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 O rd er Num ber 8819780

Cadencing and voice leading in Bruckner’s Ninth Symphony

Weiss, Herman Robert, Ph.D.

Brandeis University, 1988

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 CADENCING AND VOICE LEADING

IN BRUCKNER'S NINTH SYMPHONY

A Dissertation

Presented to

The Faculty of the Graduate School of Arts and Sciences

Brandeis University

Department of Music

In Partial Fulfillment
of the Requirements for the Degree
Doctor of Philosophy

by

Herman. Robert Weiss

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 This dissertation, directed and approved by the candidate’s
Committee, has been accepted and approved by the Graduate
Faculty of Brandeis University in partial fulfillment of the
requirements for the degree of

DOCTOR OF PHILOSOPHY

/ . /ArQ~zJL
Deany Graduate School of/Arts
■'and Sciences W

Dissertation Committee.

Chairman

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 TABLE OF CONTENTS

INTRODUCTION.......... 1

I, CADENTIAL POINTS WITH TRIADIC RESOLUTIONS......... 5

II. PITCH DISTILLATION THROUGH CHROMATIC MOVEMENT---- 22

III. TONIC EXPRESSION IN THE FIRST TWO MOVEMENTS...... 35

IV. CONCLUSION............... 44

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 INTRODUCTION

Bruckner's Ninth Symphony did not fulfill his

original intention in terms of its overall design. What

Bruckner intended was a four movement symphony in which

the finale would end in the key region of the first movement,

D minor, possibly concluding with a triumphant coda in the

major mode of D (in the manner of the Eighth Symphony, which

begins in C minor and ends in C major). Whau Bruckner

ultimately completed was a three movement work in which the

first two movements are in D minor and the concluding

movement is an Adagio in E major.

In his first eight symphonies Bruckner, in spite of

his propensity toward harmonic meandering on a large scale,

always ended the finale in the tonality of the first movement.

The practice of equating the final movement tonality with

that of the first movement was common to all symphonic

composers prior to Bruckner (Liszt and Berlioz were less

fastidious about this in their symphonic works, but their

music was bound more by programmatic considerations than

by the tonal conventions of sonata - allegro form). In the

case of the Ninth Symphony Bruckner struggled for over

two years to produce a satisfactory finale. What exists

of the sketches for that movement indicates really

very little progress. Recent attempts to put the sketches

into some kind of performing version have been accompanied

by much necessary conjecture, supposition and, ultimately,

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 2

failure. Certainly this was not the same situation which

arose when Mahler's Tenth Symphony was put into

a 'performing version' by the British musicologist,

Deryck Cooke. In tnat case, a through - composed sketch of all

five movements existed in the composer's hand which supplied

enough information to make some kind of coherent (if flawed)

completion. It was, in effect, a case of the composer

simply 'running out of.time'. With two full years invested

in his finale Bruckner not only ran out of time: he ran out

of ideas and, possibly, courage.

There is one more possibility to explain

the 'incompletion' of the Ninth Symphony. Simply stated,

it works. Among both critics and admirers of Bruckner,

few complain that the Ninth Symphony lacks a finale or feels

somehow incomplete. Perhaps what Bruckner would not admit

was what he already knew — the Ninth Symphony ends after

the Adagio. There could be no' imposition of a 'triumphant'

tonic finale this time.

The result was a work which deviated in two ways from

traditional symphonic practice: it ended with a slow movement

and in a key other than the first movement tonic. This

'liberation' from the norm was followed successfully by

Mahler, whose own Ninth Symphony, for example, begins with

a first movement in D and ends with an Adagio finale in D flat.

The long list of revisions within the previous symphonies

of Bruckner (including the preceding Eighth, with its

wholesale replacement of the Scherzo's second trio plus

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 3

many other alterations) came from Bruckner's frequent doubts

about himself and his work plus his reactions to the advice

of friends and critics. Generally, however, Bruckner's

revisions were addressed to the problems of length and

proportion which he sometimes had difficulty controlling.

Bruckner was most secure (and inventive) in the areas of

harmony and polyphony. Indeed, if one looks at the afore­

mentioned sketches of the Ninth Symphony Finale (pub.

Universal Edition), one sees that Bruckner often designs

the harmonic progression of the music before anything else!

It is in the areas of harmonic and contrapuntal

design and consequence that this paper will focus.

At the outset it becomes clear that, in analyzing even one

movement of a larger work, the grander tonal design of

the entire symphony is implied. With that in mind the spectre

of D minor will exist within a movement (the Adagio) in

E major, especially considering Bruckner's intention to

surround the Adagio with three other movements rooted in D.

The terms in which E major is defined will be, therefore,

part of the concern here. Tangential concerns, such as

melodic and contrapuntal manipulations are also part of

the discussion inasmuch as the shapes they generate will

impact the harmonic designs.

