressions we perceive the concluding tonality as being far more remote. The sequence of tonalities from song three to the end is d-—eb—-e—(C)—f. In other words the relationship between the concluding tonic and the initial one is ivB of ivB of ivB.
The above diagram shows Mahler's dependence on subdominant modu- lations. The expressive intent of this in the first and third songs is to underline the protagonists darkening spirits. The final song forms a subdominant rela- tionship with the closing tonality of song three (e being ivB of eb) and then proceeds to effect another subdominant modulation to F for the song's conclusion. In the end, the cycle does not finish on the relative major of the initial tonic D-——the two tonal centres are never brought into close enough con- tact to justify this view. Because F is reached via a sequence of subdominant progressions we perceive the concluding tonality as being far more remote. The sequence of tonalities from song three to the end is d-—eb—-e—(C)—f. In other words the relationship between the concluding tonic and the initial one is ivB of ivB of ivB.
Key signatures, which are usually very helpful in Mahler, seem a little mis: >ading in the Trio section of this movement, almost as if Mahler selected the yean of the various keys. The G major suggested by the key signature is ne: er tonicized. The central section of the Trio exploits the subdominant axis (CL yajor) relative to F, and is articulated by a new theme. This is encompassec y a movement from the tonic axis F major at bar 175 to its dominant C, at ba 47, a move which parallels the I—V progression of the Scherzo's opening ection. In order to return to the Scherzo it is simply a matter of axial substitu: on, C major could easily function as VB of A and resolve directly to the ton c. But by emphasizing the pivotal E natural prior to the expected resolutior /B is displaced by V and the Scherzo resumes after a traditional perfect ca ence. Despite the subdominant excursion relative to F, the larger tonal con: our of the Trio is I8-——-VB and therefore tends to confirm the key of A majo: nd maintain dominant bias relative to the symphony as a whole.
Key signatures, which are usually very helpful in Mahler, seem a little mis: >ading in the Trio section of this movement, almost as if Mahler selected the yean of the various keys. The G major suggested by the key signature is ne: er tonicized. The central section of the Trio exploits the subdominant axis (CL yajor) relative to F, and is articulated by a new theme. This is encompassec y a movement from the tonic axis F major at bar 175 to its dominant C, at ba 47, a move which parallels the I—V progression of the Scherzo's opening ection. In order to return to the Scherzo it is simply a matter of axial substitu: on, C major could easily function as VB of A and resolve directly to the ton c. But by emphasizing the pivotal E natural prior to the expected resolutior /B is displaced by V and the Scherzo resumes after a traditional perfect ca ence. Despite the subdominant excursion relative to F, the larger tonal con: our of the Trio is I8-——-VB and therefore tends to confirm the key of A majo: nd maintain dominant bias relative to the symphony as a whole.
As I mentioned earlier, Mahler follows his miraculous attainment of D ma- jor and the subsequent triumphant chorale with a period where he recalls some aspects of the first movement introduction. Now Mahler is presented with a unique problem. Firstly he needs to consolidate the tonal modulation to D ma- jor and integrate this with the loose ends of his F minor music without creat- ing too great a structural schism. In the short-term D major is consolidated by recalling references to the first movement. But initially, this keeps the whole question of tonicity in limbo. The fact that D does not attempt to take over the F minor music, leaves the door open for F minor's return. But some have found this section less than satisfactory. This whole area of the Finale is of a recapitulatory character, in which Mah-
As I mentioned earlier, Mahler follows his miraculous attainment of D ma- jor and the subsequent triumphant chorale with a period where he recalls some aspects of the first movement introduction. Now Mahler is presented with a unique problem. Firstly he needs to consolidate the tonal modulation to D ma- jor and integrate this with the loose ends of his F minor music without creat- ing too great a structural schism. In the short-term D major is consolidated by recalling references to the first movement. But initially, this keeps the whole question of tonicity in limbo. The fact that D does not attempt to take over the F minor music, leaves the door open for F minor's return. But some have found this section less than satisfactory. This whole area of the Finale is of a recapitulatory character, in which Mah-
Nhat is crucial is that, initially, the introduction's basic features are being as: imilated into the context of an F tonality. This has so far been a sonata-form novement following some degree of convention and at this point we are in ¢ levelopment section which is firmly establishing F's dominant. Not only doe: t imply and support the possibility of a resolution to F, the arrival of thi: heme also hints at a programmatic resolution, stemming the flow of violen) onflicts that have characterized both the F minor music and the developmen:
Nhat is crucial is that, initially, the introduction's basic features are being as: imilated into the context of an F tonality. This has so far been a sonata-form novement following some degree of convention and at this point we are in ¢ levelopment section which is firmly establishing F's dominant. Not only doe: t imply and support the possibility of a resolution to F, the arrival of thi: heme also hints at a programmatic resolution, stemming the flow of violen) onflicts that have characterized both the F minor music and the developmen:
Throughout this section the overriding impression is of being in an extend- ed bridge passage. Certainly the dominant pedal conveys as much, and this is subsequently confirmed when the F minor march music resumes, announced by the ferocious entries of the theme's head motive, triple forte, in the violas at bar 520. But superimposed on this bridging function is an internal recapitu- latory gesture, that of the thematic material from the second tonal area, previ- ously given in D flat. Given the D major goal of the movement it would have been logical for Mahler to avoid an emphatic resolution of the second tonal area in this movement. Mahler certainly de-emphasizes this formal aspect, though the appearance of the theme here still constitutes a resolution in sonata terms. For all that the gesture is somewhat half-hearted, it puts the F minor sonata-form processes back on track after the D major breakthrough had caused something of a derailment.
Throughout this section the overriding impression is of being in an extend- ed bridge passage. Certainly the dominant pedal conveys as much, and this is subsequently confirmed when the F minor march music resumes, announced by the ferocious entries of the theme's head motive, triple forte, in the violas at bar 520. But superimposed on this bridging function is an internal recapitu- latory gesture, that of the thematic material from the second tonal area, previ- ously given in D flat. Given the D major goal of the movement it would have been logical for Mahler to avoid an emphatic resolution of the second tonal area in this movement. Mahler certainly de-emphasizes this formal aspect, though the appearance of the theme here still constitutes a resolution in sonata terms. For all that the gesture is somewhat half-hearted, it puts the F minor sonata-form processes back on track after the D major breakthrough had caused something of a derailment.
This is precisely the quality of first-movement sonata forms of middle period Beethoven, where the dynamic forward propulsion comes from the process of actively seeking out tonicization at each subsequent level. This teleological ap- proach to form (essentially classical) is not a recurring feature of Mahler's later first-movement sonata forms, which tend toward the non-teleological forms of late Beethoven—ones that avoid tonicization in order to dramatize the state of doubt over tonicity. The expectation of a fully-tonicizing sonata form catapults us into the next section in much the same way as the E flat cadence at the end of the exposition of Beethoven's Fifth catapults us into the repeat of the exposition.
This is precisely the quality of first-movement sonata forms of middle period Beethoven, where the dynamic forward propulsion comes from the process of actively seeking out tonicization at each subsequent level. This teleological ap- proach to form (essentially classical) is not a recurring feature of Mahler's later first-movement sonata forms, which tend toward the non-teleological forms of late Beethoven—ones that avoid tonicization in order to dramatize the state of doubt over tonicity. The expectation of a fully-tonicizing sonata form catapults us into the next section in much the same way as the E flat cadence at the end of the exposition of Beethoven's Fifth catapults us into the repeat of the exposition.
