Evolution of Keyboard Prelude From Bach To Shostakovich Payman Akhlaghi Graduate Analytical Paper 2004 UCLA

The Evolution of Keyboard Prelude From Bach to Shostakovich
Author: Payman Akhlaghi (2004) Graduate Paper Toward Degree of PhD in Composition
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2004, 2012: Payman Akhlaghi. All rights reserved.
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Toward a Better Understanding of
The Evolution of Keyboard Prelude
From Bach to Shostakovich
A Brief Discussion
Essay By
Payman Akhlaghi
Music 251B
Prof. Ian Krouse
Spring 2004
UCLA
(*) Original Submission Title (2004):
Toward a Better Understanding of
The Evolutionary Axis in the History of Keyboard Prelude
From Bach to Shostakovich
A Brief Discussion
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Abstract
This paper traces the evolution of the genre of Prelude by
examining selected compositions from representatie
composers of each period, from Bach to Shostakovich. The
study tries to establish the validity of an evolutional axis in
the history of prelude as a genre, which it sees to be passing
through the works of Bach, Chopin and Debussy, with each
figure defining the genre on his own term and influencing the
succeding generations of prelude composers. Considering the
didactic dimension of prelude and its relation to the genre of
Etude, a short discussion of the latter is also included when
appropriate, as in the case of Chopin. A review of shorter
works by Bachs contemporaries are included in Appendix 1.
Introduction
Roughly put, an important element of Wittgensteins later philosphy suggests that
each usage of a word is not a mere affirmation of its current sense, but each time a word
is used, its sense is further modified or enhanced. This is a result of the social and
conventional aspects of human languages and their inherent uncertainties. While most
memebrs of any speaking group have some idea about the meaning of a given word, none
has any sure idea about its absolute, prescribed sense. Hence, each usage of the word
would involve a leap of faith, an exitensialist projection, a creative act, on part of he
speaking member. Over time, each successive application of a word redefines the
meaning of the word, over and over. (My summary).
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Composers couldnt agree more! At least as far as the evolutionary histories of
various musical forms and genres are concerned, the above statements have a ring of
truth to them. The astonishing array of contrasting compositions under each of the titles
of sonata, symphony, concerto and alike, or the demographic and historical variations of
numerous dance forms, such as Sarabande
1
, Gigue or Minuet support this thesis. Indeed,
in one case, i.e. the Sonata form, the multifaceted variety of the form was duely and
approvingly reflected, from the outset, in the title of Charles Rosens 1988 book,
Sontata Forms.
In this context, the evolution of the genre of the keyboard prelude occupies an
important niche of its own. The present paper tries to delineate a ceratin axis of evolution
in the long history of this genre by offering a comparative study of sample works of those
giants who defined and redefined it, again and again, through their creative output.
Notwithstanding the long history of the written preludes, which dates back as early as ca.
1448 with Adam Ileboghs preludial cycle (Harvard 1986, p. 653), it seems prudent to
confine our study mainly to the period spanning from 1722 to 1951, that is from the date
of assembly of the first book of Well-Tempered Clavier (WTC I) to the completion of
Shostakovichs Preludes and Fugues, Op. 87. Placing such emphasis on the WTC
preludes is a personal conviction that is fortunately in agreement with the centuries long
consensus over the seminal importance of these works in the history of music.
1
from its fast pre-baroque origins to the slow baroque sarabandes of Handel and Bach, and still to its fast
nineteenth century manifestations in no less than a work such as the beginning of Beethovens Egmont
Overture.
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Historical Background
Prelude
2
originated in improvisation, a fact that has been partly reflected in the
variety of titles given to the remnant preludial compositions of the late renaissance and
early baroque: Before playing a substantial composition (hence the word prelude, or its
other close synonyms), the skilled performer, perhaps a lutenist or an organist, would
start to touch the instrument (hence toccata), try it (tiento), search out for the strings to
pluck (ricercare) or give the pitch to the singers from the keyboard (intonazione).
(Palisca 1991, pp.91-92). The ambitious performer/composer would perhaps further
entertain his musical imagination (hence the term fantasia) beyond a mere establishing of
the tonality and the mode of the succeeding composition. Such a performer would
perhaps turn out an extended, unified composition on the spot, a practice that would
eventually result in preludes of more complex textures and more codified forms. The
textural development could be seen in the recorded change form earlier homophonic
ricercares to the later, polyphonic ones. The codification of the structure could be seen in
an instruction book such as that of Friedrich E. Niedt, Der Musicalische Handleitung
(1700-1717), which includes a recipe for improvising a four-sectional prelude: 1)
sixteenth-note decorations of the tonic chord; 2) a section of chords decorated by runs
and some imitative figure, with given figured-bass structure; 3) a chaconne; 4) more
chords and flourishing, again decorating the given figured bass. (See Ledbetter 2002, p.
54).
2
Prelude: From Lat. Praeluare, to play beforehand. Fr. Prlude; Ger. Prludium, Preambel, Vorspiel; Sp.
Preludio; Lat. Preambulum (Harvard 1986, p. 653). Also Entre, Overture. Sometimes the terms was more
specifically replaced with ricercare (It.), tiento (Sp.), Intonazione, or Toccata, depending on the function or form of the
prelude.
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Over time, the demand of the disciples and amateurs alike surely became an
encouraging factor in preserving such improvisations by masters for posterity. On the
one hand were those performers with less improvisatory skills, who needed models, or
actual compositions, to serve them with opening material for their presentations. On the
other hand, given the apparently repetitive nature of such improvisations either
figurative or imitative textures, which explore various harmonies preludial
compositions provided appropriate templates for technical studies, as can be found in the
so-called Wilhelm Friedmann Bachs Clavier Bchlein.
The first of these long standing traditions remained well alive into the nineteenth
century practice of publishing functional, prefacial prelude cycles in all keys, so that
performers would be provided with enough choices to accommodate for the tonal needs
of the subsequent piece on their programs. Clementis Op. 19 (1787) and Hummels 24
Preludes, Op. 67 (1814) are among those found in such catalogues (Harvard 1986, p.
653; Kallberg 1996, Chapter 5). The second, didactic element of the prelude tradition
would eventually grow into the proliferation of Etude cycles, such as the works of
Cramer (84 Etudes, 1805-10) or Clementi (Gradus ad Parnassum, Op. 44; 1817-1826).
As we shall see, the fact that prelude was largely defined by its function made it a
suitable vehicle for formal explorations, especially by Bach, Chopin and Debussy. And it
is tracing this very lineage that constitutes the main subject of this study. There are
several reasons for such emphasis on this line of evolution. In regards to Bach, it seems
that amid the improvisatory and didactic origings of Bachs preludes, including those of
the two WTCs, his understanding and treatment of the genre was of such sophistication
that they were shaped into finite compositions before their final assemblies. Trusting
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Lebetters judgment, this could not necessarily be said of a work such as Couperins
Lart de toucher le clavecin (1717), because true that Couperins preludes are no less
full of art, but they never lose the sense of relaxation and freedom of improvisation
(2002, p. 66). [See Appendix 1 at the end of this paper for a short review of similare
works from the period.] To put it succinctly, Bach shaped an overall amorphous genre
into a serious compositional genre with many associated forms and feartures of its own,
and in the process defined the idea of prelude for succeeding generations of composers.
In the case of Chopin (Opp. 10, 25 and 28) and Debussy (Preludes, BKs I and II) we will
see that each of these composers, too, did something proportionately important toward
the expansion of the genre, which were far more radical than other contributions by many
of their contemporaries.