This paper is divided into three sections. The first

section focuses on large triadic downbeats and how they

are prepared. Central to that issue is Bruckner's method

of setting off tonal regions without the use of 'traditional'

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 4

dominant preparations. This section will include discussion

of Bruckner's handling of the region of E major, the key

signature of the Adagio.

Section two is a discussion of Bruckner's highly

chromatic syntax. There is attention paid to methods of

pitch displacement and retention plus a discussion of

Bruckner's 'inexact' sequences.

Section three brings into the discussion parts of

the first two movements. Again, issues of tonality

hold forth - in this case, the use of large scale tonal

'signposts' and a greater reliance on the dominant - tonic

relationship in the first two movements chan in the Adagio .

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 CADENTIAL POINTS WITH TRIADIC RESOLUTIONS

Bruckner's Ninth Symphony is a three movement work with

the movement to movement key scheme of D minor - D minor -

E major. In terms of key relations, E is fairly remote

from D minor, having only the pitches E and A in common.

E and A are, however,- close to D in the circle of fifths

chain.' In the Adagio movement E is treated less as a

tonic and more as a kind of signpost. In fact E major

is approached with the constant avoidance of the D# leading

tone. The fact that the movement ends on E defines the

Adagio's tonality as E major only in the sense that a

renaissance motet's modality can be ascertained at

its final cadence. The persistent approach of E without

the D# leading tone gives E an incomplete feeling and almost

suggests some kind of latent move forward to A (which would,

in the larger symphonic sense, give impetus back to D).

Indeed, tonicizations employing dominant - tonic are few

in this movement. Where found, they are often juxtaposed

with remote or cross - related key regions.

One sees in the Adagio's opening a cadential goal

in bar 7 of E which is achieved without the use of a

leading tone. In fact the D# is altered to a D, having

been prepared in a highly chromatic opening (see discussion

in Section two). The first triadic downbeat is a D chord

in tar 5, triggering this passage:

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 There is an outward sweep linking D to E from the first

to the last chord:

**■ =

Ip~jhr
Sr&- -e-
T T
#p.

3E
■^TCT

The chord progression in example 2 heavily emphasizes F#

in each chord and stresses the outline of F# to E in both

the highest and lowest registers. A reduction of the outer

voices looks like this:

6 s©

1
-<3-

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 7

The contrary movement of the outer voices to a very widely

spaced E chord gives the sense of a strong upbeat to

the cadence. This is supported by the nature of the

aforementioned pitch material, which pointedly omits

the D#, or functional leading tone to E. The progression

could have as its logical conclusion a move to A:

- & e — --- 0 -- * . ...

-&—
rf— 13 ------ o -

Fn ^ A
SX v/
—e —
♦ >n - — & —
TjtZ ---- e ~
“ 1hr ~e- —
IT ii vi x X

This potential move is realized further on in the movement

in a passage beginning with bar 77. •Following a literal

re - statement of bars 1 - 7 of the movement, Bruckner

re - starts, now a whole step higher. The transposed version

of bars 5 - 7 then becomes, in bar 89:

What then follows is a realization of the potential dominant

properties of the F# chord (stated earlier about the chord

in bar 7) in effecting a V - I cadence into a passage

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 8

beginning in B minor:

O'

This very
very strong downbeat treatment of B minor distances
mino r distances
This
the music from E major if one considers the resultant

omission of the D# necessary to produce a cadence on E.

Another cadence involving a V - I resolucion

occurs somewhat earlier in the Adagio, between bars 29

and 45. It is the establishment of something akin to a

real tonal region for the first time in the movement,

in this case A flat. Bruckner's means of achieving this
goal involve a chromatically descending bass line (doubled

several octaves above) plus 'fauxbourdon - like' triads

moving in a sequence of half - steps. Although A flat is

the eventual goal here, it will soon be displaced by A

natural (see example 9) as the music descends by half - steps.

A reduction of bars 29 - 32 shows music in a kind of

pure B flat minor with the fifth (F) in the bass line (the
classical 6 - 4 position) which gives one the feeling of

an immanent resolution in B flat minor:

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 9

h 0 1

(Mote also the widely spaced doubling of the bass note F

which underscores the pedal point and at the same time

weakens the notion of an immediate harmonic resolution

of the 6 - 4 position, due to the melodic property this

doubling contributes.) The music sequences dov/nward a

ti-i half - step, now in the major:

& •' * •* i.

0-
-

Note that the A leading tone (in the previous B flat minor
context) which was withheld from bar 32 here becomes

the root of bars 33 - 36. Again, the leading tone (now G#)

is withheld (in bar 36) although it is prominently featured

in the rest of this major key version of the material.