At Figure 15, E flat minor explodes without warning out of the tranquil clo- sure in B major, setting in motion the second development section and com- pleting the tonal relationship with the second tonal area from Figure 3 to 4. Contained within this section are a number of passages that will have some bearing on the finale, principally the Dies Jrae theme (bar 270), which dom- inates much of the chorale writing in the first part of the finale, and the so- called "resurrection" theme, at bar 282. It could be argued that the passage at bar 282 claims our attention because it is here that E flat major strives to gain control, pointing out the eventual tonal resolution of the work. However it is predominantly the thematic relationship with the finale that captures our attention especially as the theme will later carry the words that are the crux of the programmatic resolution (see II-v Fig. 31). Aside from the resurrection theme in isolation, the whole passage from bar 282 to 294 appears almost lit- erally from bar 300 to 320 in the finale. For reasons I will discuss later it is more difficult to verify the tonal connection. The matter of these interconnections demands a short detour to the question Example 7-3 Middleground Schenker diagram of the development section.
At Figure 15, E flat minor explodes without warning out of the tranquil clo- sure in B major, setting in motion the second development section and com- pleting the tonal relationship with the second tonal area from Figure 3 to 4. Contained within this section are a number of passages that will have some bearing on the finale, principally the Dies Jrae theme (bar 270), which dom- inates much of the chorale writing in the first part of the finale, and the so- called "resurrection" theme, at bar 282. It could be argued that the passage at bar 282 claims our attention because it is here that E flat major strives to gain control, pointing out the eventual tonal resolution of the work. However it is predominantly the thematic relationship with the finale that captures our attention especially as the theme will later carry the words that are the crux of the programmatic resolution (see II-v Fig. 31). Aside from the resurrection theme in isolation, the whole passage from bar 282 to 294 appears almost lit- erally from bar 300 to 320 in the finale. For reasons I will discuss later it is more difficult to verify the tonal connection. The matter of these interconnections demands a short detour to the question Example 7-3 Middleground Schenker diagram of the development section.
This "appalling shriek" marks the climax of the movement and the ensuing music is marked by a concentration of significant events. The resolution of this dissonance brings forth the timpani prelude from the beginning of the movement, implying a return to the point of origin. Then the first violins re- gain the trumpet's 8-7-6-5 theme, though the repeat is by no means literal. The C major version at bar 501 articulates the tonic triad by metrically accent- ing its constituent members at bars 501, 505, then 509-10-11 and 512. This is in stark contrast to the accented appoggiaturas that dominated the original. Example 7-7 II-ili 501-512. Example 7-6 IJ-iii Fig. 40-41 and II-i Fig. 3 and 23.
This "appalling shriek" marks the climax of the movement and the ensuing music is marked by a concentration of significant events. The resolution of this dissonance brings forth the timpani prelude from the beginning of the movement, implying a return to the point of origin. Then the first violins re- gain the trumpet's 8-7-6-5 theme, though the repeat is by no means literal. The C major version at bar 501 articulates the tonic triad by metrically accent- ing its constituent members at bars 501, 505, then 509-10-11 and 512. This is in stark contrast to the accented appoggiaturas that dominated the original. Example 7-7 II-ili 501-512. Example 7-6 IJ-iii Fig. 40-41 and II-i Fig. 3 and 23.
E major is finally assimilated by the incumbent tonic, cancelled out as it
E major is finally assimilated by the incumbent tonic, cancelled out as it
The march recommences and, as in the original, F major gradually emerges as tonic after significant emphasis on A minor (ia). This alternation betweer axis members continues until the tonicizing version of the "Brahms" theme a bar 800. The theme originally from Figure 20, that also dominated much ot the C major music in the development, now counterpoints the F major marct music at Figure 70. This represents a delayed confirmation of the teleologica inclination of C in the development towards the eventual tonicization of F Despite the intervening D minor introduction Mahler assimilates the theme intc an F major context. development or recapitulation, or both, as 1s the Case in tis movement. Cooke is very much mistaken in saying that Mahler allows himself to repea almost the entire exposition (Cooke considering the D minor section as part 0: the exposition).!3 Mahler's concision is nowhere more evident than in his handling of this recapitulation. His introduction lasts less than a hundred bar: compared with the nearly 240 bars that preceded the point where the dominan: of F was reached. Mahler presents an amalgam of the two D minor episode: contained within the original Introduction, the trombone marking the transfer to the second episode at bar 683. Consequently he succeeds in conveying é very real sense of a full recapitulation in well under half the time. Added to the functions of thematic recapitulation and the restatement of the original tonal di- chotomy, Mahler includes a first glimpse of one of his characteristic turn fig- ures that will be prominent in the final Adagio. Rvamnie 8.A WTj.794 33 and ITJ-vi-210.
The march recommences and, as in the original, F major gradually emerges as tonic after significant emphasis on A minor (ia). This alternation betweer axis members continues until the tonicizing version of the "Brahms" theme a bar 800. The theme originally from Figure 20, that also dominated much ot the C major music in the development, now counterpoints the F major marct music at Figure 70. This represents a delayed confirmation of the teleologica inclination of C in the development towards the eventual tonicization of F Despite the intervening D minor introduction Mahler assimilates the theme intc an F major context. development or recapitulation, or both, as 1s the Case in tis movement. Cooke is very much mistaken in saying that Mahler allows himself to repea almost the entire exposition (Cooke considering the D minor section as part 0: the exposition).!3 Mahler's concision is nowhere more evident than in his handling of this recapitulation. His introduction lasts less than a hundred bar: compared with the nearly 240 bars that preceded the point where the dominan: of F was reached. Mahler presents an amalgam of the two D minor episode: contained within the original Introduction, the trombone marking the transfer to the second episode at bar 683. Consequently he succeeds in conveying é very real sense of a full recapitulation in well under half the time. Added to the functions of thematic recapitulation and the restatement of the original tonal di- chotomy, Mahler includes a first glimpse of one of his characteristic turn fig- ures that will be prominent in the final Adagio. Rvamnie 8.A WTj.794 33 and ITJ-vi-210.
Within the first 18 bars of the fourth movement both the prophetic events from the closing stages of the Scherzo are borne out. The O Mensch theme returns in its original form and by bar 18 we have cadenced into D major, a key in the subdominant direction (IVa) from the original tonic F. The articula- tion of the new tonal stance of the work is indeed forceful—the entry of the human voice assures this. As the overall tonal picture of the Symphony now emerges, it can be seen to resemble that of the preceding Symphony. In both works events at the end of the Scherzo herald the change in tonicity, which is then dramatically articulated by the entry of the human voice in the fourth movement. The tonal outline of the Second was decidedly concentric up until he corresponding point, the first three movements outlining a I—IB—i scheme. Here in the Third the tonal outline of the first three movements is I— [a~—v and so a case can be made for a concentric structure with F as tonic. In
Within the first 18 bars of the fourth movement both the prophetic events from the closing stages of the Scherzo are borne out. The O Mensch theme returns in its original form and by bar 18 we have cadenced into D major, a key in the subdominant direction (IVa) from the original tonic F. The articula- tion of the new tonal stance of the work is indeed forceful—the entry of the human voice assures this. As the overall tonal picture of the Symphony now emerges, it can be seen to resemble that of the preceding Symphony. In both works events at the end of the Scherzo herald the change in tonicity, which is then dramatically articulated by the entry of the human voice in the fourth movement. The tonal outline of the Second was decidedly concentric up until he corresponding point, the first three movements outlining a I—IB—i scheme. Here in the Third the tonal outline of the first three movements is I— [a~—v and so a case can be made for a concentric structure with F as tonic. In
Also prominent is the turn figure that featured in the final trombone solo (from Figure 61 in the first movement). | commented on this earlier and can now elaborate on its significance. The final thematic event in D minor in the first movement denied F's tonal supremacy by bringing forth an altogether different type of melodic invention which constituted yet another loose end.