Bach: The Well-Tempered Clavier, Book I (1722)
The preludes of WTCI are models for integration of musica practica and musica
poetica, i.e. cultivation of finger techniques in the context of meaningful musical
compositions. The earliest manuscripts of some of the preludes of this book are found in
W. F. Bachs Clavier Bchlein, a fact which indicates the didactic, as well as
improvisatory origins of these preludes. In this music book, there are also a set of
composition initially referred to as Preambulum and Fantasia, which would later be re-
named more rightly as Inventions and Sinfonias for their final publication. These two
series dealt with two-part motivic development and three-part obbligato playing,
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respectively. In contrast, the Prludia began life as exercises for finger technique
(Ledbetter 2002, p. 58).
Bachs sensitivity in selecting these titles is an indication of his awareness of the
tradition, while his choice of the vaguely defined prelude signifies his aim for broad
formal experimentations. The pairing of each prelude with a fugue in an identical key has
been viewed as an outgrowth of the seventeenth century sectional form of toccata/
prludium/ canzona, now fully broken into its elements, resulting in two completely
partitioned sections. As for the teaching tradition in Bachs family, including his own,
Niedts Musicalische Handleitung of 1717 has provided scholars with a much needed
document, especially since it is believed that Bach himself at some point used part of this
book in his own instructions. The improvisation recipe included in this book (see above),
especially the techique of improvising different textures over a given figured bass, is a
clear reminder of the preludes in C, C# and Dm of BK I, to name a few.
The Eb prelude, however, is related to a more sophisticated preludial tradition, i.e.
the sectional prelude (again cf. above for Niedts recipe). Within its extended structre,
this prelude even contains an elaborate fugue in the contrapuntal style of stile antico.
Kuhnau and Fischer are also commonly mentioned as having influenced the WTC cycles.
In particular, the Bb prelude is believed to be linked to preludes by Fischers Le pieces de
Clavessin of 1696 (Ledbetter 2002, Ch. 3). The Bb major prelude is a multi-faceted
prelude, integerating a sonata moto perpetuo texture, rooted in Corellis style, with the
ricercare tradition of sustained chords (here activated), interrupted by florid passages.
Notwithstanding the tremendous variety of the preludes, it is possible to classify them
based on certain salient features or principles, often at work in combination, as the
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following summary, based on Ledbetters (2002) and the present authors observations
may suggest:
1) Figuration Preludes:
These are characterized by elaborations of figured-basses, and are most
commonly associated with broken-chord patterns, i.e. arpeggiated motivic figures
or decorations of the bass line. Preludes in C and Dm belong to this group. The
chordal figure might further be elaborated by using embelishments, such as
neighbor-tones (Prelude in Cm) or passing tones (Preludes in D and Em). The
figuration might be further be concerned with a certain technical goal, such as a
hand-shape (as in the Dm) or the cultivation of strength in the weaker fingers, i.e.
the thumb and the 5
th
finger (as in the Cm). We shall see that for the later
generations, this type of prelude, far more than the other types, would represent
the definition of prelude and the related etude genres, both culminating in
Chopins Opp. 10, 25 and 28.
2) The Imitation Preludes:
This group share certain similarities with the Inventions and Sinfonias, although
in a much liberal manner. Of all the preludes of BK I only Prelude in A fits the
strict model of Sinfonias by consistently maintaining a three-part texture, use of
imitation, and thematic development of the subject by the use of inversions. Of
the others, Preludes in F# and G are in two parts but lack the use of inversion.
And Preludes in C# and F two parts and G#m and B three parts
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demonstrate too much textural liberty to be qualified as inventions.
There remains the thematic similarities between some of the preludes and the
inventions. Thus, for example, the kind of material used in Preludes in F#m and B
can be compared to the Two-Part Inventions in C, Dm and Em, while the strict
chordal arpeggiations of Invention in Am resemples those found in Preludes in C
and Fm, among others.
3) Formally Integrative Preludes:
As it was said before, the morphological ambiguity of the prelude genre provided
Bach with much liberty in his formal experimentations. While confining dance
forms in their strict sense are absent from the BK I Preludes, characteristic
rhythmic motives of certain dances seem to be prevalant throughout. For example,
the C#m prelude exploits the possibilities of a Siciliano rhythmic figure (
.. . .
)
against equal eighth-note subdivisions, hence integrating the accessible sense of a
dance into an abstract context. There are also the influence of baroque sonata
style, particularly those by Corelli, and more pervasively, the use of ritornellos.
While the sonata style is explored more extensively in the preludes of BK II
(assembled 1741), an early example of it appears in BK I, i.e. Prelude in Bm with
its clear bi-partite design. The ritornello principle is most conspicusouly present
in Prelude in F#, which features five statemets of its exuberant ritornello theme.
Prelude in Ebm combines, inseparably, the arioso style; slow movement style of
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Vivaldis concertos, consisting of lyrical melodical line above repeated sustained
chords; a much abstracted Sarabande rhythm, originally . ... . .

; a canonic
tradition for its middle section; and the AB(A) baroque sonata structure (without
barlines or repeats) into one of the most memorable laments in the history of
baroque music. Such an integrative process is also present in a subtle fashion in a
figurative prelude such as the Cm. Here a strict toccata with the explicit aim of
equal treatment of both hands and its use of moto perpetuo movement, a canonic
entry on minor dominant (m. 28) and a codetta in the ricercare (tiento) style,
makes its overall quasi-sonata, AB(A) structure less evident.
As it was mentioned, many potentials of the genre of prelude, including the
possibilities of formally superimposed, integrative sonata-style preludes, would be
explored more fully in the preludes of BK II. For instance, on a more conspicuous
level, several preludes of BK II are clrealy partitioned in a bi-partite sonata layout. On
a more sophisticated level, Prelude in D (BK II) features two contrasting themes of
different metric and stylistic characters (6/8 vs. 2/4, or triple vs. duple divisions) in its
very opening statement, and it subsequently treats the two ideas in a preludial fashion.
In addition, BK II would continue the use of recognizable rhythmic figures, such as
dance motives as it had been done in BK I. For instance, the F#m prelude make use of
the Allemande rhythm, while the Gm sounds in the style of French overture, with an
allusion to Allemande. In a way, the content of BK II can be seen as Bachs own
commentary on the first book, including its preludes (Krouse, 2004). By expanding
the concept of prelude beyond what he himself had previously established in 1722,
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Bach spared the genre from a possible rigidity and opened up the door of possibilities
for the later generations of composers to still further re-define it on their own terms.
Analytical Samples from WTC, BK I
WTC I, Prelude No. 1, in C:
The type of figuration used in this prelude is belived to belong to the lute
improvisatory tradition. (Ledbetter, 2002). In its highly finished form, it succeeds to
maintain its momentum throughout amid the uniformity of a repetitive texture, and
despite the steadiness of harmonic change at the rate of on chord per measure, by way of
careful control of its harmonic succession and phrase structure.
The opening phrase consists of 4 bars (2+2). It is a fully rounded idea, which
establishes the tonality by the following basic progression:
Phrase 1(mm. 1-4): C: I - ii
4/2
- V
6/5
- I.
The next extended phrase employs a reversal of harmonic polarity, which puts the
harmony out of phase with the established phrase structure (mm. 5-11). Here, a series of
progressions based on the circle of 5ths are divided in 2+2+3 bar subphrases. The 3-bar
group is a result of overlapping of two 2 bar groups on the middle bar:
Phrase 2 (mm. 5-11): C: iv
6
- V
2
/V | V
6
- I
2
| vi
7
- V
7
/V - V
G: ii
7
- V
7
- I
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The succeeding two measures immediately reinterpret bar 11 as a half-cadence,
cancelling out the possibility of a full modulation. With another progression, again
essentially based on the circle of 5ths, the music returns to the tonic. Here note that
diminished seventh chords, i.e. incomplete dominant ninth chords, have replaced the
expected dominant chords. Also notice that the harmonic resolutions are now in their
correct polarity. The phrase is divided in 2+2+4 subdivisions. The 4 bar group is itself
divisible in two pairs of 2-bar groups.