The G# becomes even more notable in the ensuing bars (37 - 45),

where it becomes established as the root (now spelled A flat)

of an ultimate cadence while the bass line moves down to E flat:

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 10

** 0 -a-''
© ■'
r-Mf ■ — ------ =1-f—
^— i
— ;— 25*- T_L ? 1 I- =±=^Z
T 'oir -*~
1 ~ b b'T P ° " -\r&~

— * jffyJL---- - - - - - - - - =)
J ut? ------ — 1 '—
b•&" Do b-a- bo
ht bt b± ^r+
— ^2— —
;
---- !
- -- u— 1
f-- - ^ r - T ^ T T t ■s*>'■:
— i-L----- \- - - - - - -
_2---- h.----
J -f 4. -

•>vtr."i---- *V -g-
\ ^ ‘ t
v » — ■- - - - - -
O'

7 -i- £
rf*- ------- — -
—
© H ")■- . l >~ t 1{-,'00‘
e* *
---- - - t o - b — f-'v 1
I — ... *— a
^ ---------
0 lJ ~

-p-b .~- K ^ .. , 1?" ) "

T t 1
— -2r—
Z. -- - - - - "i
“*----- - M — h\--A -------- J----------- =f

Notice how in bars 37 - 38 (and again in bars 39 - 40)

the F flat in the bass prevents afull cadence to A flat

and at the same time continues to underscore the notion

of movement by half - steps. Bars 41 - 44 underscore this

further. The D flat - F flat - B double flat chord, which

is juxtaposed with the E flat, is simple one half - step

above A flat major, the goal of bar 45. The significance
of this passage is reinforced by the appearance of a key
signature change, from E to A flat.

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 In addition to reaching A flat through a chromatic sequence

of dominant preparations, Bruckner focuses on A flat through

a kind of chromatic rotation in which it is constantly

retained while gaining greater importance:

Si $
'i'ftv--------
BourS35l*3i 3 3 -3 6

"frtrlT K g ■*~ar
- m —
„ ■
pftSS.nj j. 11
-fdhfc W . n j +0(Ie JI y
Y>’
>4
1h In -H r r $c#}z f>1 fa * Ter SC ^/i O I -ton!
5
o : -e- jj-e-i1'*/'
A distillation of bars 41 - 45 shows both the
chromatic and harmonic levels on which the music rides.

The first chord contains the E flat (dominant) and G

(leading tone) and the second chord contains the root,

fifth and third of A flat (tonic). The bottom triad of

the first chord is a chromatic neighbor which descends

to A flat. . .,
H
nr

£ ■e-
ier
. , jfcr
■yi1
dzxs:

Another treatment of cadential material

occurs later in the movement, between bars 155 and 162.

Here an antecedent - consequent scheme with V - I

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 12

cadences is set off by triadic but highly chromatic

material:

b.

If I
r 3 si
f
1*1J ~ ~
Hr ~S~ • KuT h.
& - ±zfe£j«-
s
F
\b
^ m^*r"*
‘VS— Tt SEP
^ (» b*

W
L
b J-
rff -&-*■

k^P-
■\ p
— b <g- i &
E *
&

i3
i s-^ • • f
b*cr
. t r kr 4+
-k
£ l . - - ^ 4 p =-tflg= fa

f
bo

Three things are striking here. The first (and easiest

to describe) is the extreme conventionality of the

full cadences at the period points, complete with

6-4 suspensions:

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 £ InQ'o' ‘X.fy

The second is the symmetrical V - I relationship between

these two period points:

(Jg j )

V2F
fed..
■L7~ 'PO “ Cl
— —

Most peculiar is the third feature -- the extremely

chromatic progressions used to reach these cadences,

using major and minor triads (the chord labels are

in example 15). Particularly striking are the

downbeat emphases of A and A minor, in bars 155 and 156,
chords which are cross-related to D flat, the cadential goal.

Very remote harmonies ( A - C - Dm - Am) give way tc more

compatible ones in the second period (that is, compatible

with the D flat and G flat cadences). A reduction of this

occurence is as follows:

ecuWijil
go*, ' b a . ,
SI
■Us- i rr-rr

-k-e b-rr -JCULL.

yj 1Q" Y)Q— r
)•; C?1
O D Vn
13

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 14

Two Treatments of E major

As we have seen thus far in Section one of this paper,

Bruckner approaches harmonic goals in an obtuse manner

utilizing a combination of chromatic voice leading and

more conventional tonicizing methods. We have also seen

(at the beginning of the movement) a tendency to avoid

direct tonicization of the movement's stated key signature,

E major. This tendency is carried forward in two passages

toward the end of the movement. The first occurs with a

re-statement of the music from bar 45, which was discussed

earlier and which was so carefully tonicized in A flat major

(see page ten). The same melody now appears in E,

the stated tonic:

This is, however, preceded by a passage which docs not support

a tonicization of E and which, if anything, seems to support

a tfove to

Tv

"— fteh 1
..jt * T
■ I i t I I I J

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 15

Further reduced:

It

S
4/
u dftw^/e. <x|tpcyvAttr*''1

The primary melody here .is, of course, that which begins

the Adagio:

£.1-; —
r * % s ■* I ........... r~e-
^ I ^ = d -k . ^
%f ' ' * f
However, unlike that opening passage, where the ^ natural

is displaced eventually by a C# which leads to a D (see

discussion in Section two), here its parallel entity, the

A natural, is part of a sort of double appogiatura with

G# moving down to F double # (see example 18 ) *

The actual G# resolution which follows in bar 173 (example 16, )

is less an harmonic event than a melodic carrying forward

of the G# (supported by E major).