Also prominent is the turn figure that featured in the final trombone solo (from Figure 61 in the first movement). | commented on this earlier and can now elaborate on its significance. The final thematic event in D minor in the first movement denied F's tonal supremacy by bringing forth an altogether different type of melodic invention which constituted yet another loose end.
Taken as a whole, the brief passage represents a conflation of dominant axis harmonies, specifically VB, provided by the flute melody, and V, provided by the dominant pedal. It is significant that this last appearance of F, rather than gaining any thematic independence, is enmeshed in a dominant function that will ultimately confirm the tonicity of D. Once again, Mahler is articulating ata foreground level the fundamental reversal in background status of the two keys. a 3 i cg laa a Another reference comes at bar 180 in the finale with the horn figure that eatured most prominently at the beginning of the development section in the irst movement. This particular reminiscence returns us most vividly to a spe- ‘ific moment in the first movement, and in so doing recalls the original tonal srientation of the symphony. Here it comes at an important structural point, ust before the final statement of D major, the onset of the final, unequivocal -ancellation of the tonicity of F. Further references follow—the first comes at yar 219 and refers to the passage immediately prior to that cited above from ‘igure 29 in the first movement. But more importantly this same passage oc- ‘urs between Figures 74 and 75, just before the final statement of F major in he first movement. Mahler recalls this critical juncture which focuses our at- ention on the fact that the tonal continuation now points to D and not F. The outcome of this last reference is a most notable passage for it represents The outcome of this last reference is a most notable passage for 1t represents
Taken as a whole, the brief passage represents a conflation of dominant axis harmonies, specifically VB, provided by the flute melody, and V, provided by the dominant pedal. It is significant that this last appearance of F, rather than gaining any thematic independence, is enmeshed in a dominant function that will ultimately confirm the tonicity of D. Once again, Mahler is articulating ata foreground level the fundamental reversal in background status of the two keys. a 3 i cg laa a Another reference comes at bar 180 in the finale with the horn figure that eatured most prominently at the beginning of the development section in the irst movement. This particular reminiscence returns us most vividly to a spe- ‘ific moment in the first movement, and in so doing recalls the original tonal srientation of the symphony. Here it comes at an important structural point, ust before the final statement of D major, the onset of the final, unequivocal -ancellation of the tonicity of F. Further references follow—the first comes at yar 219 and refers to the passage immediately prior to that cited above from ‘igure 29 in the first movement. But more importantly this same passage oc- ‘urs between Figures 74 and 75, just before the final statement of F major in he first movement. Mahler recalls this critical juncture which focuses our at- ention on the fact that the tonal continuation now points to D and not F. The outcome of this last reference is a most notable passage for it represents The outcome of this last reference is a most notable passage for 1t represents
!2Christopher Orlo Lewis, Tonal Coherence in Mahler's Ninth Symphony, (Ann Arbor, the exposition but once again they function as the dominant of E minor, just as they did at the beginning of the development. Despite the confirmation of G's tonicity provided by the resolution of the second tonal area, the resurgence of E minor stresses the fact that tonal rivalry has by no means abated. Mahler reaffirms that the B minor introduction still holds the potential to resolve as the dominant of E minor, and in so doing reactivates the subdominant bias of the development section at a point in the composition where the tonic needs to consolidate its position.
!2Christopher Orlo Lewis, Tonal Coherence in Mahler's Ninth Symphony, (Ann Arbor, the exposition but once again they function as the dominant of E minor, just as they did at the beginning of the development. Despite the confirmation of G's tonicity provided by the resolution of the second tonal area, the resurgence of E minor stresses the fact that tonal rivalry has by no means abated. Mahler reaffirms that the B minor introduction still holds the potential to resolve as the dominant of E minor, and in so doing reactivates the subdominant bias of the development section at a point in the composition where the tonic needs to consolidate its position.
The final act of the Adagio is to regain G major, which is achieved via 4 Urief excursion into C major. G major, although re-establis hed from bar 338 is suffused with added sixth inflections, creating a double tonic sonority of E- G-B-D signifying the latent presence of the eventual tonic E. The movement fades on the dominant chord of G providing a springboard into the ensuing fi- nale, giving the impression that the two movements constitute a continuous
The final act of the Adagio is to regain G major, which is achieved via 4 Urief excursion into C major. G major, although re-establis hed from bar 338 is suffused with added sixth inflections, creating a double tonic sonority of E- G-B-D signifying the latent presence of the eventual tonic E. The movement fades on the dominant chord of G providing a springboard into the ensuing fi- nale, giving the impression that the two movements constitute a continuous
Example 10-2 V-i, 120-128 compared with 35-42. It may well have been a matter of notational convenience that the violins re- snter with a key signature suggesting C sharp minor at Figure 6, but it con- firms the latent presence of the tonic already noted. By bar 140, A flat chords as dominant sevenths prepare the imminent resolution to C sharp minor, which duly arrives at bar 145. With it fades the prospect of a prolonged toni- cizing dominant and the episode just completed is relegated to a middleground vent. In tonicization terms, this exposition neutralizes any initiatives towards a deeper level tonicization, with the result that it sounds decidedly preludial. As a result, we expect that the future will hold tonal events of greater signifi- cance and that the question of tonicity will be clarified later. i i re re eee whee Soo whe we: ete epceat sees mf CE Fee whee:
Example 10-2 V-i, 120-128 compared with 35-42. It may well have been a matter of notational convenience that the violins re- snter with a key signature suggesting C sharp minor at Figure 6, but it con- firms the latent presence of the tonic already noted. By bar 140, A flat chords as dominant sevenths prepare the imminent resolution to C sharp minor, which duly arrives at bar 145. With it fades the prospect of a prolonged toni- cizing dominant and the episode just completed is relegated to a middleground vent. In tonicization terms, this exposition neutralizes any initiatives towards a deeper level tonicization, with the result that it sounds decidedly preludial. As a result, we expect that the future will hold tonal events of greater signifi- cance and that the question of tonicity will be clarified later. i i re re eee whee Soo whe we: ete epceat sees mf CE Fee whee:
David B. Greenc, Mahler, Consciousness and Temporality, 45. At this early stage Mahler is not identifying the relative functions of specifi <eys— -the specific tonic or dominant—but rather the relative function of th sntire axis. Here he is intimating that C sharp has a dominant function that wil ‘esolve to F sharp. The fact that it resolves to B flat minor is of little rele vance—the purpose of establishing the dominant function of C sharp mean hat the axis F#—-Bb—D already holds a substantial claim to tonicity. Th specific details can be worked out later as to which axis member will becom he primary representative. For the moment we have a vB—i progression es ablishing B flat minor and it is perhaps significant that the eventual tonic L najor will be confirmed by a VB—I progression in Part III of the work, tha s between the Adagietto and the Finale. Dicks tha fan neaal AAwWtaAwe Oo RYNCrammoathr ovoqcace frAr the. PR flat ming
David B. Greenc, Mahler, Consciousness and Temporality, 45. At this early stage Mahler is not identifying the relative functions of specifi <eys— -the specific tonic or dominant—but rather the relative function of th sntire axis. Here he is intimating that C sharp has a dominant function that wil ‘esolve to F sharp. The fact that it resolves to B flat minor is of little rele vance—the purpose of establishing the dominant function of C sharp mean hat the axis F#—-Bb—D already holds a substantial claim to tonicity. Th specific details can be worked out later as to which axis member will becom he primary representative. For the moment we have a vB—i progression es ablishing B flat minor and it is perhaps significant that the eventual tonic L najor will be confirmed by a VB—I progression in Part III of the work, tha s between the Adagietto and the Finale. Dicks tha fan neaal AAwWtaAwe Oo RYNCrammoathr ovoqcace frAr the. PR flat ming
Concentrations of the shout of joy motive assemble from Figure 16 raising again the expectation of a new development. This time we are greeted with a jaunty march theme in A flat major, which marks a dramatic turn in events. The tonal processes so far have been decidedly undynamic owing to the major third and whole-tone relations between the various keys. The shift from B to A flat produces a VB—I progression, the first significant dominant—tonic re- lationship between two keys in the movement so far. Of course A flat is not the tonic and it is yet to be revealed whether we are to embark on a cycle of dominants or whether the ultimate tonal goal is much nearer at hand. But un- deniably, there is a degree of excitement engendered at this point, and it is due both to the fresh direction offered by the theme and the new direction that the movement's tonality is taking.