Phrase 3 (mm. 12-19):
C: vii
6/5
/ii - ii
6
| vii
6/5
- I
6
| IV
2
- ii
7
- V
7
I
The asymmetrical pre-cadential extentions of the last two phrases add still another level
of complexity to the phrase structure of the composition.
Bars 20-25 constitute a masterly chain of irregular resolutions, which specially
given the syntax established in the Phrase 1, have an elevated level of tension.
3
By
keeping the pitch c4 as the common tone, the harmony manages to flow successfully
through the following progression. The 2+4 grouping can be thought of as 2+1+2+1,
according to the harmony:
Phrase 4 (mm. 20-25):
C: V
7
/V - IV
7
- vii
7
/V - vii
2
(or V
9/0
) - V
7
- I
6/4
3
This analysis is based on the Bach-Geselschaft/ Dover edition, which does not include the inserted m. 23
of the Czerny/ Schirmer edition.
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At m. 26, the first full measure non-harmonic tone is introduced, i.e. the suspended 3 of
V
7
chord:
Phrase 5 (mm. 26-29):
C: V
7/sus 3
- V
7
- #ii
7
(Eb = D#) - I
6/4
Over Pedal V (G)
Next, the consequent of this phrase follows:
Phrase 6 (mm. 30-35):
C: V
7/sus 3
- V
7
- V
7
/IV - IV
6/4
(or ii
2
) - V
7
I
V ped. (G) I Ped. (C)
To summarize, some of the important features of the work include: the extended
use of bass line pedals (V or I) at mm. 24-35 and the tonicization of the subdominant
from 33-34, i.e. a mere two bars before the end of the piece.The overall phrase structure
of the composition could be shown as follows:
2+2 | 2+2+3 | 2+2+4 | 2 +4 | 2+2 | 2+4 ||
I V ~IV (V) I Tonicizing V V IV I
V I
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As we shall see, many subsequent composers, most notably Chopin, were
evidently much taken by the subtlties and complexities of this beautiful gem of a
composition. Later on in the chapter, there will also be short overviews of some of the
other WTC I preludes, in relation to the works of the following generations.
An Interlude: Between Bach and Chopin
The tradition of prelude composition after WTCs, BK I in particular, seems to
have expressed itself in two parallel lines:
1) Preludial Cycles in all kyes, as in the past, were primarily intended to fulfill the
basic function of preluding, especially for those performers who lacked the skill
to do so themselves via improvisation.
4
The aforementioned Clementi and
Hummel prelude cycles (cf. Historical Background), as well as similar works by
Muscheles, Heller and Busoni belong to the catalogue of such 19
th
century cycles.
(Harvard 1986, p. 653). Chopins Preludes, Op. 28, too, in part belong to this
tradition, although in his case, both the tradition of functional preludial cycle, as
well as the genre of prelude in general, was re-defined forever. (cf. below, under
Chopin).
4
Of course at the same time, the practice of actually improvising preludes in public, in their functional
sense, continued, and even encouraged, as can be seen from these words by Czerny: It is akin to a crown
of distinction for a keyboardist, particularly in private circles at the performance of solo workds,if he does
not begin directly with the composition itself but is capable by means of a suitable prelude of preparing the
listeners, setting the mood, and also thereby ascertaining the qualities of the pianoforte, perhaps unfamiliar
to him, in an appropriate fashion. (Quoted in Kallberg 1996, p. 147)
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2) Etude Cycles continued to express the didactive element of the WTC I preludes,
i.e. cultivation of technical and hopefully musical proficiency in performers.
This tradition was to be branched off in two directions:
a. Purely technical studies: these were useful, but musically dry abstracted
technique books, such as Aloys Schmitts Op. 16, the celebrated Hanon
Exercises or the tradition of practicing scales and arpeggios. In most cases,
the performer is asked to extend the original form of the practice by
transposing it sequentially and playing it in all keys. Debussys Etudes,
BK I open with an apparent parody of the simplest of such exercises, i.e. a
scalar pattern from do to sol.
b. Etudes of Compositional Value: Besides Clementis and Cramers
contributions (cf. Historical Background), the extensive body of study
books by Carl Czerny (1791-1857), including his so-called School of
Velocity, Op. 299 should be mentioned, although they lack the harmonic
imagination that one would expect from compositions of this period.
In the context of our study, an overview of Cramers Etudes (1805-10, rev. Hans von
Blow, 1868)
5
can be illuminating. These beautiful etudes, despite their tremendous
diversity of texture, seem to prescribe mainly to the moto perpetuo, mono-thematic,
figurative concept of prelude writing. Speaking of their textures, they might employ an
activated homophonic or a straightforward polyphonic style, and yet, essentially, they
consist of sequential migrations of a main figure or two through various harmonies. An
5
The von Blow edition (1868), which is more commonly used today, contains 50 etudes out of the 84
originally published in 1805-1810.
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apparent pevasive feature is the contrasting lyrical themes in longer values, the reward
melody for the pupil, which can be heard if the piece is played fast enough. (The origins
of such hyper-metric melodies can be found in the works of Bach, inluding Prelude in
Cm from WTC I. See below, under Chopin.)
Cramer/Blow Etude No. 48 in Em
This etude is an advanced exercise in the figurative/ imitative tradition. A
gruppetto figure ornaments the opening of an arpeggio in the violinistic style, i.e. a pedal
point arpeggio, which outlines the tonic chord. This is followed by an antiphonal
response of the complex in the next measure, itself mainly composed of a contour
inversion using the notes of the triad (triadic inversion.) The same 2-bar idea outlines the
dominant harmony in the subsequent mm. 3-4. Against this activated figuration in 32
nd
notes, the LH plays arpeggiated block chords, i and V
6
, using the following rhythm:
.. , ... . With the exception of mm. 11, 21-22 and 35-36, the harmonic rhythm is
maintained at 1 chord per 2 measures. Starting at m. 5, the LH and RH exchange roles in
the fashion of an invention. Thereafter, the antiphonal/imitative interplay of the two
hands shapes the structure of the piece. The overall structure of the piece is ABA, and its
harmony mostly surrounds the tonic and dominant, with brief references to the
subdominant. Important harmonic events include:
1) mm. 7-10: V
2
/iv - iv
6
;
2) m. 11: V
6/5
- i - ii
6/5
, or a chordal flourishment of V
6/5
, in a linear stretto fashion;
3) m.13: v V
6
/V, or in Bm: i V
6
;
4) mm. 20-23: i bII
6
(N
6
) vii
7
/V V~.
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The following is a schematic view of the harmonic structure of this etude:
mm. 1-12 mm. 13-24 mm. 25-36
R(H) L R [bridge] ------ | R/L alternations Ending with RH
Tonal Areas: i., V and iv v and V as in A
Despite limited harmonic adventure, the composition remains a beautiful short
piece in the classical style, in part due to surface chromaticism of embelishments and a
degree of experiment (although formulatic for our time) on disruptions of phrase length.
And for the competent performer, the reward melody still remains an added bonus.
A Word on Beethoven
In regards to our discussion of prelude, Beethovens contribution to this genre
remains an unusual case, perhaps demanding a separte study of its own. Any such study
would have to weigh his well-known improvisatory skills against what is known of his
arduous compositional procedures. Generally speaking, it seems that when it came to
finalizing a composition, or even an idea, as studies of his sketches e.g. the funeral
march theme of the Eroica have shown, the fluency of the pianist/ improvisor/
composer would give way to the focused concentration of the perfectionist composer.
Still our study could benefit from a few observations.