This notion of carrying forward by voice - leading

rather than by harmonic resolution is supported by the

insistent repetition c?■*«?■# and C#. in.j5a.rs 167 - 172.

£■+3* /S7-/7P-

f*

The D# will not become a leading tone to E in bar 173 (ex. 16):

because it is not supported by the.other pitches in a B

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 16

(dominant) collection - B or F#. Its unstable pairing

with the C# certainly gives no indication where the

harmony might be leading.

The second passage involving E major to which

I refer occurs at the end of the Adagio, beginning

with bar 219:

©> S '"----------------------------------------------
A J --- — ■ ....

~ 1 j ... — J j
3 —
^ ^ — --

^—

<329 , ^
i 6
1

'3S:£Z
i 1 l i

Note the heavily doubled E pedal point framing A major

in a 6 - 4 position. This is similar to what was seen

earlier in bars 29 “ 45, where the pedal point had

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 17

powerful tonicizing properties. The E pedal point, so

prevalent here and later in bars 227 - 231 (see example2'4 ),

sounds closely linked to A major harmonies in bars 219 - 222

and bars 227 - 228 (example 2 4 > • Although these harmonies

are not pure A major they provide the closest thing to

harmonic stability in this passage and continue to resonate

in ones ear at the E major resolution in bar 231.

Continuing on to bars 225 and 226, we see a descending

sequence in which the outside voices move in parallel

minor thirds and inverted major triads forming pairs

of related chords a tritone apart, moving downward by

whole steps:

This whole tone sequence, however lacking in harmonic

foundation, does direct the music back to the E pedal

point. The bass line of bars 225 - 227 points this out:

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 18

e+
n*- Mx
Mx
p-.
E ~ pZifeTp77ri+'
hi m
V * h i r

Note in the above example the emphases on C, D and B flat,

notes foreign to an E major collection.

The bars 227 - 231, which effectively close the Adagio,

culminate in a cadence on E in bar 231;

( £ ^ t) | i.* <UXM»
P ~ \i " 7] 1 i ' i 7 T ^ '-
^---- Jk-fT Jg f ' ■ T im :J
1
r - £ ■* — * $ -

---- r-r-faar—
»
---- r -t t -
----- N
, N k7 - ----- V

^- 1
- h\ 0
*_____UBr-0
0------- rr«
---
ii* - r

4 l- tjkitiXQ
— ~ ,rf — ~y

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 19

Here E is ever present as a pedal point and is triadically

resolved in bar 231. It is, however, resolved through

voice leading rather than tonicization.

^ , . . — .
W = 4 § ■ :: : ~ = ■■=! = = =
pr-UA celltc+iohS ) D
T F T ,,-1 SX~ " I ........................... - -ZZI

The two - chord reduction above shows how Bruckner reaches

E major through downward voice leading, in this case A

and F# moving to G# and E. This cadencing onto E without

the D# leading tone was seen earlier, most notably back

at bar 7 (see example 1). This manner of preparing the

E cadence leaves one with the sense of E leading next to A.

At the beginning of Section one we saw how, between bars

5 and 7, Bruckner effected a progression of D - 3 minor -

F# minor - E. That particular collection, which substituted

D natural for D#, gave E the feel of a dominant to

a non - existent A chord. So here, too, the absence of D#

and the presence instead of D natural strongly hints at

a move to A. Bars 230 and 231 carried one step further

could be reduced as follows:

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 We discovered through observing several of

the cadential points of the Bruckner Minth Adagio that

Bruckner seldom establishes a tonicized key region and,

where he does so (at bar 45) he does not involve E major,

the primary key signature of the Adagio. Furthermore,

those cadences which involve E tend not to establish it

as a real tonic and, in fact, give E the feel of

an incomplete dominant to A. This effect is underscored

by the persistent withholding of the leading tone D# in

the presence of E. Cadential points are achieved often

through stepwise voice leading of an often chromatic

nature. If E major is indeed the ’heavenly key' then

Bruckner approaches this kingdom with real trepidation.

It is the transitory nature of E major which

reminds one that this is an unfinished symphony.