Concentrations of the shout of joy motive assemble from Figure 16 raising again the expectation of a new development. This time we are greeted with a jaunty march theme in A flat major, which marks a dramatic turn in events. The tonal processes so far have been decidedly undynamic owing to the major third and whole-tone relations between the various keys. The shift from B to A flat produces a VB—I progression, the first significant dominant—tonic re- lationship between two keys in the movement so far. Of course A flat is not the tonic and it is yet to be revealed whether we are to embark on a cycle of dominants or whether the ultimate tonal goal is much nearer at hand. But un- deniably, there is a degree of excitement engendered at this point, and it is due both to the fresh direction offered by the theme and the new direction that the movement's tonality is taking.
[he central section begins with a fugato passage, with the tonic as its starting 0int it modulates through F sharp minor to C sharp minor, or from io&—va. [he initial goal is the establishment of a dominant, specifically F minor (vB) which arrives as an axial substitution for C sharp at bar 218. The dominant of 7 is then sought via A flat minor, but C minor is surpassed and the central ep- sode featuring the solo horn calls takes place in the key of G from Figures 10 o 11. In the bars leading up to Figure 11, the music gravitates towards D mi- 1or—not so much as tonic but as V of V of V of F. The music has thus traced 1 cycle of fifths with F as its point of origin, and the farthest point of expan- sion brings forth the darkest and most bizarre material of the movement, a piz- yicato waltz for string quartet and bassoon. After this the music retraces its steps through D to A flat and C minor—the latter two being axis dominants which imply the return of F minor. F's axis relative A minor appears first at Figure 13, reworking the G minor horn-call music. F minor is regained at bat 429, completing the circle.
[he central section begins with a fugato passage, with the tonic as its starting 0int it modulates through F sharp minor to C sharp minor, or from io&—va. [he initial goal is the establishment of a dominant, specifically F minor (vB) which arrives as an axial substitution for C sharp at bar 218. The dominant of 7 is then sought via A flat minor, but C minor is surpassed and the central ep- sode featuring the solo horn calls takes place in the key of G from Figures 10 o 11. In the bars leading up to Figure 11, the music gravitates towards D mi- 1or—not so much as tonic but as V of V of V of F. The music has thus traced 1 cycle of fifths with F as its point of origin, and the farthest point of expan- sion brings forth the darkest and most bizarre material of the movement, a piz- yicato waltz for string quartet and bassoon. After this the music retraces its steps through D to A flat and C minor—the latter two being axis dominants which imply the return of F minor. F's axis relative A minor appears first at Figure 13, reworking the G minor horn-call music. F minor is regained at bat 429, completing the circle.
The corresponding Va—I to G flat cadence here in the Adagietto clearly BARLEY MA WEEE AA a YF Rw enews ewe 44 RAS It is a highly charged moment because so many significant events coalesce at this point, especially at bar 46. Just as F was the last dominant axis member to be tonicized so here we tonicize the one remaining tonic axis member G flat, which, up until now, has made only fleeting appearances in modulatory contexts. This in itself gives a sense of a cycle completed, complementary to the completed cycle of dominant axis keys. As I have already mentioned the act of making F function as a dominant brings the background tonal plot ex- plicitly into the foreground, and at the same time, the manrer in which the dominant function is played out directly relates to the shout of joy from the se- cond movement. In that movement, although D major was preceded by an E flat minor passage, the foreground cadence involved D flat major harmonies, and so at the last, D was established via a Va—I cadence. Cwoeammria 19.11 WVU ser AKT andA V11 ARZA and so at the last, D was established via a Va—lI cadence.
The corresponding Va—I to G flat cadence here in the Adagietto clearly BARLEY MA WEEE AA a YF Rw enews ewe 44 RAS It is a highly charged moment because so many significant events coalesce at this point, especially at bar 46. Just as F was the last dominant axis member to be tonicized so here we tonicize the one remaining tonic axis member G flat, which, up until now, has made only fleeting appearances in modulatory contexts. This in itself gives a sense of a cycle completed, complementary to the completed cycle of dominant axis keys. As I have already mentioned the act of making F function as a dominant brings the background tonal plot ex- plicitly into the foreground, and at the same time, the manrer in which the dominant function is played out directly relates to the shout of joy from the se- cond movement. In that movement, although D major was preceded by an E flat minor passage, the foreground cadence involved D flat major harmonies, and so at the last, D was established via a Va—I cadence. Cwoeammria 19.11 WVU ser AKT andA V11 ARZA and so at the last, D was established via a Va—lI cadence.