A B A
Em:i-V
6/5
-i-vii
2
/iv-iv
6
-V
6/5
-i-ii
4/3
-V| | Bm: i-V
6
|Em: vii
4/3
-i-N6-vii
7
/V-V
7
| i-V
6/5
-i-i
6
-vii
4/3
/iv
6
- V
7
-i- V
7
-i
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Under the title Prelude there are at least three known pieces available: Two
Preludes, Op. 39 (1789?), and Prelude in Fm, WoO. 55 (before 1805), both of which
belong conspicuously to his early years.
The Two Preludes, Op. 39 are indeed, in the context of Beethovens known
compositions, two curiousities in themselves! The full title of the collections reads, Two
Preludes Through All Twelve Major Keysand they surely deliver what the title
promises. No. 1 is essentially a seamless, modulatory series of 12 variations on a short
phrase, with each variation being in a different key, and the order of keys following that
of the ascending circle of 5ths. No. 2 goes through the circle not once, but twice, the
second time mostly at the pace of one key per measure, ending with a codetta in the home
key of C.
Prelude in Fm, WoO. 55 employs a 3-part imitative polyphony, an overall ABA
structure, a slow tempo and a lamenting figuration. It must belong to his formative years,
as it seems to have been an apparent attempt in the style of Bach, possibly modeled
directly after the Fm Prelude of WTC I.
With regards to the relative triviliality of these three preludes in the overall
context of Beethovens output, it is plausible that the word prelude did not have a
direct, serious compositional connotation for himbut surely did the concept. That is to
say that while perhaps the overtly didactic and/or improvisatory elements of prelude, as
understood by his contemporaries (remember Cramer?) did not interest him, the musical
value of such a genre did not escape his attention. With such a conviction, we might find
out that Beethovens most important preludes often appear unnoticed as such, either due
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Page 19 of 45
to their appearnce under a different name or because they are buried deep inside a larger
compositional structure, such as a sonata.
To be more specific, Beethovens use of moto perpetuo, monothematic figurative
preludes falls under this category. The opening movement of Sonata No. 14, Op. 2, No. 2,
in C#m, a.k.a. Moonlight Sonata is such an example. The subtitle of the sonata reads as
follows: Sonata quasi una fantasia, indicating not only the unusual formal structure of
this sonata (the Sonata Allegro movement comes at the end, after the Introduction and the
Minuetto movemens) but also the fact that this unusual structure is modeled after
improvisatory fantasias. Thus, it seems that first movement is a prelude, albeit in
disguise. After all, it has all the features of a common figurative prelude: steady base line,
figured bass realization in the upper voice, repeated arpeggiation, and a degree of
imitation. But more interestingly, as in Bachs models, Beethovens superimposition of a
well-thought ABA structure and a beautiful melodic line elevates the prelude into a
finished composition. Another example of such essentially monothematic, moto perpetuo
prelude is the Rondo movement of the so-called Tempest Sonata.
But at the end of the day, Beethoven does not seem to have thought of the titles of
prelude or etude beyond their basic functions, and these did not appeal to his musical
imagination. Such a limited view of these words could be attributed to the low level
definitions of these genres in the works of his contemporaries.
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Chopin: ANew Definition for Prelude
Background
There can be found evidence of Chopins affection for Bach (and Mozarts)
music, particularly the Preludes and Fugues of the WTCs, in his correspondences:
Play Bachs Preludes and Fugues everyday.This is the highest and
best school; no one will ever create a more ideal one. If you have
plenty of time, memorize Bach; only by memorizing a work does
one become able to play it perfectly. Without Bach you cannot
have freedom in the fingers nor a clear and beautiful tone [].
[From a letter to Delphine Potocka, ca.1832] (cf. Wierzynski 1949,
p. 179)
His letters further reveal the improvisatory origins of at least some of his compositions:
Do you remember the piece I improvised [] three days before
you left? It has become my Etude in Eb Major []. (ibid, p. 177)
as well as his conscious goal in integrating technique and musicality in his virtuoso
writings:
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In writing my etudes I tried to put not only science but also art
into them. (ibid)
And Chopin was certainly aware of his own achievements: You see, my etudes are a
new method in exercises. (ibid) The Etudes, Op. 10 were completed in 1833, and soon
the second set, Op. 25 was published in 1837. Chopins Etudes were inded a redefinition
of the genre: they introduced the concept of concert etude into compositional styles, a
trend that would be continued by Liszt, Scriabin and Rachmaninov, among others.
Equally groundbreaking, yet enigmatic, were his preludial cycle, Preludes, Op.
28, mainly composed between the years 1836-1838, and published in 1839, although
some might have been composed as early as 1831, including the ones in Am and Dm
(ibid). The confused reaction of the likes of Schumann and Liszt to the Preludes are
symptomatic of the unsettling first encounter with this work. One in Ebm, is as brief as
30 seconds; the one in Db is an extended, quiet ABA lied, while the Gm prelude lives its
short life roaring in octaves. Chopins multi-layered treatment of not only the genre of
prelude, but that of the prelude cycle, has resulted in a successful blend of mostly short
and yet autonomous motivic or figurative miniatures within a cohesively organized
cyclical whole. The ordering of the preludes according to an ascending circle of 5ths,
starting with C and pairing each major key with its relative minor, is a conspicuous sign
of an overall design. The resultant contrast of moods and characters is another level of
organization: fast in C; gloomy in Am; exuberant in G; gloomy in Em, etc. The fact that
the one in Db, almost at the center of the cycle, takes up nearly 5 minutesalmost 10
times that of the preceding Ebm, besides the close association between its musical
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material and the architecture of the keyboard (that is to say it is unlikey to have been
transposed) does not seem to be accidental. And then there is the uniquely powerful
ending of the Prelude in Dm, and the cycle, on three repetitions of d1.
6
On the other hand, it is also true that these pieces were rooted in the
improvisatory, introductory tradition of prelude cycles, as were discuseed above, and as
Chopin is known to have played them in isolation, along other pieces on his programs
(Kallberg 2002, p. 151) or even as stand-alone compositions, such as he did on his
February 1842 concert by the inclusion of the Db prelude on his program (Wierzynski
1949, p. 311). This is further affirmed by the decidedly complete endings of most
preludes, such as the Em and the Gm.
Still, given the above observations and notwithstanding Kallbergs argument in
defense of Preludes as small forms (2002, Ch. 5), it seems to be hardly possible to deny
Chopins over-arching vision for the cycle. The logical conclusion could be that as in the
case of Bach, Chopin re-defined the genre of prelude again, this time by freeing it from
its obligatory preamblic function, and simultaneously managed to re-define the genre of
predulial cycle, too, as a unified whole. For many among the subsequent generations of
composers, notably Scriabin and Rachmaninov, the motivic and textural unity, brevity
and the evident interplay of independence and interdependence in Chopins Preludes,
became the very definition of prelude itself.
6
Considering these observations, looking for thematic relations between the preludes, although certainly
illuminating, does not seem necessary, if the goal is merely defending the cycle as a unified whole.
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Analytical Samples of Chopins Preludial Output
Both Etudes and Preludes manifes clear associations with the the preludes of
WTC, BK I in particular. The following is a short comparative study of sample works
from Opp. 10, 25 and 28 with their possible related origins in WTC I.
Etdue Op. 10, No. 4, in C#m
Like all of the other Etudes, it has a general ABA design:
mm. 1-32 | 33- 50 | 51-82
Two origins in Bachs work could be cited: Preludes in C#m and F#m from BK I. The
first of these two is reminded by the key and the opening gesture (descending scalar
figure, soldo), while the second seems to have lent its meter, faster tempo, melodic
figuration, sequential nautre of the subject, steady beats of a homophonic accompaniment
( ., ) to Chopins work. Moreover, while both of the WTC Preludes have an imitative
texture for both hands, the type used in F#m is conspicuously closer to the Chopin Etude.