Whatever case can be made for the Adagio as an effective

close to the Ninth Symphony, one cannot deny the tendency

of a work primarily centered on D minor to return

ultimately to D minor (or major). Thus the sense of pull

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 21

toward A given to E is not illusory, if one considers

the chain of fifths which links. E to A to D:

— a -----
fh":'.".: .,a f t z - O -----
^ ---- ±H 5 ------- © ---- ^ 3 -----

0 * fhor

t■ t- —
1.7 u
j- t----------------- ---------------

In Section two we will take a look at some of

the voice leading techniques Bruckner employs in the

Adagio. These techniques will shed further light on

his method of approaching and preparing cadential points.

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 PITCH DISTILLATION THROUGH CHROMATIC MOVEMENT

Looking at the opening of the Adagio, one sees

the indicated key signature of E major. If one were then

to look ahead to the movement's end one would notice that

the Adagio does indeed also conclude with' E major. What

we have learned in Section one is that Bruckner's treatment

of E major is not of a dominant - tonic nature and that

V - I situations, where they occur, do not involve E major.

In general, his cadential points are created within

a highly chromatic context which does not indicate

specific tonal commitments. Section two will focus on

the heavily chromatic passages that precede cadential

arrivals. Much of this discussion will serve as

an elaboration of the tonal concerns detailed in

the preceding section.

Bruckner's chromaticism helps to direct his music

to its arrivals through upward melodic sweeps which

often involve some kind of sequential patterns.

Whether or not a sequence is part of it, such extreme

chromaticism creates an environment in which the pitches

are largely cross - related to each other#

22

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 23

The movement's opening passage, from bars 1 - 7 ,

goes to great lengths’ to emphasize pitches which are

cross - related to the tonality E. Bars 1 and 2 show some

potential for a tonally E - connected universe, with

the broad B outline followed by an augmented sixth chord:

Instead of fulfilling a potential resolution to 3

(the dominant of E). Bruckner embarks on a succession

of moves landing on a D major chord in bar 5: ^

^ p * . \ i

If we examines the melody line, we see a mixture of

i
ascending half and whole steps from the D# of bar 2 to

the D natural of bar 5:

E>*

3°

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 24

The scale does, however, contain an element of symmetry:

Equivalent tetrachords (bracketed) which consist of

a half - step, whole - step and half - step frame

the melody. Their relationship is, however, not. confined

to the intervals. Bruckner treats each tetrachord with

the rhythmic stress of short - short - short - long:

'

The notes being stressed in this case are G and D,

neither of which is part of the collection belonging to

E major. A more significant result of this arrangement

is the cross - relation at the outer reaches of the scale,

between D# and D natural (example 31). D# is the leading

tone to E major, D natural (treated in bar 5 as the root

of a D triad, example 29) is clearly out of such a context.

In fact the D triad of bar 5 is the first triadic downbeat

of the Adagio. Its arrival is supported handsomely by

the entrance of three trumpets. It is reached, however,

by voice leading rather than by tonicization. An examination

of the supporting material in bars 2 - 5 shows how this

takes place:

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 25

Ifone looks for a preparation to support the eventual

C# - D thrust in the melody connecting bars 4 and 5 one will

not find it. The bass line shows initial movement from

D to A (bar 3, example 3 3 ) followed by a chromatic descent

to G and then a leap back up to D. This is more on theorder

of a plagal (IV - I) progression. If one adds to this

the strong presence of B above the G (bar 4, third and fourth

beats), then one has a IV7 - I cadence (in D ) :

The D, which would normally be part of the IV chord, is

replaced by a C# on top, which then leads to D:

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 26

The coupling of the C# and E# moving to D and F# has

a sort of double leading tone effect. However, in

the context of a IV - I progression they have more

the status of passing tones.

In addition to this ’plagal* approach to D, other

elements in bars 2 - 4 underscore the notion of chromatic

cross - relating. As pointed out earlier, the C# in

the melody between bars 4 and 5 cannot be heard as

a leading tone to D inasmuch as it lacks any dominant

underpinings. Referring back to example 33, one sees that

following the -aforementioned augmented sixth chord of

bar 2 (example 23') is a sweep away from any immediate

tonal resolution. The C of the augmented sixth chord

of bar 2 is retained through bar 3, serving first as a raised B

of a D dim. seventh chord and then as the third in

a diminished chord, neither of which are harmonically

stabilizing functions. C is more significant in its push

upward toward D in bar 4, cutting across D flat (D flat

and E flat have an 'appogiatura' feel):

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 27

Clearly C natural’s optimum harmonic impact would have been

as an adjunct to 3 after the augmented sixth chord. However,

it is not part of the collection of E major or of D

and therefore serves no tonicizing function. The presence

of D itself in both bars 3 and 4 prior to its cadence in

bar 5 is in the context of collections incompatible with

tonicization:

In fact, the push of the bass line from D down to G seems

to underscore the notion of a plagal move into bar.5'(the

tonic pitch is customarily involved in both halves of a

IV - I situation):

Referring back to example 29 one sees the coincidence of

C# (spelled D flat) above A in the bass (second half of

bar 3). On its own this might imply some tonicizing condition

in a move toward D. However, the D flat quickly moves

down to C natural and the E flat forms a tritone with the A,

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 28

further destabilizing the situation.