The tonal outline of the exposition is what would be expected from a move- ment attempting to avoid tonicization. In a repeated exposition Mahler gives us the tonic A minor and an axis relative in F major. This is a non-tonicizing relationship and therefore the responsibility for a more thorough tonicization of A minor falls on the development section. The axial relationship between A and F is very much highlighted by the dominant preparation before the fate rhythm at bar 57. The chord is, strictly speaking, Vb12b95 of A minor, but can also be seen as a juxtaposition of a B flat major triad on the dominant of A. It +
The tonal outline of the exposition is what would be expected from a move- ment attempting to avoid tonicization. In a repeated exposition Mahler gives us the tonic A minor and an axis relative in F major. This is a non-tonicizing relationship and therefore the responsibility for a more thorough tonicization of A minor falls on the development section. The axial relationship between A and F is very much highlighted by the dominant preparation before the fate rhythm at bar 57. The chord is, strictly speaking, Vb12b95 of A minor, but can also be seen as a juxtaposition of a B flat major triad on the dominant of A. It +
If Mahler had given the third hammer blow at Figure 164, and the precedent set by the passages prior to the previous blows suggests this to have been the most logical course of action, then the weight it would have accrued in the context of so important a tonal resolution would certainly have destroyed Mahler's long-range plan of the hammer-blows diminishing in intensity. Per- haps this is why, in order to avoid the effect of diminishing intensity of the hammer-blows, that Mahler initially placed the third blow at bar 783. But such is the degree that the third blow is implied by events leading up to Figure 164 that to make it explicit ten bars later could well have struck the composer as unnecessary, or even worse, tautological. One could be accused of facetiously taking un the role of devil's advocate If Mahler had given the third hammer blow at Figure 164, and the precedent Many of these features are duplicated in the passage immediately prior tc Figure 164. Mahler clearly evokes the exalted, major-key atmosphere of the dominant pedals prior to the first two hammer blows and the inverted domi- nant pedal here (e" in the first violins and flute) brings with it the expectation that we are approaching a critical structural landmark. As the following exam- ple shows the theme beginning at Figure 163 shares the rhythmic profile of the various heroic fanfares prior to Figures 129 and 140. Finally, Mahler du- plicates the same contrary motion convergence on the tonic that we saw prior to Figure 129,
If Mahler had given the third hammer blow at Figure 164, and the precedent set by the passages prior to the previous blows suggests this to have been the most logical course of action, then the weight it would have accrued in the context of so important a tonal resolution would certainly have destroyed Mahler's long-range plan of the hammer-blows diminishing in intensity. Per- haps this is why, in order to avoid the effect of diminishing intensity of the hammer-blows, that Mahler initially placed the third blow at bar 783. But such is the degree that the third blow is implied by events leading up to Figure 164 that to make it explicit ten bars later could well have struck the composer as unnecessary, or even worse, tautological. One could be accused of facetiously taking un the role of devil's advocate If Mahler had given the third hammer blow at Figure 164, and the precedent Many of these features are duplicated in the passage immediately prior tc Figure 164. Mahler clearly evokes the exalted, major-key atmosphere of the dominant pedals prior to the first two hammer blows and the inverted domi- nant pedal here (e" in the first violins and flute) brings with it the expectation that we are approaching a critical structural landmark. As the following exam- ple shows the theme beginning at Figure 163 shares the rhythmic profile of the various heroic fanfares prior to Figures 129 and 140. Finally, Mahler du- plicates the same contrary motion convergence on the tonic that we saw prior to Figure 129,
This particular version is not heard again until the point in the recapitulation mmediately after the banal march theme. What is important at this stage is that his particular version of the theme articulates A flat, the wrong key. E minor. he key a major third lower than A flat minor is the implied tonic. After B mi- 1or is briefly regained from bar 32, we move to a more emphatic dominant reparation for the coming E minor. With the arrival of E minor at Figure 6. yrings the sequence set in motion by the march to a point of completion, con- ‘irming our originally expectations. E minor is indeed the tonic and so the ful sequence is b—(e implied)—ab—e (confirmed). E minor is given some degree of security once it arrives. The first para- raph, from Figures 6 to 8 confirms the tonic cadentially anu then ends on the Jominant. As expected, this is used as a springboard for the second para-
This particular version is not heard again until the point in the recapitulation mmediately after the banal march theme. What is important at this stage is that his particular version of the theme articulates A flat, the wrong key. E minor. he key a major third lower than A flat minor is the implied tonic. After B mi- 1or is briefly regained from bar 32, we move to a more emphatic dominant reparation for the coming E minor. With the arrival of E minor at Figure 6. yrings the sequence set in motion by the march to a point of completion, con- ‘irming our originally expectations. E minor is indeed the tonic and so the ful sequence is b—(e implied)—ab—e (confirmed). E minor is given some degree of security once it arrives. The first para- raph, from Figures 6 to 8 confirms the tonic cadentially anu then ends on the Jominant. As expected, this is used as a springboard for the second para-
C major appears here as an unequivocal tonic. All the essential elements of the tonal plot point to this—the function of the dominant axis has remained fixed since the start of the work, and, after C was established in the second movement, the central movements did not produce any viable alternative for E minor side of the axial rivalry has not been :eactivated. Be- tonicity. The ] Unlike most o cause of this stability, the finale exists as a celebration of its own tonicity. f the finales in preceding works, there are no tonal demons that line a triad of E minor and continues to do so even after the horns have en-
C major appears here as an unequivocal tonic. All the essential elements of the tonal plot point to this—the function of the dominant axis has remained fixed since the start of the work, and, after C was established in the second movement, the central movements did not produce any viable alternative for E minor side of the axial rivalry has not been :eactivated. Be- tonicity. The ] Unlike most o cause of this stability, the finale exists as a celebration of its own tonicity. f the finales in preceding works, there are no tonal demons that line a triad of E minor and continues to do so even after the horns have en-
The tetrachord a-c-e-g can be interpreted as either an A minor triad with an added seventh, or a C major triad with an added sixth. In the end, although a tonal progression of sorts has been accomplished, the superseded tonal com- batant maintains a latent presence even when its opponent is clearly in control of tonicity. The first drinking song contemplates life embittered by the des- poiling spectre of death. The final song contemplates death, taking solace from the earth's continual process of renewal, as symbolized by the image of spring. The tonal plan reflects this sense of duality that, nevertheless remains interconnected.
The tetrachord a-c-e-g can be interpreted as either an A minor triad with an added seventh, or a C major triad with an added sixth. In the end, although a tonal progression of sorts has been accomplished, the superseded tonal com- batant maintains a latent presence even when its opponent is clearly in control of tonicity. The first drinking song contemplates life embittered by the des- poiling spectre of death. The final song contemplates death, taking solace from the earth's continual process of renewal, as symbolized by the image of spring. The tonal plan reflects this sense of duality that, nevertheless remains interconnected.
The third movement, a short movement in B flat minor, starts the second part of the symphony. Functioning as a kind of compressed exposition, it contains another transformation of the head motive of the solo viola theme (see example 12-11) and a rising scale passage (bars 8—11) that Mahler transforms to become a central character in the funereal dirge that opens the finale. Tonally the movement is simple, involving an ABA scheme in B flat, with the key of D featuring in the contrasting section. B flat is Io in the wider context of the symphony, and the movement maintains an axial relationship internally—the I—Iq@—I relationship of B flat and D. But it is of particular in- terest that D minor maintains a presence in this movement for that key is the medium-term goal of the Symphony. In addition, the passage contains disqui- eting tonal events that expose the vulnerability of F sharp's tonicity. Tha miele ture attamnte tr eerane the orin af TY) minnr—_ fram har 105
The third movement, a short movement in B flat minor, starts the second part of the symphony. Functioning as a kind of compressed exposition, it contains another transformation of the head motive of the solo viola theme (see example 12-11) and a rising scale passage (bars 8—11) that Mahler transforms to become a central character in the funereal dirge that opens the finale. Tonally the movement is simple, involving an ABA scheme in B flat, with the key of D featuring in the contrasting section. B flat is Io in the wider context of the symphony, and the movement maintains an axial relationship internally—the I—Iq@—I relationship of B flat and D. But it is of particular in- terest that D minor maintains a presence in this movement for that key is the medium-term goal of the Symphony. In addition, the passage contains disqui- eting tonal events that expose the vulnerability of F sharp's tonicity. Tha miele ture attamnte tr eerane the orin af TY) minnr—_ fram har 105
As the diagram of the tonal outline suggests, there is a traditional scherzo- trio pattern with contrasting keys, while at the same time the movement in- volves a progression to the key of D. The question is whether this tonal mod- ulation is a teleological progression or some form of interruption. Certainly there have been numerous references to D as the most probable axis rival to F sharp, and the central passage in the third movement again emphasized D; re- versing the bias towards F sharp that had characterized the F#-D relationship in the first movement. The second Scherzo begins in the key of E minor which functionally be-
As the diagram of the tonal outline suggests, there is a traditional scherzo- trio pattern with contrasting keys, while at the same time the movement in- volves a progression to the key of D. The question is whether this tonal mod- ulation is a teleological progression or some form of interruption. Certainly there have been numerous references to D as the most probable axis rival to F sharp, and the central passage in the third movement again emphasized D; re- versing the bias towards F sharp that had characterized the F#-D relationship in the first movement. The second Scherzo begins in the key of E minor which functionally be-
At this point the theme is harmonically at odds with the dominating trumpet theme which sustains the opening tension. But later in the movement, Mahler increasingly uses the opening two bars of the Veni Ia theme in a specific role; that of articulating tonal goals. At this stage of the movement the motive's ca- pabilities for resolving the opening tension is severely limited. Both here and at its second occurrence at 'Mentes tuorum visita’ (Figure 5), the theme can- not break free from its parent motive with which it is contrapuntally combined in a subordinate role.