There is also the fact that as in the Chopins, the LH imitation of the RH occurs at the
dominant:
WTC I, Prelude in F#m (mm. 1-3): RH: i-iv6/4-i- LH Imitation | C#m: i-iv-V
6/5
-V
4/3
/V-i
Op. 10, No. 4, Etude in C#m (mm. 14) RH: C#m:(V)| i-ii
6
-i
6
-V
6/5
-| i-iv
6
-i
6/4
-ii
6/5
| i-V
7
-i-V
7
| Modulation
(mm. 5-7) LH: G#m: | i-V
4/3
-i
6
-iv| i
6/4
-iv-i
6
-V
4/3
| i~ Back to C#m
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Besdies, the textural contrast of the Etude (sixteenth against sixteenth, starting at m. 30-
46, also coda at m.74 ff.) reflects Bachs contrasting texture of in the F#m, starting at m.
4 of the WTC prelude, with Chopins use of descending vs. Bach ascending arepeggios
against the theme in the opposite hand. To summarize, the Op. 10, No. 4 Etude, in its
overal structural and textural design and explorations, phrase/tonal relations, sequential
figuration as the thematic material, is a chromatic flight of imagination off the diatonic
shoulders of the F#m prelude of the WTC I.
Etudes in Cm, Opp. 10 and 25, Nos. 12
In contrast to the integrative process at work in the C#m Etude, the composer
seems to have applied a separationist approach to the WTC I Prelude in Cm, resulting in
two related works, both in the dramatic key of Cm.
As in the Bach prelude, the Op. 10, No. 12 Etude displays complex arpeggiated
figures, which are generated by the way of adding non-harmonic tones to chordal factors.
A prominent case is the ornamentation of Cm triad and subsequent with a passing-tone
(d), as compared to Bachs prominent use of neighbor tones in his prelude. (The passing-
tone possibility has been employed in other preludes. See above, under Figuration
Preludes) Same concept is extended to the use of chromatic appoggiaturas at mm. 29-
32 of the etude. Here, ascending and descending figurations of G#m, D#m, F#m, C#m,
(G#7) start each inversion of the triad by attaching a chromatic appogiatura to the bass
note. The result is a tour de force of musical and technical integration. As for other
traditional gestures in this etude, one can note the ricercare (tiento) style opening with
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Page 25 of 45
another flourished run at the end, both of which are reminiscent of the B section and the
flourished ending of the Bach model.
However, despite thematic relations, there is a major difference between the Op.
10 example and the WTC prelude: the equal treatment of both hands is missing from the
etude. This aspect seems to have been addressed in the Op. 25, No. 12 Etude, again in
Cm. Here, as in the WTC prelude, the outer fingers of each hand are to be treated equally.
Furthermore, there are the dense activated homophonic texture, and the hypermetric
melodies under the thumb and/or the 5
th
fingers, which are common to both
compositions. The supressed and staccato charater of the hypermelodies of the WTC
prelude are an indication of their intended instrument, harpsichord and its associated
aesthetics. In contrast, the modern medium of piano has allowed the composer of the
Etude to give the hypermetric melody a lyrical, legato quality by the use of the sustaining
(damper) pedal. Hence, the eb,d,f,eb,d,eb,c melody, given to the thumb and the 5
th
finger
of the RH, and its subsequent transformations, is allowed elegantly to ring above a sea of
arpeggios.
There is also a harmonic/phrase structure common to both compositions.
Compare the following:
WTC I, Prelude in Cm (mm. 1-6): i-iv
6/4
-V(
9)/7
i
Over Ped. C
Op. 25, No. 12 in Cm (mm. 1-8): i-ii
2
-iv
6/4
-i-ii
2
-vii
9
(or V
7
)-I
Over Ped. C
As can be seen, the measure-based harmonic pace (every 1 or 2 measures in the prelude;
1 in the Etude), the long sustained pedal points, the smooth voice leading of the moving
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voices (melodic lines; mostly in the Etude), and the sequential harmonic structures in the
developing sections of both pieces, are further indications of the relationships between
the two compositions. As for the Etude, it seems to be a compositional study in the use of
pedal points:
Pedal points in the Op. 25/12 Etude:
mm.1-12 (c, minor triad), 15-22 (c, major triad), 23-30 (ab), 31-35 (g), 45-46 (middle voice: g)
45-57 (c), 58-61 (d), 67-70 (g), 71-83 (c)
It seems as if this Etude expands consciously on the principles of voice leading as
practiced in the Bach Prelude.
Etude in Ebm, Op. 10/12
Another remarkable case, which deserves a full discussion of its own in a separate
study, is the subtle association between this Etude and the Prelude in Ebm from WTC I.
Both share in their lamenting tone, prominence of an arioso line over a steady harmonic
stratum (activated in Chopins case), an emphasis on the 6
th
(cb) and flat-2 (fb) degrees of
the key, and the contrasting alternation of sustained vs. flourished moments in their
prominent melodic lines.
Preludes, Op. 28
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The following analytical samples are intended to indicate the subtlety of
association between this work and those of the WTC I.
Prelude in C, Op. 28/1
Amid its fast tempo, this prelude is modeled clearly on its WTC counterpart. As
in the Bach prelude, it employs an activaed homophonic texture, consisting of
arpeggiated figures of vertical sonorities distributed between the two hands.
The melodic line (upper voice) is a useful guide to delineate the phrase structures,
although it is consistently betrayed by the underlying harmony. A 4-bar phrase structure
is initially established (2+2), which is disrupted at mm. 13-15 with an inserted harmonic
extension. Another disruption occurs with a harmonic/phrasal elision at m. 21, as two
phrases overlap at this climactic measure (with pitches d6-c6 in the upper voice). The
scalar ascent of the bass line from g2 to e3 (mm.16-21) is a reminder of the overall
uninterrupted stepwise descent of the 2
nd
voice in the WTC prelude, from e4 to c3.
The sigh-motive of the Op. 28 is a result of developing the stepwise motion of the
upper voice at the beginning of both preludes. In the Chopin prelude, this motive has an
ambivalent character, since at times it is heard as an embelishment or as an unresolved
neighbor-tone (mm. 1-3), and at other times it is used as an appoggiatura and its
resolution (as in m. 4). The subdominant embelishments (an implied decorative IV
6/4)
in
mm. 1-3 is a reminder of the subdominant character of the second measure in Bachs
model. As in Bach, Chopins also ends on strong pedal points on dominant to tonic (g to
c), and with a strong pre-cadential emphasis on the subdominant. Furthermore, Chopins
interruptions in the regularities of the phrase structure consist another level of similarity
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Page 28 of 45
between the two preludes. And there is also the linear stretto at m. 18-ff., when the thumb
notes falls on the downbeat, by the use of a duplet, which creates another level of tension
of its own.
The following is an analysis of the Op.28/1 Prelude in C:
2+2 | 2+2 | 2+2 | 3 | 2+2+ 1 + 1+1 +1 +2 + etc.
Overlap. at m.21
P1 (1-4) I (emb. IV
6/4
)- V
6/5
-I-iii (to I
6/4
)
P2 (5-8) IV
9
(ii
6/5
)- vii
9
/V (V
7
/V)- V
7
-V
7
P3 (9-12) Similar to P1
P4 (13-15) ii
6/5
(c# = App.) V
4/3
/IV (d# = App.) IV
6/4
(g = App.)
P5 (16-21) I
6/4
IV
6
-V
6
-vi
6/5
- V
6/4
- I
6
P6 (21-25) I
6
-#ii
6/5
I
6/4
V
7
I
P7 (26-34) V
7
-I-V
7
-I- [I & emb. IV] - I
Over Ped. C
Preludes in G and Em, Op. 28, Nos. 3 and 4
Here again the two processes of separation and integration (see above, under
Etudes) can be observed, as the Prelude in Em of WTC I lends its arpeggiated figure to
the LH of one and its harmonic motion to the other.