What one finds in all this is a sense of harmonic

movement in flux where tonicization is averted and the first

triadic arrival in bar 5 (example 29) is achieved not with

a tonic preparation but through a highly chromatic voice

leading and a melodic line featuring a last second 'push*

up to D by a C#. The C#, although normally part of a V - I

cadence to D, is in no way supported harmonically but sits,

rather, above something more akin to a plagal cadence.

The material in bars 5 - 7 was discussed in

the previous section and is of a more triadic nature.

It does, however, continue to put forth the notion of a

triadic resolution without dominant preparation.

The passage which immediately follows bars 1 - 7

involves chromatic pitch movement that employs sequential

patterns. Thes e patterns invo Ive parallel motion upward,

The violins and violas of bars 9 - 1U prov ide a case

in point:

(R)
bo -<InUnMl— i
® 1 J 9L
.
--- fthO— JtlKEL-
tfg-J . ph8 ft------
UP
-Tk-ti—

.. k a .... b£L k i2 _

Notice that the pitches sweep upward by a half - step

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 29

in bars 9 - 1 0 , with the exception of the E, which is

retained. The same thing occurs in bars 11 - 12, this time

a minor third higher, with G being the retained pitch.

This procedure qualifies as a sequential pattern but

one in which not all pitches move at the same speed.

I make note of this because of Bruckner's reputation as

a composer who literally sequences 'from point A to

point 3'. What is being asserted here is the presence of

the pitch E -- not only as a tonally stabilizing element,

but as a pedal point, first appearing in an inner voice

(bars 9 - 1 0 ), then in a top voice (bar 1 2 ) and finally

in the bottom voice (bars 13 - 14). It has its culmination

in bar 1 7 , a fortissimo orchestral tutti in which these

pitches are set forth: ^ ’

'U' g w , - ~-i

■A o
As we saw in Section one (ex. 9), the ultimate function

of E here is to move down to E flat, which will tonicize

A flat at bar 45. For the present what one sees is

the duality of a rapid sequential turnover of pitches

tempered somewhat by the retention of certain pitches which

gain greater focus. The most appropriate analogy I can

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 30

summon here is that of a kaliedoscope which, through

turning, refocuses the original shapes and colors. If one

carries the kaliedoscope analogy a bit further, one can

restructure the chords in bars 9 - 17 to portray a series

of seventh chords:

©
it* j t ® w
E
a

b o ___
bi2-

T W o t

3ecause of the minor third pattern of the chords in bars

9 , 11 and 13 which outline a tritone, certain pitches are

carried forward. The most notable of these is the E, which

is seen in every bar except bar 11 (refer back to ex. 39).

E is part of the fortissimo repeated chord of bar 17 and

is carried as a pedal point in bars 33 - 36:

n-I

I
E is furthermore'retained as a pedal point in bars 33 - 36

and as an accented neighbor note (spelled F flat) to E flat

(see above example) prior to the V - I (E flat to A flat)

cadence of bar 45 (see Section one, pp. 9 - 10).

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 31

If one looks toward the end of the movement one finds

a later version of the bar 9 - 1 7 passage. This time the

seventh chords of bars 9 , 11 and 13 are extended to form

a 'closed chain' ending (bars 2 1 5 - 218), employing a

revoiced version of the C7 chord of bars 9 and 207:

<<ThI <£ai) 6T‘

]— fa-J-
I— lf[ 1 3 .
5ff

b> p.. k-a

H-O-

As with the passage which began with bar 9, the pitch E

is a common tone in most of the chords and, although it

serves no tonicizing function, it does have somewhat

the feel of a pedal point.

Bars 213 - 219 begin a move away from the music in the

bar 9 - 1 7 passage. Instead of the splashy tutti chord

(ex. 1iq ) we have a B flat seventh chord with F in the bass.

This is a resumption of the seventh chord movement upward

which will pass to a C7 chord (G in bass) in bars 215 - 219.

This C7 chord re - instates the E, which is retained into

bar 219 (refer back to Section one, pp. 16 - 17).

The passage looks as follows:

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 If one focuses on the bass line of bars 207 - 219 one sees

an octatonic (half - step, whole - step) scale with whole tones

at the end (F - G - A). The melody also moves by whole

steps (C - D - E) at the cadential point.

me

EE

This manner of parallel whole step movement certainly does

not serve the cause of tonicizing E at this, the final

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 33

passage of the movement (for a discussion of the ensuing

passage, refer to Section one, pp. 16 - 17).