At this point the theme is harmonically at odds with the dominating trumpet theme which sustains the opening tension. But later in the movement, Mahler increasingly uses the opening two bars of the Veni Ia theme in a specific role; that of articulating tonal goals. At this stage of the movement the motive's ca- pabilities for resolving the opening tension is severely limited. Both here and at its second occurrence at 'Mentes tuorum visita’ (Figure 5), the theme can- not break free from its parent motive with which it is contrapuntally combined in a subordinate role.
Example 13-5 Infirma I theme. reasons for the tonal shift are articulated, or more specificaliy vocalised, at a foreground level. The Veni I theme stays virtually intact rhythmically, but by changing the mode and altering the intervallic content of the theme Mahle1 produces a variant that is the antithesis of the original. The forward propul- sion and the impression of impatient striving created by the upper neighbour note and the metrical irregularities have been eliminated. Unequivocal major- key modality is not only darkened towards the minor but also shrouded in ambiguity—the theme lies suspended between D minor and its axis-relative B flat.
Example 13-5 Infirma I theme. reasons for the tonal shift are articulated, or more specificaliy vocalised, at a foreground level. The Veni I theme stays virtually intact rhythmically, but by changing the mode and altering the intervallic content of the theme Mahle1 produces a variant that is the antithesis of the original. The forward propul- sion and the impression of impatient striving created by the upper neighbour note and the metrical irregularities have been eliminated. Unequivocal major- key modality is not only darkened towards the minor but also shrouded in ambiguity—the theme lies suspended between D minor and its axis-relative B flat.
Ex 1 13- "Firmans virtute" and "Infirma” themes. earlier, this theme eschews all sense of striving that its parent motive gained from the resolution of neighbour notes and martial dotted rhythms. Paradoxi- cally it was precisely these, essentially static melodic features, that produced an air of disconsolate inertia when the theme appeared in the context of D mi- nor at bar 139 and at the second setting of 'Infirma nostri’ at Figure 30. Again we are faced with the kind of expressive "about-face" that Mitchell discerns in his "x" motive. But again I must emphasize that it is the parameters of tonal- ity, modality and text from which the theme's dichotomous appearance draws its lifeblood. It is merely Mahler the ever-economical symphonist needing a metrically square theme and using an already existing one rather than compose something new for the purpose. The two psychological states the theme is called upon to express are spiritually polar opposites, but both the blissful content of Figure 34 and the dreary discontent of bar 139 and Figure 30 are essentially inert states. — ee, a sie om 19 tans Redlich, Bruckner and Mahler, 217.
Ex 1 13- "Firmans virtute" and "Infirma” themes. earlier, this theme eschews all sense of striving that its parent motive gained from the resolution of neighbour notes and martial dotted rhythms. Paradoxi- cally it was precisely these, essentially static melodic features, that produced an air of disconsolate inertia when the theme appeared in the context of D mi- nor at bar 139 and at the second setting of 'Infirma nostri’ at Figure 30. Again we are faced with the kind of expressive "about-face" that Mitchell discerns in his "x" motive. But again I must emphasize that it is the parameters of tonal- ity, modality and text from which the theme's dichotomous appearance draws its lifeblood. It is merely Mahler the ever-economical symphonist needing a metrically square theme and using an already existing one rather than compose something new for the purpose. The two psychological states the theme is called upon to express are spiritually polar opposites, but both the blissful content of Figure 34 and the dreary discontent of bar 139 and Figure 30 are essentially inert states. — ee, a sie om 19 tans Redlich, Bruckner and Mahler, 217.
'Accende lumen sensibus' at Figure 38 expresses the polar opposite of In- irma I and IJ. Though both texts are supplicating in tone the emphasis has cen on the music depicting the affliction that craves relief. The latter half of he development section is a full-throated expression of religious ecstasy in esponse to those requests being granted even though the text is still in the act yf petitioning. The massive choral entry confirms E major's goal-status (even hough the cadence falls on to a mediant pedal), and with it a very clear tonal magery begins to emerge. Around the tonic key of E flat, which is associated with the central idea of supplication and petitioning, there is a negative pole of he dominant axis associated with doubt and unworthiness stemming from umanity's inherent condition of physical and spiritual frailty. In contrast to hese, the subdominant axis is associated with the sought-after plateau of 1eightened and ecstatic consciousness, the direct result of divine interaction. In terms of thematic content the "Accende" theme is derived from Veni I, ~~ tt “on —s my a aa + Ph
'Accende lumen sensibus' at Figure 38 expresses the polar opposite of In- irma I and IJ. Though both texts are supplicating in tone the emphasis has cen on the music depicting the affliction that craves relief. The latter half of he development section is a full-throated expression of religious ecstasy in esponse to those requests being granted even though the text is still in the act yf petitioning. The massive choral entry confirms E major's goal-status (even hough the cadence falls on to a mediant pedal), and with it a very clear tonal magery begins to emerge. Around the tonic key of E flat, which is associated with the central idea of supplication and petitioning, there is a negative pole of he dominant axis associated with doubt and unworthiness stemming from umanity's inherent condition of physical and spiritual frailty. In contrast to hese, the subdominant axis is associated with the sought-after plateau of 1eightened and ecstatic consciousness, the direct result of divine interaction. In terms of thematic content the "Accende" theme is derived from Veni I, ~~ tt “on —s my a aa + Ph
Greene maintains that the "Accende" theme fuses elements of Veni I and II to- gether, though the latter is evident only from bars 272-4. He is correct in say- ing that any duality derived from different settings of the same text tends to dissolve—especially when different themes are actively involved in expres- sing the pervading state of ecstasy in contrapuntal combination (such as the "Praevio" double fugue at Figure 46). a ok Z meen di on pm é ae
Greene maintains that the "Accende" theme fuses elements of Veni I and II to- gether, though the latter is evident only from bars 272-4. He is correct in say- ing that any duality derived from different settings of the same text tends to dissolve—especially when different themes are actively involved in expres- sing the pervading state of ecstasy in contrapuntal combination (such as the "Praevio" double fugue at Figure 46). a ok Z meen di on pm é ae
Tied up with the emotional characteristics of the refrain, its evocation of life and its tendency to function as a refuge between turmoil-ridden and desolate episodes, is the fragility of D's tonicity. Despite regular recurrences of the refrain and D major throughout the movement, Mahler never allows it to be Example 14-3 Thematic relationships between IX,i and Liv.
Tied up with the emotional characteristics of the refrain, its evocation of life and its tendency to function as a refuge between turmoil-ridden and desolate episodes, is the fragility of D's tonicity. Despite regular recurrences of the refrain and D major throughout the movement, Mahler never allows it to be Example 14-3 Thematic relationships between IX,i and Liv.