Prelude in G of Op. 28 is technically and figuratively similar to the Op. 10 Etude
in Cm. It is a LH exercise for embelished arpeggiated runs by the use of passing-tones.
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Once more, an overarching melody with a punctuating rhythm is played in contrast to the
activites of the LH arpeggios. And still as in the Etude, both hands join in for a unison
run to end the composition. Here, however, the harmonic language is much simpler,
although it is not without dramatic surprises: the tonicization of dominant (V
7
/V at m. 7)
is done with a sudden move; at m. 22, a IV
M7
chord sounds as a superimposition of vi on
IV, preparing the return to the tonic. Structurally, this ABA moves through the following
tonal scheme:
Tonic, Dominant, Tonic, Subdominant, Tonic [Cadential extension]
In other words, it is an elaboration of a basic harmonic progression, I V I IV I.
In contrast, Prelude in Em of Op. 28 explores the harmonic subtleties of the WTC I
prelude in the same key, integrated into the melodic and textural characteristics of that in
Ebm of WTC I, combined with a stepwise voice-leading that is characteristic of the
Prelude in C of WTC I. The last point is observable in the scalar descent of the bass line
in Chopins prelude, as well as the pervasive use of common-tone progressions in a more
systematic way:
The movement of the bass line in the two preludes:
WTC I, Prelude in Em: e(3), d#(3), e, d, c, b
(mm. 1-8)
Op. 28, in Em: g(3), f#,f,e,d#,d, c, b
(mm. 1-12)
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It seems as if the smooth diatonic descent of the latter has been translated into a
chromatic descent of the same span in the Chopin example.
A pre-cadential detour on the VI chord is common to all three preludes. The final
6 bars of the Op.28 Em can be illuminating:
Op. 28, Prelude in Em: V
sus
-V
7
| VI-V
7
/N
6 (-2)
ii
4/3
| i
6/4 (sus)
(I
6/4, passing
) i
6/4
| V
2
of N
6
| [GP] | i
6/4 (over V7)
V - i
(mm. 20-25) or Ger. 6
inverted and enh. spelled
Bb = A#
Compare
Prelude in Dm, Op. 28, No. 24
This prelude shares certain subtle features with that of WTC I of the same key. It
opens with an ostinato figure made of a hyper-active arpeggiation [here given to the LH]
over a long and steady pedal point on d2, preparing the RH entrance with its dramatic
spelling of the pitches a4,f4,d4, an augmentation of the one used in WTC I of the same
key. Throughout, it also uses a layered texture between the two hands, again reminiscent
of the same WTC figurative prelude.
Another conspicuous feature of the Chopin prelude is the alternation of moments
of melodic stability with extended upward or downward runs, either scalar or triadic.
While such a structural design reminds of the ricercare tradition in general, the chromatic
descending triplets in minor 3rds (mm. 55-56) more specifically reflect the chromatic
descent at the end of the WTC I prelude, made of parallel diminished triads. Both have to
do with the tonicization of the dominant: in the case of Chopin, the run soars over an
inverted It.
6
, or more realistically, a vii/V over a long pedal point on Bb1, which
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resolves into i
6/4
; in the case of Bach, it becomes simply a parallel chromatic filling for
the vii
4/3
/V, this too eventually resolving into a i
6/4
. (Chopins prelude, most extensively
in his Etude Op. 25, No. 12, makes much use of pedal points, as in the first 12 bars on d2,
mm. 19-28 and mm. 57-64 on a1, and the last 13 bars on d2.)
The two preludes also share an obsession with the iv harmony, or simply the
suspension of the 6
th
degrees downward resolution. In the case of Chopin, this is
apparent both at the macro level (e.g. the Bb2 pedal point of mm. 53-56), as well as the
micro-level, as his very last run, the cadential descent of m. 74, is composed of the tonic
triad with added 6
th
as an appogiatura. Also note the amplified presence of this degree in
the melodic line (iv over a dominant pedal) at mm. 61-68. This seems to be a
commentary on Bachs extended emphasis on this degree in the bass of mm. 11-14.
Another interesting similarity can be seen in the closing harmonic progressions of
the two pieces:
WTC I, Prelude in Dm: vii
4/3
/V - [chromatic descending passage) vii
6/5
/V-i
6/4
-V
7
-i
Last 4 bars
Op.28, in Dm: vii
4/3
/V-i
Last 10 bars
The subtle nature of similarities between the selected works from Chopins Opp.
10, 25 and 28 and those of their possible WTC I preludes and the composers
sophisticated and original treatment of the source material only adds to the magnitude of
Chopins achievments.
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ASecond Interlude
The infatuation of many romantic composers with the Chopins redefinition of the
genres of Prelude and Etude could not be overestimated. Thenceforth, a Chopinesque
tradition of prelude and etude writing ensued. In many ways, Preludes, Op. 28
legitimized the autonomy of abstract, short compositions with no direct literary
justification. Indeed, the word prelude was to find such a romantic connotation that it
would find its way to the titles of two major compositions via the poetry of Lamartine
(Liszts Preludes) and Malarme (Debussys Prelude to the Afternoon of a Faun).
Following Liszts contributions to the related genre of etude (Transcendental Etudes,
started in 1826, finalized in 1852), two Russian pianist/composers would later make their
own claim on the two genres, especially that of prelude, namely Ssriabin and
Rachmaninov. Both composers seem to have been faithful to the Chopin tradition. It
could be said briefly that of these two, Scriabins near 90 miniature preludes (composed
between 1888 and 1913) are more harmonically and rhythmically adventurous. Indeed,
Scriabins complete anthology of his preludes seems to be a fascinating record of one
mans lifetime harmonic evolution. Those of Rachmaninov remain faithful to the
romantic harmonic language, but instead concentrate on exploring textural possibilities of
the instrument. Both composers have also made lasting contributions to the genre of
etude.
Given the scope of the paper, however, it is an unfortunate necessity to focus our
attention on a more radical figure in the history of prelude.
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Debussy: Preludes, BK I (1909-10) and BK II (1912-13)
In Debussys Preludes, BKs. I & II, independence, poetic air, structural diversity
and an original musical language contribute to still another definition of the genre of
prelude. Before 1910, the title Prlude had appeared in its baroque, introductory sense,
on the first movements of Suite Bergamesque (1890-1905) and Pour le Piano (1896-
1901). Both of these two preludes seem to have had the tradition of sectional prelude
writing as their models. The evident contrast between these works and the Preludes of
BK I and II suggests that by Debussys time, two traditions of prelude writing, i.e. the
Bachian model(s) of the two WTCs, and that of Chopins Op. 28 were well established.
The originality of Debussys output however, would mark the beginning of a new
tradition.
Instead of aiming, unrealistically, at giving a comprehensive introduction to these
richly diverse cycles, it seems prudent to let a single selection manifest the ingenuity of
this composers treatment of the genre.