We have seen thus far how Bruckner handles triadic

arrivals and how certain pitches are called into prominence.

Part of this discussion has involved the issue of tonic

tonality in a movement which has as its key signature E major.

As stated in the Introduction, Bruckner's apparent intention

with his Ninth Symphony was to create a four movement work

which began and ended in D minor (with possible D major coda).

What he left us was a three movement 'torso' ending in a

tonally oblique E major. In spite of this incompletion,

the work somehow feels satisfying to those of us who have

come to know it on its existing terms.

It is not my intention to launch into a full -blown

discussion of what makes the Adagio seem to be an adequate

conclusion. What I can say with some certainty is that if

in spite of the sense of tonal ambiguity conveyed by the

Adagio one is left with a sense of satisfaction, then two

assumed criteria no longer apply: the tonal establishment

of a stated key region with the aid of traditional

tonicizing elements, and the need to end a symphony with

a. movement in the tonality of its first movement. As stated

earlier, the abolition of the latter criterion was embraced

by symphonic composers who followed Bruckner, most notably

Gustav Mahler. The abolition of the former-criterion was

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 34

certainly a part of Wagnerian and post - Wagnerian

expressionism, but it was unique within the context of the

four movement symphony. In spite of Bruckner’s acknowledged

devotion to the music of Richard Wagner, he was primarily

a composer of symphonies who drew his formal concepts

from the classicists.

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 TONIC EXPRESSION IN THE FIRST TWO MOVEMENTS

It would seem that Bruckner's thinking at

the time he was working on the first two movements of his

Ninth Symphony was to affirm D minor as the work's overall

tonality. As stated earlier, Bruckner intended to complete

a four movement symphony using a key scheme of D minor -

D minor - E major - D minor (with possible D major coda).

If one juxtaposes the D minor and E major scales,

one sees that they are highly cross - related and that they

share as common tones only E and A:

This relation between D minor and E major is significant

if one remembers that E is achieved at the end of the adagio

without a dominant preparation and without the D# which

would be the expected leading tone to E. In that instance

(and at bar 7 as well) E feels somewhat half - cadential,

as if an A chord might follow. Such a feeling is bolstered

by the potential further resolution to D which a move from

E to A might precipitate (ii - V - I in D). Thus, in the

larger context of the symphony, the commonality of E and A

35

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 36

to the D minor E major scales has some real significance.

It is in this context, then, of the Ninth Symphony's

larger tonal concers that we turn our attention to passages

from the first two movements. Here D minor is clearly

established as the tonic, both through large structural

downbeats (such as the beginnings and ends of movements)

and direct and long range dominant - tonic expressions.

The first movement begins with a sustained D pedal

point over which a D minor triad gradually unfolds:

_______

im
Ft
i
SL
■£r

In spite of the greater tonal stasis seen here 3ruckner

is still quite given to chromatic meandering. Thus, an

apparent half - cadence on A flat ( tritone removed from D!)

occurs in bars 25 - 2 6 :

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 fr" 'I fr O

In spite of this, Bruckner- eventually re - affirms D minor

at the first forte cadence, using dominant tonicizing

elements framed by a d minor pedal point (A and E at bottom,

F at the top on melodic strong beats:

Y‘
£ ^g". y .
-
W jiLg
_ - ^

2 ■H**? JL

Following that, he again cadences on D (major this time)

in full forte cadence:

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 38

©
jg » * -
ffH.ni
ff°
fj
yy- ■ < Z

H
♦“rt-
i
lip 9 T ^ r+ k <a,n-Hc !p*"Fcd £ )

b & &
to —*■■- — »-■-^ h r

MiiMnni
£
s«^

%
A look at bars 95 - 97 shows the end of the first

theme 'group' featuring a collection of E - G# - B flat

over a pedal point D:

Z.+SI

H |V).—^ ,rm^t

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 39

What occurs in bar 97, however, is the beginning of

a totally contrasting theme in the dominant of D, A major.

Although Bruckner has not effected a tonal modulation, he

is stating the second theme in the tonic, thus underscoring

a tonic orientation.
Thus, with these procedures we notice that Bruckner

is treating the stated tonic of the first movement as a

true tonic, complete with V - I cadencing and tnat he is

aDplying tonally related (dominant to tonic) material in

the second theme.

In the Scherzo (second) movement of the Ninth Symphony

Bruckner's treatment of tonic tonality is strongly tied

into the symmetry of the movement's structure. As he did

with most of the classical forms he handled, Bruckner expanded

the scherzo form to a three - tiered mega - structure in

which each tier (Scherzo - Trio - Scherzo) contains several

large sub - sections and in which all repeats are written

out. As a result, the Scherzo is played for its full length

at both ends of the movement.