The exposition (bars 1—107) does not produce a tonicizing dominant, ra- ther it focuses exclusively on the tonic axis, namely B flat (If). The axial rela- ionship between D and B flat is, in this case, particularly close, owing to the foreground presence of interchanging axis dominants. There is a common the- matic cell between both the D minor and B flat major sections, the augmented riad a-c#-f, which forges the bond. Alternately, this can be interpreted as the 1otes of the dominant axis superimposed on a tonic pedal. The interchangea- dle nature of axis relatives is illustrated here by the recurrence of the theme at ts original pitch at bar 81, though now we are in the context of B flat. The interchangeable dominant f-a-c# is merely superimposed on another tonic-axis jJeda]. The exposition (bars 1—107) does not produce a tonicizing dominant, ra-
The exposition (bars 1—107) does not produce a tonicizing dominant, ra- ther it focuses exclusively on the tonic axis, namely B flat (If). The axial rela- ionship between D and B flat is, in this case, particularly close, owing to the foreground presence of interchanging axis dominants. There is a common the- matic cell between both the D minor and B flat major sections, the augmented riad a-c#-f, which forges the bond. Alternately, this can be interpreted as the 1otes of the dominant axis superimposed on a tonic pedal. The interchangea- dle nature of axis relatives is illustrated here by the recurrence of the theme at ts original pitch at bar 81, though now we are in the context of B flat. The interchangeable dominant f-a-c# is merely superimposed on another tonic-axis jJeda]. The exposition (bars 1—107) does not produce a tonicizing dominant, ra-
The turmoil of the chromatic theme in D minor and B flat carries the stigma of negativity partly due to the way the music responds to it. Both times it ap- pears, at bars 27 and 80, the music is quick to suppress the tortured chromati- cism and the minor mode. In the first D minor passage, the music strives tc shake off its own turmoil and eventually discharges all its tension into the D major climax at bar 47. Likewise, the second appearance at bar 80 nullifies the implication of the minor mode after only two bars whereupon the music em- barks on a course that has all the makings of a replica of the earlier D major climax.
The turmoil of the chromatic theme in D minor and B flat carries the stigma of negativity partly due to the way the music responds to it. Both times it ap- pears, at bars 27 and 80, the music is quick to suppress the tortured chromati- cism and the minor mode. In the first D minor passage, the music strives tc shake off its own turmoil and eventually discharges all its tension into the D major climax at bar 47. Likewise, the second appearance at bar 80 nullifies the implication of the minor mode after only two bars whereupon the music em- barks on a course that has all the makings of a replica of the earlier D major climax.
At 365 Mahler swings back to D's constant tonal companion, B flat. Once igain foreground events confirm the axial relationship—-D's dominant merely ‘unctions as Va of B flat. Like the development section, the recapitulation ad- 1eres almost rigidly to the exposition's preordained tonal patterns and associa- ions. I can only emphasize again how restricted the movement is in terms of onal options and how this reflects the lack of obtainable goals in the program- natic sense. Following the B flat major section and a truncated recapitulation »f the chromatic D minor theme, there finally comes a fresh avenue of tonal *xploration. But the future it evokes is the antithesis of the life-affirming D najor music. OTs 4 ae eee aes Khaw SCR. BORA Bedi’ we ew: deme iw cow coke Sec ewesl bes wdec
At 365 Mahler swings back to D's constant tonal companion, B flat. Once igain foreground events confirm the axial relationship—-D's dominant merely ‘unctions as Va of B flat. Like the development section, the recapitulation ad- 1eres almost rigidly to the exposition's preordained tonal patterns and associa- ions. I can only emphasize again how restricted the movement is in terms of onal options and how this reflects the lack of obtainable goals in the program- natic sense. Following the B flat major section and a truncated recapitulation »f the chromatic D minor theme, there finally comes a fresh avenue of tonal *xploration. But the future it evokes is the antithesis of the life-affirming D najor music. OTs 4 ae eee aes Khaw SCR. BORA Bedi’ we ew: deme iw cow coke Sec ewesl bes wdec
BRAID INARA NG RAR MARA AT YS AAAPARIAELY 9 MAAR VV EAE AE UI LAO EW TEIOVOTLIOCIILS. The relationship with the finale is compounded by the abrupt exit from this episode. D minor re-enters at bar 391 with the barest minimum of harmonic preparation and the change in texture only serves to heighten the sense of the music being rescued from a potentially destructive train of thought—a consci- ous act of turning away. It is an anguished response indeed, comprising si- multaneous versions of the tragic fanfare and the chromatic theme from bat 29. The role of the tragic fanfare here provides a direct link with bars 11—14 in the finale where the music responds in a similar way, protesting against the first intrusion of the desolate two-part counterpoint in the tonic minor. Example 14-7 IX-i, 390-1 [X-iv, 11-14. I must emphasize the significance of the music's responsiveness at this point. Throughout the movement, and in particular in the development sec- tion, Mahler keeps his full-textured refrains and the dissociated counterpoint from coming into direct contact. Once his episodes have spent themselves he engineers the progress back to the refrains by long meandering transitions. The temporal isolation of the refrains, together with their maintained modal
BRAID INARA NG RAR MARA AT YS AAAPARIAELY 9 MAAR VV EAE AE UI LAO EW TEIOVOTLIOCIILS. The relationship with the finale is compounded by the abrupt exit from this episode. D minor re-enters at bar 391 with the barest minimum of harmonic preparation and the change in texture only serves to heighten the sense of the music being rescued from a potentially destructive train of thought—a consci- ous act of turning away. It is an anguished response indeed, comprising si- multaneous versions of the tragic fanfare and the chromatic theme from bat 29. The role of the tragic fanfare here provides a direct link with bars 11—14 in the finale where the music responds in a similar way, protesting against the first intrusion of the desolate two-part counterpoint in the tonic minor. Example 14-7 IX-i, 390-1 [X-iv, 11-14. I must emphasize the significance of the music's responsiveness at this point. Throughout the movement, and in particular in the development sec- tion, Mahler keeps his full-textured refrains and the dissociated counterpoint from coming into direct contact. Once his episodes have spent themselves he engineers the progress back to the refrains by long meandering transitions. The temporal isolation of the refrains, together with their maintained modal
In addition to the intrusion of whole-tonality the theme's diato.iicism is increa- singly coloured by minor key inflections and descending chromatic lines fro bar 387. When the vigorous string theme from bar 10 finally appears, it is given first in the cellos at Figure 23 and then, somewhat pathetically, on a so- lo viola at bar 390. In the first instance the three-note anacrusis begins to em- ulate the original gusto but falls away to an unobtrusive piano dynamic. After three bars it is already turning to the minor mode. The entirely literal major- key, solo-viola statement that follows is out of step with the minor mode of its accompanying voices, giving it an air of unreality, a sense that it is precariously close to being forced out of existence altogether. All in all the ef- fort to revive the principal Landler is a failure and the movement only begins to regain some sense of forward momentum when the giddy crudities of the waltz material re-emerge after bar 406. Weawmmnla 14 OO TV 32 RKnnnninal thaenn knee 1 a ees Me a! a lo no
In addition to the intrusion of whole-tonality the theme's diato.iicism is increa- singly coloured by minor key inflections and descending chromatic lines fro bar 387. When the vigorous string theme from bar 10 finally appears, it is given first in the cellos at Figure 23 and then, somewhat pathetically, on a so- lo viola at bar 390. In the first instance the three-note anacrusis begins to em- ulate the original gusto but falls away to an unobtrusive piano dynamic. After three bars it is already turning to the minor mode. The entirely literal major- key, solo-viola statement that follows is out of step with the minor mode of its accompanying voices, giving it an air of unreality, a sense that it is precariously close to being forced out of existence altogether. All in all the ef- fort to revive the principal Landler is a failure and the movement only begins to regain some sense of forward momentum when the giddy crudities of the waltz material re-emerge after bar 406. Weawmmnla 14 OO TV 32 RKnnnninal thaenn knee 1 a ees Me a! a lo no
looks back to the key and near serenity of the first movement's main theme.
looks back to the key and near serenity of the first movement's main theme.