Le Vent dans la Plaine, Preludes, BK I, No. 3
A toccta style, moto perpetuo figuration, ornamenting the pedal point on the pitch
b-flat with the neighboring cb opens the composition in a perceptibly Phrygian
environment. Against this textural and harmonic matrix, accented ornaments around eb4
are introduced. At mm. 9-12, in Eb Dorian, a new texture of descending block seventh
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Page 34 of 45
chords, alternating between Ebm(2) and Cm(7) over bass pedal points of perfect 5ths
(mainly on eb1) make up for the contrasting idea of the piece. Bars 13-20 are again based
on the first section, although with a key change, arguably to that of A major. (Initially,
the A is enharmonically spelled as c-double flat, starting at m. 15.) At m. 21, idea 2 is
superimposed on the figuration, with the following succession of chords, irrespectvie of
their inversions (mm. 21-27):
Dm-G-Dm-D-G
7
-F-Dm-F-G
7
-Am-Gb aug /over Ab-Gb-Ebm-Gb-Gb aug/over Ab
At m. 28, the first major dynamic event occurs. It consists of a Gb triad, both in its block
and broken forms, and it launches a new section of extreme dynamic fluctuations:
mm. 28-34: Gb- Fbm over Bbbm (= Em over Am) Db - Fbm over Bbbm ~~~~~ G-B-G#
The opening figuration returns at m. 34, this time on G# (dorian); a chromatic real
sequence of the figuration migrates down until at 45 it returns to Bb. The A section of the
pieces returns, although with melodically active bass, at mm. 45-50. Alternation of
Gb(6/4) and Abm(6/4) block triads over a pedal point of Bb (mm. 48-50) prepares for a
return to the B section material. The ending of the Prelude starts at the 3
rd
beat of m. 54: a
chordal phrase of parallel triads (Cb-C-Db-D) is superimposed on the Bb pedal point
figuration, eventually resulting in a Bb
Aug
7
chord. As the D major portion of this last
harmony settles, a single ptich (Bb3) emerges, which survives, as long as the decay of the
instruement permits.
The general scheme of this prelude can described as follows:
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Development
Exposition 1 Exposition 2 Bridge Recap. and Coda
m. 1 9 13 22 28 34 45 50 54 60
A1 B1 A2 A3+B2 C1 A4 A5 B1/A1 Coda
Sequence Shortened Based on A
Alternating
Tonality: Bb (Phr.) Ebm [Bb A Gb] Gb G# (Phr.) Bb (Phr.) Ebm Bb(Phr.)
Modally Ambiguous
Debussys formal design of this prelude seems to have intervowen the free structure of
prelude as a genre with the more codified sonata form, as the presence of two contrasting
ideas (gestures) and the overall ABA structure (Exp./Dev./Recap.) suggest. His harmonic
language includes the use of non-classical modes (e.g. phrygian and dorian); parallel
chordal successions; and unusual voicing of common triads or their extended super-
imposition on pedal points, which result in original sonorities. It is remarkable that the
tonal relations of this harmonically adventurous piece center around the traditional
relations of tonic, (sub)dominant, and relative key, irrespective of their modalities:
Bb-----Eb | Bb-----(A-G)-----Gb | ----(G# = Ab)---Bb ~ ~ ~ ~
m. 13 m. 28 m. 45
After Debussy: Shostakovich
Shostakovichs 24 Preludes, Op. 34 (1935) and 24 Preludes and Fugues, Op. 87
(completed ca. 1951) still advanced further the rich tradition of this genre. The former
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pays homage to the Chopin tradition, while the latter has Bach (and Chopin) in mind. As
in the case of the other three composers (including Debussy), a unique blend of personal
language and generic tradition are evident in both cycles. Op. 87 is further important,
because it also aims to create a unified set out of the whole cycle of preludes and fugues.
Both cycles are ordered according to Chopins Op. 28 tonal scheme.
Shstakovich: Prelude in C, Op. 87, No. 1
This work is a model of simultaneity of reverence for, and rebel against the past,
and it well sets the tone for the entire cycle. The innocent homophony of the opening
chords in the rhythm of Sarabande, make an initital reference to the Prelude in C of WTC
I:
WTC I, Prelude in C: I- ii
over I
- V
6/5
-I-vi-V
2
/V ~ ~
Op. 87, No. 1 in C: I V
7 over I
- I
add 6
V
6
-vi
7
-V
7
-I
The opening chord is a block form of the Bachs opening arpeggio; as in Bachs, the
second harmony is a result of step-wise progresions over a tonic pedal point; the long
pedal point on the tonic (mm. 1-11) is similar to the extended use of pedals in the Bach
piece; the first chromatic event occurs at m. 7, with the progression: I-V
2
/V - vii
7 (over I)
-I,
resembling the vi
6
-V
2
/V of bars 5-6 in the Bach model.
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The second chromatic event takes plae at the 4
th
bar of the second period (m. 12),
with the progression of the vi
7
to Fr.(6) [or IV
+6
] that tonicizes the pitch G, and resolves
in the I of Eb. At this point, the B section of the piece starts with a contrasting character::
(mm. 15-17) Eb: I bIII
6
IV C: vii
6/5
-I
Bar 18 is an example of the compositional essence of theis piece: while the pitch E is
suspended over the measure (I
6
), the Ab acts as a re-articulated suspension (or simply a
prepared appoggiature), and at the same time, the suspended m3rd at the middle
continues the ring of a V
7
through this measure.
Other important harmonic events include the following examples:
mm. 26-30: [in C:] IV/IV-IV-iv/IV-vi
sus
- | iiM
9
- ii
2
[in Eb]
[over pedal point at the mid. g4]
mm. 46-49: [in C:] V/ii-V
7
/IV [over IV] V/V vi
6
(Note the irregular resolutions of many of these harmonies.)
The overall stucture of he prelude can be summarized as follows:
m.1 A 16 19 A 31 35 B 47 57 67
A1 Br.1 A2 Br.2 A3 [Ext.] Coda
Ton. C Eb C (F) (Eb) C (D) ~ ? C
[Br. = Bridge] [Ext. = Extension] [Ton. = Tonality]
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An important structural event occurs at mm. 47-57: compared to A1, these 10-bar
extension explores different harmonization of the upper melody, that is the a,g# motive in
the uppers voice. The extension and its m2 descending motive reminds one of Chopins
Op. 28 of the same key. (See above, under Chopin.)
In relation to this prelude, two other references might have been implied. First is a
short piece by Tchaikovsky, Morning Prayer, Op.39, No. 1. The opening of both pieces
share in their sarabande rhythm, in their texture, but most importantly in their
harmonization of the climactic point of m. 12, the culmination of a whole-tone
tetrachordal ascent to f#5. In turn, this tetrachord recalls one of the most celebrated
openings in Bachs ouevre, the choral Es Ist Genug!
The alternation of simple diatonicism and saturated chromatic sections is a feature
that is developed throughout this prelude, and on a larger level, in the entire cylce of Op.
87.
Among Other Important Contributions
A set of brief introductions to some of the interesting preludes by later composers
could very well serve as our conclusion, since it shows not only the continuing vitality of
the prelude genre to our day, but also hints at the influence of the evolutionary axis of
Bach-Chopin-Debussy, as was developed through this study.
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Page 39 of 45
Tonal
Centeres:
Gershwin: Prelude No. 1
This 1927 composition features a jazzy ostinato in the bass, ritornello treatment of
the opening theme, the use of multiple gestures and figurations, and a series of sequential
flourishes that more than any other tradition, brings Debussys La Puerta del Vino (BK
II, No. 3) to mind. The Debussys prelude similarly employs a habanera dance ostinato
in the bass, ornamental flourishes with an exotic flavour, and successions of parallel triad.
In terms of form, both also share in an overall ABA structural design.
The thematic material in the Gershwin composition can be summarized as follows:
T1 (Theme 1): The opening theme.
T2: Ostinato bass (almost throughout, but often in varied forms)
T3: A sequence of 32
nd
flourishes.
T4: An idea consisting of ascending perfect 4
th
intervals.
T5: An Ascending arpeggiated figure of triplets.
A (1-15) B (16-39) A+ Coda (40-60)
Bb(mix.) C(mix) D Bb(mix)
(T1) T1 T2 (T3+T4)--------------------- T1, T2 Coda
Runs and Interruption
Ostinato
[Mix. = Mixolydian]
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Other 20
th
century composers, notably Messiaen, Lutoslawski, Scelsi, and Grecki,
among many, appear among those who have approached the prelude, and the related
etude, genres. The discussion of the works of this group seems to require a dedicated
study of their own.