Tonal regions in the Scherzo are defined in conjunction

with strong structural downbeats but they are not given

dominant - tonic expression. A look at bars 38 - 50 shows

a powerful D statement which is preceded by a very unstable

harmony:

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 40

£.*■ s ’>

i i i
r

J A- i f i " bi- *r -r

-ftl —— i— I
i— fc-- # M . l.._i-
2 ~b ^ r =5

f (■ i f 4 m
'\iVU+Y'Hnfi t
i1 l

k,.
J l
f

,yl
'•
n ^ r .

i •— 1 |fl
*■ — *
i- h .

I f
1- I— T1*
> *--! f
- n

*
- .*
'V ~
*
♦
Ac *

ff ¥
A closer examination of the pitches preceding each move
to D shows a collection in which the only possible tonicizing

element to D could be the C#:

&53 i = 3 §

3e

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 41

In this Scherzo Bruckner, rather than expressing

dominant and tonic in a direct manner, uses D and A as large

structural 'signposts'.
The passage beginning with bar 88 indicates

a plausible E7 to A progression, with the outline of

E - G# - C (a passing tone to E) - E. The ultimate move

to A in bar 97, however, is led into by E - F - G in

bar 96, thus denying a necessary tonal connection to A

(S - F# - G# would have been appropriate).

I "f-^
• r H fH=£=
---
* "

t-
9-g- frf— LfcJfeJ-]4*- * 1fr’ ~T-^ Tf ------

ft

3!eee£ :
I

In spite of that bar 97 is firmly anchored on A

and will conclude the passage with a big A minor chord

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 The music continues with a melody in A, further confirming

where we have arrived:

t \ s6
c?Ue<2§)

E£ gigs m f I T ~ S

Although the music which follows moves away from A, 3ruckner

will soon reach another climactic 'signpost', D minor.

Once this occurs, Eruckner will end the Scherzo with an

affirmation of D minor somewhat parallel to that which

concluded with the big A minor chord of bar 113:

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 43

Thus at important structural points Bruckner has stated

tonic and dominant tonalities, in spite of their lack

of tonal preparation. As stated earlier, the symmetry of

the Scherzo form and Bruckner’s expansion of it make

important tonal ’signposts' desirable. However, the fact

that Bruckner chooses to render these signposts within

the context of D minor is indicative of his priorities

throughout the symphony.

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 CONCLUSION

Throughout the symphonies of Bruckner there is a

large - scale tonal thread which unfolds from movement

to movement. In his Eighth Symphony the movement to movement

structure is C minor, C minor, D flat major, C minor (with

C major coda). As with the Ninth Symphony the first two

movements are in the tonic, the Adagio is in the supertonic

(albeit the flatted supertonic) and the finale is in the

tonic. Clearly Bruckner had a similar scheme in mind for

the Ninth. What we have been seeing all along is a tendency

to define tonal regions in terms of large - scale structural

sign posts. Although dominant - tonic relations do exists

(most notably in the first movement) they are localized

phenomena and do not always indicate strong structural

downbeats. Sometimes-they do, as with bar 45 of the Adagio;

sometimes they do not, as with bars 155 - 162 of the Adagio.

We have also seen that Bruckner frequently moves his

pitches within a heavily chromatic and highly cross - related

texture. He sometimes structures these passages with the

aid of sequentially - oriented music (as with the passage

beginning at bar 9 of the Adagio); other times the texture

is more convoluted (see opening 5 bars of the Adagio).

In terms of the long range tonal expression in

44

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 45

the Adagio, one must view the larger tonal parameters of

the Symphony. In such terms, E major is not only

a transitory key but, with the Adagio itself, it cannot

be considered a true tonic. As stated in Section one (p. 5)

only in the sense that one defines tonality by the final

chord can one apply the definition of tonic to E major here.

Ultimately what one can see from all this is what

Bruckner might have suspected but really never did admit:

that in the course of a highly chromatic multi - movement

symphony the significance of one movement's tonality in

relation to another movement's tonality becomes blurred.

Bruckner tried for several years to add a finale to his

Ninth Symphony but failed. The world accepted the Adagio

as a satisfactory finale, in spite of its failure to end

in D. Perhaps Bruckner's unwitting signal to the new tonal

age proved to be the 'summimg up' of a past symphonic age.

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 BIBLIOGRAPHY

Bruckner, Anton. Symphony No. 9 in D minor.

Vienna: Musikwissenschaftlicher Verlag Der
Internationalen Bruckner - Gesellschaft, 1951.

Bruckner, Anton. Symphony No. 8 in C minor.

Vienna: Musikwissenschaftlicher Verlag Der
Internationalen Bruckner - Gesellschaft, 1955.

Mahler, Gustay. Symphony No. 10 in F# Major,

performing version by Deryck Cooke.
London: Faber Music, 1971.

46

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