Another quasi-sonata resolution occurs with the violin's unison opening, which assimilates the theme from the D major episode in the preceding move- ment into the context of the tonic key. We are reminded that, in the Rondo, D flat was the goal of the passage from bar 311 immediately preceding the D major episode and that D major was very much an interruption. The turn fig- ure that characterized the D major theme is an integral part of the "Lebewohl" hymn throughout the rest of the movement and it is with augmented (and fin- ally inverted) versions of this figure that Mahler brings the Symphony to a close. Bringing the transformed "Lebewohl" motive and the turn figure into the context of D flat are immediate foreground indicators of D flat's tonicity. But
Another quasi-sonata resolution occurs with the violin's unison opening, which assimilates the theme from the D major episode in the preceding move- ment into the context of the tonic key. We are reminded that, in the Rondo, D flat was the goal of the passage from bar 311 immediately preceding the D major episode and that D major was very much an interruption. The turn fig- ure that characterized the D major theme is an integral part of the "Lebewohl" hymn throughout the rest of the movement and it is with augmented (and fin- ally inverted) versions of this figure that Mahler brings the Symphony to a close. Bringing the transformed "Lebewohl" motive and the turn figure into the context of D flat are immediate foreground indicators of D flat's tonicity. But
The similarities are not confined to structural issues. The hymn consistently maintains a dense poly-rhythmic texture, but with the appearance of triplets and the quintuplet turn figure (bars 69 and 70) we encounter cross-rhythms for the first time in this movement. Cross-rhythms, and the quintuplet turn figure specifically, vividly characterize Mahler's ecstatic flights of affirmation in the first movement (see the central B major climax from bar 285). There is a strong thematic reference also which will be discussed later. These references tic breakthrough and a new tonal goal, the passage recalls those same events
The similarities are not confined to structural issues. The hymn consistently maintains a dense poly-rhythmic texture, but with the appearance of triplets and the quintuplet turn figure (bars 69 and 70) we encounter cross-rhythms for the first time in this movement. Cross-rhythms, and the quintuplet turn figure specifically, vividly characterize Mahler's ecstatic flights of affirmation in the first movement (see the central B major climax from bar 285). There is a strong thematic reference also which will be discussed later. These references tic breakthrough and a new tonal goal, the passage recalls those same events
The minor third ostinato with clarinet and harp orchestration also occurs ir Das Lied, in “Der Abschied" between Figures 7 and 22 and again at Figure 55. At Figure 13 in that work Mahler uses this material as a textural back-dror against which appears the text dealing with twilight and the world falling as. leep. The daily ritual of weary mankind turning homewards to recapture for- gotten joy and youth in sleep is a symbol for the larger cycle of life and death As Mitchell points out: The second episode (beginning at bar 88) forges more links with the first novement through the pronounced use of an ostinato, whose sole interval (the ninor third), recalls the minor-third-plus-whole-tone harp figure that formed he introduction to the first movement. There the figure had a martial emphasis hat eventually gave the episode at bar 317 its funereal tread. In terms of the shysical implications of its rhythm, the corresponding figure here is the polar Ypposite of its predecessor. It is a rhythmic palindrome and the ostinato rocks yack and forth in a cradle-motion (see example 14-17). Not for the first time 1aS a musical event in this finale suggested movement confined within the vider context of being stationary—of existing in a state where the pursuit of ong-term goals is not feasible. One is reminded of the expressive content of he opening hymn, and how the limited range of its tonal eddies also implied hat only short-term goals were obtainable. ~ . «e¢i«#«am™ swuwroe ih. Ve
The minor third ostinato with clarinet and harp orchestration also occurs ir Das Lied, in “Der Abschied" between Figures 7 and 22 and again at Figure 55. At Figure 13 in that work Mahler uses this material as a textural back-dror against which appears the text dealing with twilight and the world falling as. leep. The daily ritual of weary mankind turning homewards to recapture for- gotten joy and youth in sleep is a symbol for the larger cycle of life and death As Mitchell points out: The second episode (beginning at bar 88) forges more links with the first novement through the pronounced use of an ostinato, whose sole interval (the ninor third), recalls the minor-third-plus-whole-tone harp figure that formed he introduction to the first movement. There the figure had a martial emphasis hat eventually gave the episode at bar 317 its funereal tread. In terms of the shysical implications of its rhythm, the corresponding figure here is the polar Ypposite of its predecessor. It is a rhythmic palindrome and the ostinato rocks yack and forth in a cradle-motion (see example 14-17). Not for the first time 1aS a musical event in this finale suggested movement confined within the vider context of being stationary—of existing in a state where the pursuit of ong-term goals is not feasible. One is reminded of the expressive content of he opening hymn, and how the limited range of its tonal eddies also implied hat only short-term goals were obtainable. ~ . «e¢i«#«am™ swuwroe ih. Ve
As Greene points out the F major rendition of the "Lebewohl" theme sets in motion a melodic ascent from f?" (bar 143) culminating in an unharmonized palit at bar 147.44 This C natural then provides the point of departure in a melodic descent to a" over the ensuing six bars which stands poised to fall one step further to an A flat finalis. The middle and lower voices from bar 155—8 also converge on this note. — However, A flat is not the sole note of melodic closure. This does not altet the substance of Greene's argument—that the most important component ir effecting the transfiguration of the "Lebewohl" hymn is the circumvention ot the unequivocal finality inherent in the 3-2-1 melodic descent to D flat. The melodic ascent to the initial f' of the tragic fanfare at bar 160 and subsequent events place considerable emphasis on F as a potential final note as well. The upper voice realizes the earlier implication of an A flat finalis at bar 171 afte: the melodic descent from e0". From this point Mahler transfers the articula- tion of the A flat finalis to the inner voice, that of the viola, while the uppe! voice fluctuates between A flat and F finally settling on the latter at bar 183. The other important component in the transfiguration of the final "Lebe- ee. ee ee Le ca, Ce, Ce es ee ae Le 3 eee ice ee the substance of Greene's argument—that the most important component in
As Greene points out the F major rendition of the "Lebewohl" theme sets in motion a melodic ascent from f?" (bar 143) culminating in an unharmonized palit at bar 147.44 This C natural then provides the point of departure in a melodic descent to a" over the ensuing six bars which stands poised to fall one step further to an A flat finalis. The middle and lower voices from bar 155—8 also converge on this note. — However, A flat is not the sole note of melodic closure. This does not altet the substance of Greene's argument—that the most important component ir effecting the transfiguration of the "Lebewohl" hymn is the circumvention ot the unequivocal finality inherent in the 3-2-1 melodic descent to D flat. The melodic ascent to the initial f' of the tragic fanfare at bar 160 and subsequent events place considerable emphasis on F as a potential final note as well. The upper voice realizes the earlier implication of an A flat finalis at bar 171 afte: the melodic descent from e0". From this point Mahler transfers the articula- tion of the A flat finalis to the inner voice, that of the viola, while the uppe! voice fluctuates between A flat and F finally settling on the latter at bar 183. The other important component in the transfiguration of the final "Lebe- ee. ee ee Le ca, Ce, Ce es ee ae Le 3 eee ice ee the substance of Greene's argument—that the most important component in
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