Appendix: Bachs Contemporaries
In conjunction with Bachs Little Prelude in C, BWV 924, representative
Prludia by Purcell (from Suite in G), Corelli (a sarabande in Em) and two by Pachelbel
(in Eb and G) are provided.
Purcells Prelude in G is a brief composition in the moto perpetuo, arpeggiated
figure style. It prefaces subsequent dance movements of the suite. In this simple
arrangement for guitar, an almost thorough diatonicism is evident.
Corellis Prelude in Em is more extended. It is a bi-partite slow sarabande (or
siciliano) in Em. Each section consists of five 4-bar phrases, which creates an asymmetric
structure at the period level. With one exception (passing tone of m. 10), section A is
strictly homophonic. The first and second phrases end on a half cadence on the dominant;
at m. 9, the subdominant is tonicized; and m. 12 ends with another half-cadence, this time
on the relative major. The cadence at mm. 18-20 is of interest: i-v
6
-vii
4/3
-V.
Section B explores further harmonic possibilities, as the following progressions
demonstrate:
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Page 41 of 45
mm. 21-27: V
6
-i-VI
6
- [in G:] V-IV
7
-I
mm. 29-30: tonicized V in G
mm. 31-34: [in G:] V
6/5
/iii-iii-I
Bars 35-38 feature an example of chained suspensions, typical of Corellis beautiful
style. This prepares the ear for the ending, as the following progression brings the piece
to conclusion:
[in Em:] V
7
-i-iv-V
7
-i
Despite its improvisatory feelings, Corellis piece appears more as a rather finished
prelude, constrained with the formal design of he dance form.
Pachelbels two Preludes feature a contrapuntally imitaive texture, clearly based
on improvisations, especially since the imitations of the figure do not overlap. The long
pedal points in the second example are further indications of its improvisatory origins.
The works are in the style of French overtures.
In contrast, Bachs Little Prelude in C, from W. F. Bachs Clavier Bchlein
demonstrates both improvisatory and didactic elements (arpeggiated figured bass, long
pedal points), as well as the composers clear intention in exploiting the formal freedom
of the genre. Despite its brevity, the composer manages to touch upon the following
harmonies:
Opening bars: [In C:] I-V | ii-vi | iii-vi-V
6/5
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Page 42 of 45
mm. 4-5: I-I
6
-V
6/5
/V-V
6/5
/vi-vi
mm. 11-17: Extended pedal point on V (G)
as the RH explores the following harmonies:
vi
sus
-vii/V-V
7
-I
6/4
mm. 16-17, beat 3: [over G pedal] vii
7
/V-V-iv-V-vii
2
/V-V
7
-I.
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Bibliography
Scores:
1) Bach, Johann S.: Kleine Prludien und Fughetten; Urtext, Henele, 1987.
2) Bach, Johann S.: The Well-Tempered Clavier, Books 1 and 2 Complete; Dover, 1983.
3) Beethoven, Ludwig von: Bagatelles, Rondos and Other Shorter Works for Solo
Piano; Dover, 1987.
4) Chateau, Olivier: La Guitare baroque, vol. 2; Salabert Ed., 1995.
5) Chopin, Frederic: Etudes, Op. 10, ed. Badura-Skoda;
6) Chopin, Frederic: Etudes, Op. 25, ed. Badura-Skoda; Wiener Urtext/Universal, 1973.
7) Chopin, Frederic: Preludes, Op. 28; Schirmer, 1943.
8) Corelli, Arcangelo: Twenty-Four Pieces for Piano, vol. 2; Kalmus (?).
9) Cramer, John B.: Fifty Studies, ed. H. von Blow; Shirmer, 1927.
10) Debussy, Claude: Complete Preludes Books 1 and 2; Dover, 1989.
11) Debussy, Claude: Piano Music; Dover, 1972.
12) Gershwin, George: The Complete Gershwin Keyboard Works; Warner Bros., 1996.
13) Grecki, Henryk M.: Four Preludes for Pianoforte, Op. 1; PWM Edition, Krakow,
1985.
14) Lutoslawski, Witold: Two Studies for Piano (1940-41); Chester Music, 1990.
15) Pachelbel, Johann: Selected Works, BK 1, ed. Max seiffert; Master usic Pub.
16) Purcell, Henry: Suite in G Major; found in Chateau, Olivier, 1995.
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Page 44 of 45
17) Rachmaninov, Sergei: Complete Preludes and Etude-Tableaux; Dover, 1988.
18) Scelsi, Giacinto: (12) Preludi per Pianoforte; Edizioni Desants, Rome, 1947.
19) Schumann, Clara: Preludes and Fugues for Piano, Op. 6, ed. Barbara Harbach; Vivace
Press, 1994.
20) Scriabin, Alexander: Preludes, for Piano Solo; orig. 1888-1913; Kalmus.
21) Shostakovich, Dmitri: 24 Preludes and Fugues, Op. 87, orig. ed. (ca. 1951); Kalmus.
22) Shostakovich, Dmitri: 24 Preludes, Op. 34; Am Rus Music Corp., 1935.
23) Tchaikovsky, Peter I.: Th Seasons and Other Works for Solo Piano; includes Album
for the Young (After Schumann), Op. 39; Dover, 1996.
Books Quoted or Consulted:
1) Boyd, Malcolm: Bach, ed. Stanley Sadie; Schirmer Books, 1997;
2) Grout, Donald J. and Palisca, C.: A History of Western Music; Norton, 1988.
3) Kallberg, Jeffery: Chopin at the Boundaries; Harvard University Press, 1996.
4) Ledbetter, David: Bachs Well-tempered Clavier, The 48 Preludes and Fugues; Yale
University Press, 2002.
5) Palisca, Claude V.: Paroque Music, ed. 3; Prentice Hall, 1991.
6) Plantiga, Leon: Romantic Music; Norton, 1984.
7) Randel, Don (ed.): The New Harvard Dictionary of Music; Harvard Univ. Press,
1986.
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Page 45 of 45
8) Riemann, Hugo: Analysis of J. S. Bachs Wohltemperirter Clavier (48 Preludes and
Fugues), tr. J. S. Shedlock, ed. 8; Part I: Nos. 1 to 24; ed. Augener, London. (orig. 1890).
9) Thompson, Oscar: Debussy, Man and Artist; Dover, 1967 (orig. 1937).
10) Vallas, Lon: Claude Debussy, His Life and Works, tr. M. & G. Obrien; Dover, 1973
(orig. 1933).
11) Watkins, Glenn: Soundings, Music in the 20
th
Century; Schirmer, 1995.
12) Wierzynski, Casimir: The Life and Death of Chopin, tr. Norbert Guterman; Simon
and Schuster, 1949.
Sound Recordings
1) Bach, J. S.: The Well-tempered Claiver, BK II, Andras Schiff, piano; Decca, 1987.
2) Chopin, F.: Etudes, Marizio Pollini, piano; Polydor, Deutsche Gramophone, 1972.
3) Chopin, Frederic: Preludes, Marizio Pollini, piano; Polydor, Deutsche Gramophone,
1975.
4) Debussy, C.: Preludes, Krystian Zimmermann, piano; Deutsche Gramophone, 1994;
5) Debussy, C.: Preludes, Walter Gieseking, piano; Philips, compiled 1999;
6) Debussy, C.: The Composer as Pianist; Pierian Recording Society, compiled 2000.
7) Rachmaninov, S.: Preludes, Alexis Weissennberg, piano; BMG, 1990.
8) Shostakovich, D.: 24 Preludes and Fugues, Op. 87, Vladimir Ashkenazy, piano;
Decca, 1999.
9) Shostakovich, D.: Piano Sonata No. 1, 24 Preludes, Konstantin Scherbakov, piano;
Naxos, 2003.

Evolution of Keyboard Prelude From Bach To Shostakovich Payman Akhlaghi Graduate Analytical Paper 2004 UCLA

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